[Federal Register Volume 82, Number 74 (Wednesday, April 19, 2017)]
[Rules and Regulations]
[Pages 18383-18393]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-07646]
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Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
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Federal Register / Vol. 82, No. 74 / Wednesday, April 19, 2017 /
Rules and Regulations
[[Page 18383]]
DEPARTMENT OF COMMERCE
Bureau of the Census
15 CFR Part 30
[Docket Number: 151222999-7048-02]
RIN 0607-AA55
Foreign Trade Regulations: Clarification on Filing Requirements
AGENCY: Bureau of the Census, Commerce Department.
ACTION: Final rule.
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SUMMARY: The Bureau of the Census (Census Bureau) issues this Final
Rule amending the Foreign Trade Regulations (FTR) to reflect new export
reporting requirements. Specifically, the Census Bureau is making
changes related to the implementation of the International Trade Data
System (ITDS), in accordance with the Executive Order 13659,
Streamlining the Export/Import Process for American Businesses. The
ITDS was established by the Security and Accountability for Every
(SAFE) Port Act of 2006. The changes also include the addition of the
original Internal Transaction Number (ITN) data element in the
Automated Export System (AES). Lastly, the Census Bureau is making
remedial changes to improve clarity of the reporting requirements.
These changes are discussed in detail in the SUPPLEMENTARY INFORMATION
section.
DATES: This Final Rule is effective July 18, 2017.
FOR FURTHER INFORMATION CONTACT: Dale C. Kelly, Chief, International
Trade Management Division, U.S. Census Bureau, Washington, DC 20233-
6010, by phone: (301) 763-6937, by fax: (301) 763-8835, or by email:
[email protected].
SUPPLEMENTARY INFORMATION:
Background
The Census Bureau is responsible for collecting, compiling, and
publishing trade statistics for the United States under the provisions
of Title 13 of the United States Code (U.S.C.), Chapter 9, Section 301.
The International Trade Data System (ITDS) is the means by which the
data and business process needs of all Government agencies with a role
in international trade will be incorporated into the design of the
Automated Commercial Environment (ACE). Through the ITDS initiative,
ACE will become the ``single window,'' the primary system through which
the international trade community will submit import and export data
and documentation required by all Federal agencies.
The Automated Export System (AES), or any successor system, is the
mechanism by which the Census Bureau collects Electronic Export
Information (EEI), the electronic equivalent of the export data
formerly collected on the Shipper's Export Declaration, reported
pursuant to Title 15, Code of Federal Regulations (CFR), Part 30. In
order to achieve the goals of the ITDS, the AES has been incorporated
into ACE, the ``single window'' operated and maintained by U.S. Customs
and Border Protection (CBP) as the primary system through which the
international trade community will submit import and export data.
Additionally, the AES will include export information collected under
the authority of other federal agencies, which is subject to those
agencies' disclosure mandates.
The Census Bureau is adding a new original Internal Transaction
Number (ITN) data element. The original ITN is an optional data element
that can be used if a previously filed shipment is replaced or divided
and for which a new EEI record(s) must be filed. The addition of the
original ITN will assist the export trade community and enforcement
agencies in verifying that a filer completed the mandatory filing
requirements for the original shipment and any additional shipment(s).
The revised timeframes for split shipments addressed in FTR Letter
#6, Notice of Regulatory Change for Split Shipments, are incorporated
into the regulatory text of this final rule.
Finally, the U.S. Department of Homeland Security and the U.S.
Department of State concur with the revisions to the FTR as required by
Title 13, U.S.C., Section 303, and Public Law 107-228, div. B, title
XIV, Section 1404.
Response to Comments
The Census Bureau received 20 letters and emails commenting on the
Notice of Proposed Rulemaking (NPRM) published in the Federal Register
on March 9, 2016 (81 FR 12423). A summary of the comments and the
Census Bureau's responses are provided below.
The major concerns were as follows:
1. Amend the Foreign Trade Regulations (FTR) to replace the term
``Authorized agent'' with ``Authorized filing agent.'' One commenter
suggested that replacing ``Authorized agent'' with ``Authorized filing
agent'' would add clarity for the industry and make a distinction
between the authorized agent for Bureau of Industry and Security (BIS)
purposes and Census Bureau purposes. The FTR provides guidance on
export reporting and filing requirements as it pertains to the
Automated Export System (AES) and not licensing requirements for other
agencies. Therefore, the Census Bureau has reviewed this recommendation
and determined that the current language remains appropriate.
2. Amend the definition of ``Filer'' to specify which entity
approves the filer to submit Electronic Export Information (EEI). One
commenter stated that the proposed definition of ``Filer'' is unclear
as to who approves the U.S. Principal Party in Interest (USPPI) or
authorized agent to file the EEI. The Census Bureau uses the definition
section to clarify how terms are used in the FTR rather than to provide
instructions. In addition, the proposed definition specifically was
revised to make the reference to the USPPI and authorized agent
singular. Therefore, the Census Bureau has reviewed the definition and
the proposed language remains appropriate.
3. Amend the proposed rule to retain the definition of ``Non Vessel
Operating Common Carrier (NVOCC)'', as well as include NVOCC in the
``Carrier'' definition. One commenter suggested to keep the NVOCC
definition in the FTR and to revise the ``Carrier'' definition to
reference NVOCCs. The Census Bureau has reviewed this section and the
proposal to remove the NVOCC definition remains appropriate. However,
the Census Bureau agrees that the carrier definition should be revised
to reference NVOCCs because the Automated Export System Trade
[[Page 18384]]
Interface Requirements (AESTIR) allows the Standard Carrier Alpha Code
of a NVOCC to be reported.
4. Amend the proposed rule to remove the language, ``except as
noted by the State Department Regulations'' in Sec. 30.2(a)(1)(iv)(C).
One commenter was concerned that the proposed language requires the
filer to reference the Department of State regulations for exceptions
to the filing requirements for goods subject to the International
Traffic in Arms Regulations (ITAR). They suggested that this proposal
is problematic in that the forwarder or authorized filing agent needs
an exemption legend for the carrier to denote these types of shipments.
Another commenter was concerned that adding the language to reference
the Department of State regulations would require a forwarder's
employees to be familiar with a wide array of regulations issued by
other agencies, as opposed to familiarizing themselves with only the
FTR. The commenter suggested revising the FTR to list all exceptions
from filing requirements noted in all relevant regulations issued by
the federal government, including the Department of State. The Census
Bureau recognizes it may be convenient for the Foreign Trade
Regulations (FTR) to specifically identify other agencies' regulations.
However, it is not feasible for the Census Bureau to ensure every
agency's regulatory export requirements are included in the FTR.
Therefore, it is imperative for the trade community to be familiar with
all applicable export regulations that impact their transaction. The
language at issue is being added to ensure consistency with the State
Department regulations. The Census Bureau does not want to require
mandatory reporting if the State Department regulations exempt EEI
filing; therefore, the proposed language remains appropriate.
5. Amend the proposed rule to add language requiring the filer
name, address, filer ID and shipment reference number (SRN) be provided
to the USPPI upon request in a routed export transaction. One commenter
suggested that the filer name, address, filer ID and SRN be provided to
the USPPI in the Automated Commercial Environment (ACE) USPPI Agent-
Filed Routed Transactions Report (ACE 203 Report). The additional
information would help the USPPI identify the appropriate company to
contact if there are questions about the data. The Census Bureau
acknowledges that providing the data elements proposed by the commenter
in addition to the data elements proposed in the NPRM would assist the
trade community in more effectively utilizing the ACE 203 Report.
Therefore, the Census Bureau has revised Sec. 30.3(e)(2) to include
the filer name in addition to the date of export and Internal
Transaction Number (ITN) as proposed in the NPRM. However, the filer
address, filer ID, and SRN will not be added at this time to allow the
Census Bureau to obtain additional feedback through a future NPRM to
assess the impact of those changes.
6. Clarify the filing requirements for in-transit shipments between
the United States and Puerto Rico. One commenter suggested that Sec.
30.4(b)(3) be revised to clarify the filing requirements regarding in-
transit shipments that pass through the United States en route to
Puerto Rico or vice versa. The Census Bureau has reviewed this section
and the current language remains appropriate because in-transit
shipments under bond are excluded per Sec. 30.2(d)(1) and Sec.
30.2(a)(1) establishes the filing requirements.
7. Clarify who should be reported as the USPPI contact in an export
transaction. One commenter asked if generic entries such as ``Export
Department'' or ``Shipping Department'' are valid entries for the USPPI
contact information per Sec. 30.6(a)(1)(iv). The Census Bureau expects
that using the word ``person'' in the proposed definition, and by not
referring to a ``legal entity'', the filer understands the contact
information must include the name of the person who has the most
knowledge regarding the specific shipment or related export controls
instead of a group or department. Therefore, the Census Bureau has
reviewed this section and the proposed language remains appropriate.
8. Amend the proposed rule to make the Export Control
Classification Number (ECCN) a mandatory data element. One commenter
suggested that the ECCN should be required for all shipments because it
is necessary to determine if a shipment requires a license from the
Bureau of Industry and Security (BIS). The Census Bureau has reviewed
this section and provided the comment to the BIS to evaluate the
feasibility of adding this requirement to the Export Administration
Regulations (EAR). The Census Bureau determined that the ECCN will
remain a conditional data element as outlined in Sec. 30.6(b)(6) of
the FTR. Therefore, the current language remains appropriate.
9. Amend the proposed rule to include a 7 day timeframe for split
shipments by vessel. One commenter suggested that the split shipment
timeframe for vessel shipments should be changed from 24 hours to 7
days as will be allowed for air, truck, or rail shipments pursuant to
Sec. 30.28. The Census Bureau conferred with members of the vessel
industry and U.S. Customs and Border Protection, who indicated that the
24 hour timeframe is sufficient to submit the required information for
vessel shipments. As a result, the proposed language remains
appropriate.
10. Amend the proposed rule to retain the language outlining the
filing procedures for succeeding parts of a split shipment. One
commenter suggested that the Census Bureau retain the current language
in Sec. 30.28(c) to ensure that it is clear that succeeding parts of a
split shipment do not require an additional EEI record. The Census
Bureau has reviewed this section and determined that this language
should be retained. As a result, the Census Bureau has added language
to the opening paragraph of Sec. 30.28 to clarify the filing
requirements.
11. Clarify the proper use of the original ITN data element for the
trade community and CBP. One commenter suggested that detailed guidance
be provided to CBP ports regarding the use of the original ITN,
specifically as it pertains to the issuance of penalties related to
split shipments. Another commenter requested that additional examples
be provided to understand the exact purpose of the new data element.
The Census Bureau has reviewed the recommendations and determined the
proposed regulations remain appropriate. In addition, the Census Bureau
will conduct extensive outreach and add Frequently Asked Questions with
specific examples of the proper use of the original ITN to ensure the
trade community and CBP understand the intended purpose.
12. Amend the proposed rule to clarify the license value reporting
requirements for repairs and replacements that are subject to the ITAR.
One commenter stated that ITAR controlled goods imported for repair are
eligible for a license exemption and therefore, a license value cannot
be reported. The Census Bureau has reviewed this section and agrees
that goods exported under a license exemption do not require a license
value to be reported. As a result, the Census Bureau has added language
to Sec. 30.29(a)(2) to clarify the license value is only required for
licensed shipments.
13. Amend the proposed rule to clarify the term ``Commercial
document'' and to remove the reference to the license value reporting
requirements. One commenter questioned whether the term ``commercial
document'' referenced in Sec. 30.29(b)(2) included bills of lading and
suggested adding language to clarify. In
[[Page 18385]]
addition, the commenter requested that the reference to Sec.
30.6(b)(15) be removed. The Census Bureau has reviewed Sec.
30.29(b)(2) and replaced ``commercial document'' with ``commercial
loading documents'' because this defined term includes the bill of
lading. With regards to removing the reference to Sec. 30.6(b)(15),
the current proposed language remains appropriate as this sentence is
specifically referring to licensed goods by a U.S. government agency.
14. Amend the FTR to revise and/or remove Appendices. One commenter
suggested revising Appendix B of the FTR to include all license type
codes by either updating the list or referencing Appendix F of the
AESTIR. They also suggested removing Appendix F of the FTR because it
is no longer necessary. Another commenter suggested revising the title
of Appendix D of the FTR. The Census Bureau has reviewed all of the
Appendices and agrees that several need to be revised or removed. The
Appendices were initially created to assist with the transition from
the Foreign Trade Statistics Regulations to the FTR. Given that this
transition occurred in 2008, several Appendices are no longer
necessary. The Census Bureau has reviewed the appendices and is
removing Appendices B, C, E, and F, while revising and redesignating
Appendix D as the new Appendix B.
15. Amend the proposed rule to remove the requirement to report the
used electronics indicator (UEI). Several commenters expressed multiple
concerns pertaining to the addition of the UEI. The following concerns
were expressed in the comments received.
(a) The requirement to report the UEI is not mandated, or justified
by the authorities cited. The National Strategy for Electronics
Stewardship, Resource Conservation and Recovery Act (RCRA), and
Executive Order (EO) 13693 were all cited in the NPRM; however, these
legal authorities and directives do not align with the stated purpose
for collecting the UEI.
(b) The addition of the UEI will increase reporting burden for the
trade community. The NPRM did not appear to give a thorough review of
the impact of burden to the trade community under the Regulatory
Flexibility Act and the Paperwork Reduction Act.
(c) The definition is overly broad for used electronics and goes
beyond the purpose of tracking electronics for ``disposal,'' as cited
in the RCRA and EO 13693.
(d) The filing requirements for the UEI are unclear as it pertains
to reporting repairs, temporary exports, and shipments containing both
new and used electronics.
(e) The NPRM does not indicate what confidential data elements from
the EEI will be shared with the Environmental Protection Agency (EPA).
(f) The requirement for the UEI lacks any reasonable justification
to make a distinction between operable used electronics and new
electronics when reporting EEI.
(g) The UEI will impose excessive costs associated with the
implementation of new processes and related system changes. The
timeframe to complete the programming changes will be very significant
and will require an extended implementation period.
(h) Information related to used electronics could be obtained via
commodity classification numbers and/or via ACE reports as opposed to
increasing the burden on the trade by requiring the UEI.
The Census Bureau acknowledges these concerns and held multiple
discussions with the U.S. Environmental Protection Agency. The comments
received reflected concerns about the clarity of and the burden related
to the proposed requirement. At this time, the Census Bureau has
decided to eliminate the requirement to report used electronics in the
Final Rule.
16. Amend the proposed rule to divide the AES certification and
filing requirements into two sections. One commenter suggested that the
AES certification and filing requirements should be divided into two
sections in order to add clarity. The Census Bureau has reviewed Sec.
30.2(c) and agrees dividing the section based on the filing method,
AESDirect or methods other than AESDirect, will add clarity. The Census
Bureau also provided additional details to clarify when the
certification process is required.
17. Amend the proposed rule to add the definition of ``U.S. Postal
Service customs declaration form'' and incorporate this term in
multiple definitions. One commenter suggested that the definitions of
``AES downtime filing citation,'' ``Annotation,'' ``Exemption legend,''
``Postdeparture filing citation,'' and ``Proof of filing citation''
should specifically reference the ``U.S. Postal Service customs
declaration form'' in order to add clarity. The Census Bureau has
reviewed Sec. 30.1(c) and agrees a definition for ``U.S. Postal
Service customs declaration form'' should be added. In addition, rather
than including a reference to the ``U.S. Postal Service customs
declaration form'' in the definitions proposed by the commenter, the
Census Bureau has added this term to the ``Commercial loading
document'' definition.
18. Amend the proposed rule to more accurately reflect U.S. Postal
Service operations. One commenter suggested that Sec. 30.8(a) be
revised to reference mail exports, the U.S. Postal Service customs
declaration, and the Postal Service instead of the postmaster. The
Census Bureau has reviewed this section and incorporated the
recommendations of the commenter.
19. Amend the proposed rule to add clarity to the term ``mail
cargo'' and ``filing citation or exemption legend.'' One commenter
proposed revisions to the phrases ``mail cargo'' and ``filing citation
or exemption legend.'' The Census Bureau has reviewed Sec.
30.4(b)(2)(v) and agrees to revise this section to read ``mail'' rather
than ``mail cargo.'' In addition, the phrase ``filing citation or
exemption legend'' will be revised to read ``proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption
or exclusion legend.'' The distinction between exemption legends and
exclusion legends is made because the terms are not mutually exclusive.
A shipment may contain items that do not require filing per an
exemption and exclusion.
20. Amend the proposed rule to clarify the exemptions for Country
Group E:1. One commenter suggested that Sec. 30.37(y) be revised to
remove paragraphs 1-6 and replace this section with a general exemption
for Country Group E:1 with a reference to both the Bureau of Industry
and Security (BIS) and Office of Foreign Assets Control (OFAC). In
addition, the commenter proposed including references to Country Group
E:2 with all references to Group E:1 to ensure consistency with the
Export Administration Regulations (EAR). The Census Bureau has
consulted with the BIS on the relevant sections and agrees that Country
Group E:2 should also be referenced. In regards to significantly
revising Sec. 30.37(y), the Census Bureau will work with BIS and OFAC
to ensure consistency amongst the various regulations and, if the
Census Bureau deems necessary, will propose any changes in a future
NPRM in order to afford the public the ability to comment on any
potential changes to the filing requirements.
21. Comments in Support of the Final Rule. Several commenters
expressed support of the changes proposed in the NPRM.
(a) A commenter supported the proposed amendments and suggested
that the rule pass because the changes would add clarity to the
regulations,
[[Page 18386]]
improve the quality of trade data, and contribute to a stronger
International Trade Data System.
(b) One commenter supported the revisions to filing deadlines for
pipeline shipments, as stated in Sec. 30.4(c)(2) and Sec. 30.6(a)(5),
because it will add clarity to the current regulations and is
consistent with the filing conventions that have been agreed to as part
of the trade working group with the Census Bureau.
(c) Several commenters supported the addition of the original ITN
field because of the clarity it will provide when an entity needs to
provide the ITN associated with a previously filed shipment that is
replaced or divided and for which additional shipment(s) must be filed.
Changes to the Proposed Rule Made by This Final Rule
After consideration of the comments received, the Census Bureau
revised and added certain provisions in the Final Rule to address the
concerns of commenters and to clarify the requirements of the rule. The
changes made in this Final Rule are as follows:
Amend the proposed rule to remove the definition and
filing requirement for the used electronics indicator.
Section 30.1(c) is amended to revise the definition of
``Carrier'' to include a Non Vessel Operating Common Carrier (NVOCC) as
an example of a carrier because the Automated Export System Trade
Interface Requirements allows the Standard Carrier Alpha Code of a
NVOCC to be reported.
Section 30.1(c), is amended to add the definition of
``U.S. Postal Service customs declaration form'' to identify the
shipment document used for exports by mail.
Section 30.1(c), is amended to revise the definition of
``Commercial loading document'' to include the U.S. Postal Service
customs declaration form as an example of a commercial loading
document.
The note to Sec. 30.2(a)(1)(iv) is amended to add Country
Group E:2 to ensure consistency with the Export Administration
Regulations (EAR).
Section 30.2(c) is amended to clarify the application and
certification process by dividing the section based on the filing
method, AESDirect or methods other than AESDirect. As a result, the
title was amended to read as ``Application and Certification Process''
as opposed to ``Certification and Filing Requirements.''
Section 30.3(e)(2) is amended to add language requiring
the authorized agent to provide the filer name in addition to the
Internal Transaction Number (ITN) and date of export as proposed in the
NPRM, when requested by the U.S. Principal Party in Interest in a
routed transaction.
Section 30.4(b)(2)(v) is amended to read ``mail'' rather
than ``mail cargo'' and the phrase ``filing citation or exemption
legend'' will be revised to read ``proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption
or exclusion legend.''
Section 30.8(a) is amended to more accurately reflect U.S.
Postal Service operations.
Section 30.16(d) is amended to add Country Group E:2 to
ensure consistency with the EAR.
Section 30.28 is amended to add language removed from
30.28(c) to the opening paragraph.
Section 30.29(a)(2) is amended by clarifying that a
license value is only required to be reported for shipments licensed by
a U.S. Government agency.
Section 30.29(b)(2) is amended to replace the term
``commercial document'' with the defined term ``commercial loading
documents''.
Section 30.37(y) is amended to add Country Group E:2 to
ensure consistency with the EAR.
Delete Appendices B, C, E and F because the Appendices
were initially created to assist the trade in transitioning from the
Foreign Trade Statistics Regulations (FTSR) to the FTR and are no
longer necessary. As a result of deleting Appendices B, C, E, and F,
Appendix D is redesignated as Appendix B.
Program Requirements
In addition to the above changes the Census Bureau is amending
relevant sections of the FTR in order to comply with the requirements
of the Foreign Relations Act, Public Law 107-228. The following
sections of the FTR are amended to revise or clarify export reporting
requirements and are unchanged from the Notice of Proposed Rulemaking
of March 9, 2016, titled Foreign Trade Regulations: Clarification on
Filing Requirements (RIN 0607-AA55):
In Sec. 30.1(c), revise the definition of ``AES
applicant'' to remove the text ``applies to the Census Bureau for
authorization to'' and ``or its related applications'' because the
registration will no longer go through the Census Bureau. Rather, the
registration will be submitted to CBP through its Web site or through
ACE and will be processed by CBP. In addition, related applications
will be eliminated.
In Sec. 30.1(c), revise the definition of ``AESDirect''
to clarify the appropriate parties that can transmit Electronic Export
Information (EEI) through the AES, clarify that all regulatory
requirements pertaining to the AES also apply to AESDirect, and
eliminate the reference to the URL.
In Sec. 30.1(c), revise the definition of ``AES downtime
filing citation'' to remove filing requirements from the definition.
In Sec. 30.1(c), remove the definition of ``AES
participant application (APA)'' because the APA is no longer used for
filers to obtain access to the AES.
In Sec. 30.1(c), revise the definition of ``Annotation''
to remove the word ``placed'' to eliminate the implication of a manual
process and add ``or electronic equivalent'' to allow for an electronic
process.
In Sec. 30.1(c), add the definition of ``Automated
Commercial Environment (ACE)'' to identify the system through which the
trade community reports data.
In Sec. 30.1(c), revise the definition of ``Automated
Export System (AES)'' to clarify that AES is accessed through the
Automated Commercial Environment.
In Sec. 30.1(c), revise the definition of ``Bill of
lading (BL)'' to distinguish between the responsibilities of the
carrier and the authorized agent.
In Sec. 30.1(c), revise the definition of ``Container''
to make the language consistent with Article 1 of the Customs
Convention on Containers.
In Sec. 30.1(c), remove the definition of ``Domestic
exports'' because this term is not used in the FTR and add the
definition of ``Domestic goods.''
In Sec. 30.1(c), revise the definition of ``Electronic
Export Information (EEI)'' to reference the Shipper's Export
Declaration itself as opposed to the information collected on the SED.
In Sec. 30.1(c), revise the definition ``Fatal error
message'' by removing the following sentence to remove the regulatory
requirements from the definition: ``The filer is required to
immediately correct the problem, correct the data, and retransmit the
EEI.''
In Sec. 30.1(c), revise the term ``Filers'' to ``Filer''
and revise the definition to reduce redundancy.
In Sec. 30.1(c), remove the definition of ``Foreign
exports'' because this term is not used in the FTR and add the
definition of ``Foreign goods.''
In Sec. 30.1(c), remove the definition for ``Non Vessel
Operating Common Carrier (NVOCC)'' because the term is not referenced
in the FTR.
In Sec. 30.1(c), revise the definition of ``Proof of
filing citation'' by removing the word ``placed'' to eliminate the
implication of a manual process and allow for an electronic process.
[[Page 18387]]
In Sec. 30.1(c), remove the definition of ``Reexport''
because the term is not used for statistical purposes in the FTR.
In Sec. 30.1(c), revise the definition of ``Service
center'' to clarify the role of a service center as it pertains to the
FTR.
In Sec. 30.1(c), revise the term ``Shipment reference
number'' to read as ``Shipment Reference Number (SRN).''
In Sec. 30.1(c), revise the definition of ``Split
shipment'' to incorporate the revised timeframes addressed in FTR
Letter #6, Notice of Regulatory Change for Split Shipments.
In Sec. 30.1(c), revise the term ``Transportation
reference number'' to read as ``Transportation Reference Number
(TRN).''
Revise Sec. 30.2(a)(1)(iv)(A) to ensure consistency with
the Department of Commerce, Bureau of Industry and Security
regulations.
Revise Sec. 30.2(a)(1)(iv)(C) to add language which notes
that the filer must reference the Department of State regulations for
exceptions to the filing requirements for goods subject to the ITAR.
Revise Sec. 30.2(b)(3) to remove the reference to
``30.4(b)(3)'' and add ``30.4(b)(4)'' in its place.
Revise Sec. 30.3(e)(2) to add paragraph (xv) ``Ultimate
consignee type'' to clarify that the authorized agent is responsible
for reporting the ultimate consignee type in a routed export
transaction.
Revise Sec. 30.4(b)(2)(v) to reference only mail
shipments by removing the words ``and cargo shipped by other modes,
except pipelines'' because all other modes are covered in paragraph
(vi). In addition, revise language to replace ``exporting carrier''
with ``U.S. Postal Service'' and remove the reference to Sec. 30.46
because pipeline language has been added to Sec. 30.4(c)(2).
Revise Sec. 30.4(b)(3) to indicate that the USPPI or
authorized agent must provide the proof of filing citation,
postdeparture filing citation, AES downtime citation, exemption or
exclusion legend to the carrier.
Revise Sec. 30.4(c) by removing the introductory text.
Revise Sec. 30.4 by adding paragraphs (c)(1) to address
current postdeparture filing procedures and (c)(2) to address pipeline
filing procedures.
Revise the title of Sec. 30.5 to be ``Electronic Export
Information filing processes and standards'' to accurately reflect the
information that remains in this section because the AES application
and certification process are removed.
Revise Sec. 30.5 to remove the introductory text and
remove and reserve paragraphs (a) and (b) because the certification
process is now addressed in Sec. 30.2(c).
Remove Sec. 30.5(d)(3) to remove outdated requirements.
Revise Sec. 30.5(f) to amend outdated information.
In Sec. 30.6, revise the introductory text to add
language indicating that additional elements collected in ITDS are
mandated by the regulations of other federal government agencies.
Revise Sec. 30.6(a)(1) to include the definition of the
USPPI for consistency with the format for other data elements.
Revise Sec. 30.6(a)(1)(iii) to clarify the use of an
Employer Identification Number (EIN) and include the Data Universal
Numbering System (DUNS) number as an acceptable USPPI ID number.
Revise Sec. 30.6(a)(1)(iv) to clarify whose contact
information should be provided in the AES for the USPPI.
Revise Sec. 30.6(a)(5)(i) to clarify the country of
ultimate destination to be reported with respect to shipments under BIS
and State Department export licenses.
Revise Sec. 30.6(a)(5)(ii) and add paragraphs (A) through
(C) to clarify the country of ultimate destination to be reported with
respect to shipments not moving under an export license.
Revise Sec. 30.6(a)(11) by removing paragraphs (i) and
(ii) because domestic goods and foreign goods are now included in Sec.
30.1(c) as definitions.
Revise Sec. 30.6(a)(19) to conform with the revised term
``Shipment Reference Number (SRN).''
Revise the title of Sec. 30.6(b)(14) to conform with the
revised term ``Transportation Reference Number (TRN).''
Revise Sec. 30.6(c) to add paragraph (3) to include the
original ITN field. Adding the original ITN field will assist the
export trade community and enforcement agencies in identifying that a
filer completed the mandatory filing requirements for the original
shipment and any additional shipment(s).
Remove Sec. 30.10(a)(1) and (2) because the electronic
certification notice is no longer provided.
In Sec. 30.28, revise the introductory text to
incorporate the revised timeframes addressed in FTR Letter #6, Notice
of Regulatory Change for Split Shipments.
Revise Sec. 30.28(a) to allow for an electronic process
and incorporate the revised timeframes.
Revise Sec. 30.28 by removing paragraph (c) because this
information is included in the introductory text.
Revise Sec. 30.29(a)(1) to remove the phrase ``non-USML
goods'' and add the phrase ``goods not licensed by a U.S. Government
agency and not subject to the ITAR'' in its place.
Revise Sec. 30.29(a)(2) to remove the phrase ``USML
goods'' and add the phrase ``goods licensed by a U.S. Government agency
or subject to the ITAR'' in its place.
Revise Sec. 30.29(b)(2) to remove the phrase ``non-USML''
and add the phrase ``goods not licensed by a U.S. Government agency in
its place.
Revise Sec. 30.29(b)(2) to remove the phase ``USML
shipments'' and add the phrase ``goods licensed by a U.S. Government
agency in its place.
Revise Sec. 30.36(b)(4) to ensure consistency with the
Export Administration Regulations.
Revise the titles to Subpart E and Sec. 30.45, revise
paragraphs 30.45(a), (a)(1) and (b), remove and reserve paragraph
30.45(a)(2) and (a)(3), and remove 30.45(c) through 30.45(f) to ensure
consistency with the CBP regulations.
Revise Sec. 30.46 through 30.49 by removing and reserving
these sections.
Revise the introductory text in Sec. 30.50 to replace
``Automated Broker Interface (ABI)'' with ``Automated Commercial
Environment (ACE)''.
Revise the introductory text in Sec. 30.53 to provide
more detail for classifying goods temporarily imported for repair and
remove paragraphs 30.53(a) and 30.53(b).
Revise Sec. 30.74 paragraph (c)(5) to indicate the new
division name and revise the address.
Redesignate Appendix D as Appendix B. Revise the title to
read ``Appendix B to Part 30--AES Filing Citation, Exemption and
Exclusion Legends'' and remove ``I. USML Proof of Filing Citation'',
``XII. Proof of filing citations by pipeline'', and renumber remaining
entries.
Revise new Appendix B numbers III and IV to clarify the
dates listed in the examples are the dates of export.
Remove Appendices C through F because they are no longer
needed to help transition the trade community from the Foreign Trade
Statistics Regulations to the Foreign Trade Regulations.
Classification
Regulatory Flexibility Act
The Chief Counsel for Regulation of the Department of Commerce
certified to the Chief Counsel for Advocacy of the Small Business
Administration (SBA) that this rule will not have a significant impact
on a substantial number of small entities. The factual basis for this
determination was published in the proposed rule and is not repeated
here. No comments were received regarding this certification. As a
result, a
[[Page 18388]]
regulatory flexibility analysis was not required and none was prepared.
Executive Orders
This rule has been determined to be not significant for purposes of
Executive Order 12866. It has been determined that this rule does not
contain policies with federalism implications as that term is defined
under Executive Order 13132.
Paperwork Reduction Act
Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act (PRA), unless that collection of
information displays a current and valid Office of Management and
Budget (OMB) control number. This rule contains a collection-of-
information subject to the requirements of the PRA (44 U.S.C. 3501 et
seq.) and has been approved under OMB control number 0607-0152.
List of Subjects in 15 CFR Part 30
Economic statistics, Exports, Foreign trade, Reporting and
recordkeeping requirements.
For the reasons set out in the preamble, the Census Bureau is
amending 15 CFR part 30 as follows:
PART 30--FOREIGN TRADE REGULATIONS
0
1. The authority citation for part 30 continues to read as follows:
Authority: 5 U.S.C. 301; 13 U.S.C. 301-307; Reorganization plan
No. 5 of 1990 (3 CFR 1949-1953 Comp., p. 1004); Department of
Commerce Organization Order No. 35-2A, July 22, 1987, as amended,
and No. 35-2B, December 20, 1996, as amended; Pub. L. 107-228, 116
Stat. 1350.
0
2. Amend Sec. 30.1(c) by:
0
a. Revising the definitions for ``AES applicant'', ``AESDirect'', and
``AES downtime filing citation'';
0
b. Removing the definition for ``AES participant application (APA)'';
0
c. Revising the definition for ``Annotation'';
0
d. Adding in alphabetical order the definition for ``Automated
Commercial Environment (ACE)'';
0
e. Revising the definitions for ``Automated Export System (AES)'',
``Bill of lading (BL)'', ``Carrier'', ``Commercial loading document'',
and ``Container'';
0
f. Removing the definition for ``Domestic exports'';
0
g. Adding in alphabetical order the definition for ``Domestic goods'';
0
h. Revising the definition for ``Electronic export information (EEI)''
and ``Fatal error message'';
0
i. Remove the definition for ``Filers'' and add in its place a
definition for ``Filer'';
0
j. Removing the definition for ``Foreign exports'';
0
k. Adding in alphabetical order the definition for ``Foreign goods'';
0
l. Removing the definition for ``Non-Vessel Operating Common Carrier'';
0
m. Revising the definition for ``Proof of filing citation'';
0
n. Removing the definition for ``Reexport'';
0
o. Revising the definitions for ``Service center'', ``Shipment
reference number'', ``Split shipment'', and ``Transportation reference
number''; and
0
p. Adding in alphabetical order the definition for ``U.S. Postal
Service customs declaration form''.
The revisions and additions read as follows:
Sec. 30.1 Purpose and definitions.
* * * * *
(c) * * *
AES applicant. The USPPI or authorized agent who reports export
information electronically to the AES, or through AESDirect.
AESDirect. An Internet portal within the Automated Commercial
Environment that allows USPPIs and authorized agents to transmit EEI to
the AES. All regulatory requirements pertaining to the AES also apply
to AESDirect.
AES downtime filing citation. A statement used in place of a proof
of filing citation when the AES or AESDirect are inoperable.
* * * * *
Annotation. An explanatory note (e.g., proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption
or exclusion legend) on the bill of lading, air waybill, export
shipping instructions, other commercial loading documents or electronic
equivalent.
* * * * *
Automated Commercial Environment (ACE). A CBP authorized electronic
data interchange system for processing import and export data.
Automated Export System (AES). The system for collecting EEI (or
any successor to the Shipper's Export Declaration) from persons
exporting goods from the United States, Puerto Rico, or the U.S. Virgin
Islands; between Puerto Rico and the United States; and to the U.S.
Virgin Islands from the United States or Puerto Rico. The AES is
currently accessed through the Automated Commercial Environment.
* * * * *
Bill of Lading (BL). A document that establishes the terms of a
contract under which freight is to be moved between specified points
for a specified charge. It is issued by the carrier based on
instructions provided by the shipper or its authorized agent. It may
serve as a document of title, a contract of carriage, and a receipt for
goods.
* * * * *
Carrier. An individual or legal entity in the business of
transporting passengers or goods. Airlines, trucking companies,
railroad companies, shipping lines, pipeline companies, slot
charterers, and Non-Vessel Operating Common Carriers (NVOCCs) are all
examples of carriers.
* * * * *
Commercial loading document. A document that establishes the terms
of a contract between a shipper and a transportation company under
which freight is to be moved between points for a specific charge. It
is usually prepared by the shipper, the shipper's agent or the carrier
and serves as a contract of carriage. Examples of commercial loading
documents include the air waybill, ocean bill of lading, truck bill,
rail bill of lading, and U.S. Postal Service customs declaration form.
* * * * *
Container. The term container shall mean an article of transport
equipment (lift-van, movable tank or other similar structure):
(i) Fully or partially enclosed to constitute a compartment
intended for containing goods;
(ii) Of a permanent character and accordingly strong enough to be
suitable for repeated use;
(iii) Specially designed to facilitate the carriage of goods, by
one or more modes of transport, without intermediate reloading;
(iv) Designed for ready handling, particularly when being
transferred from one mode of transport to another;
(v) Designed to be easy to fill and to empty; and
(vi) Having an internal volume of one cubic meter or more; the term
``container'' shall include the accessories and equipment of the
container, appropriate for the type concerned, provided that such
accessories and equipment are carried with the container. The term
``container'' shall not include vehicles, accessories or spare parts of
vehicles, or packaging. Demountable bodies are to be treated as
containers.
* * * * *
[[Page 18389]]
Domestic goods. Goods that are grown, produced, or manufactured in
the United States, or previously imported goods that have undergone
substantial transformation in the United States, including changes made
in a U.S. FTZ, from the form in which they were imported, or that have
been substantially enhanced in value or improved in condition by
further processing or manufacturing in the United States.
* * * * *
Electronic Export Information (EEI). The electronic export data as
filed in the AES. This is the electronic equivalent of the export data
formerly collected on the Shipper's Export Declaration (SED) and now
mandated to be filed through the AES or AESDirect.
* * * * *
Fatal error message. An electronic response sent to the filer by
the AES when invalid or missing data has been encountered, the EEI has
been rejected, and the information is not on file in the AES.
Filer. The USPPI or authorized agent (of either the USPPI or FPPI)
who has been approved to file EEI.
* * * * *
Foreign goods. Goods that were originally grown, produced, or
manufactured in a foreign country, then subsequently entered into the
United States, admitted to a U.S. FTZ, or entered into a CBP bonded
warehouse, but not substantially transformed in form or condition by
further processing or manufacturing in the United States, U.S. FTZs,
Puerto Rico, or the U.S. Virgin Islands.
* * * * *
Proof of filing citation. A notation on the bill of lading, air
waybill, export shipping instructions, other commercial loading
document or electronic equivalent, usually for carrier use, that
provides evidence that the EEI has been filed and accepted in the AES.
* * * * *
Service center. A company, entity, or organization that has been
certified and approved to facilitate the transmission of EEI to the
AES.
* * * * *
Shipment Reference Number (SRN). A unique identification number
assigned to the shipment by the filer for reference purposes. The reuse
of the SRN is prohibited.
* * * * *
Split shipment. A shipment covered by a single EEI record booked
for export on one conveyance, that is divided by the exporting carrier
prior to export where the cargo is sent on two or more of the same
conveyances of the same carrier leaving from the same port of export
within 24 hours by vessel or 7 days by air, truck or rail.
* * * * *
Transportation Reference Number (TRN). A reservation number
assigned by the carrier to hold space on the carrier for cargo being
shipped. It is the booking number for vessel shipments, the master air
waybill number for air shipments, the bill of lading number for rail
shipments, and the freight or pro bill for truck shipments.
* * * * *
U.S. Postal Service customs declaration form. The shipping
document, or its electronic equivalent, that a mailer prepares to
declare the contents for the purposes of domestic and foreign customs
authorizations and other relevant government agencies. For more
information, please see Mailing Standards of the United States Postal
Service, International Mail Manual, section 123.
* * * * *
0
3. Amend Sec. 30.2 by revising paragraphs (a)(1)(iv)(A),
(a)(1)(iv)(C), Note to paragraph (a)(1)(iv), (b)(3), and (c) to read as
follows:
Sec. 30.2 General requirements for filing Electronic Export
Information (EEI).
(a) * * *
(1) * * *
(iv) * * *
(A) Requiring a Department of Commerce, Bureau of Industry and
Security (BIS) license or requiring reporting under the Export
Administration Regulations (15 CFR 758.1(b)).
* * * * *
(C) Subject to the ITAR, but exempt from license requirements,
except as noted by the ITAR.
* * * * *
Note to Paragraph (a)(1)(iv): For the filing requirement for
exports destined for a country in Country Group E:1 or E:2 as set
forth in the Supplement No. 1 to 15 CFR part 740, see FTR Sec.
30.16.
* * * * *
(b) * * *
(3) The AES downtime procedures provide uniform instructions for
processing export transactions when the government's AES or AESDirect
is unavailable for transmission. (See Sec. 30.4(b)(1) and (4)).
* * * * *
(c) Application and certification process. The USPPI or authorized
agent will either submit an ACE Exporter Account Application or a
Letter of Intent based on their transmission method and, as a result,
may be subject to the certification process.
(1) AESDirect. USPPIs or authorized agents who choose to file via
the AESDirect shall complete an online ACE Exporter Account
Application. In addition, once the ACE Exporter Account is created, all
users must agree to the AES Certification Statements prior to filing
through AESDirect.
(2) Methods other than AESDirect. USPPIs or authorized agents who
choose to file by a means other than AESDirect shall submit a Letter of
Intent to CBP and may be required to complete the certification
process.
(i) Certification. A two-part communication test to ascertain
whether the system is capable of both transmitting data to and
receiving responses from the AES. CBP client representatives make the
sole determination as to whether or not the system of the self-
programming filer, service center, or software vendor passes
certification.
(ii) Parties requiring certification:
(A) Self-programming USPPIs or authorized agents;
(B) Service centers; and
(C) Software vendors who develop AES software.
* * * * *
0
4. Amend Sec. 30.3 by revising the introductory text of paragraph
(e)(2) and adding paragraph (e)(2)(xv) to read as follows:
Sec. 30.3 Electronic Export Information filer requirements, parties
to export transactions, and responsibilities of parties to export
transactions.
* * * * *
(e) * * *
(2) Authorized agent responsibilities. In a routed export
transaction, if an authorized agent is preparing and filing the EEI on
behalf of the FPPI, the authorized agent must obtain a power of
attorney or written authorization from the FPPI and prepare and file
the EEI based on information obtained from the USPPI or other parties
involved in the transaction. The authorized agent shall be responsible
for filing EEI accurately and timely in accordance with the FTR. Upon
request, the authorized agent will provide the USPPI with a copy of the
power of attorney or written authorization from the FPPI. The
authorized agent shall also retain documentation to support the EEI
reported through the AES. The authorized agent shall upon request,
provide the USPPI with the data elements in paragraphs (e)(1)(i)
through (xii) of this section, the date of export as submitted through
the AES, the filer name, and the ITN. The authorized
[[Page 18390]]
agent shall provide the following information through the AES:
* * * * *
(xv) Ultimate consignee type.
* * * * *
0
5. Amend Sec. 30.4 by revising paragraphs (b)(2)(v), (b)(3) and (c) to
read as follows:
Sec. 30.4 Electronic Export Information filing procedures, deadlines,
and certification statements.
* * * * *
(b) * * *
(2) * * *
(v) For mail, the USPPI or the authorized agent shall file the EEI
as required by Sec. 30.6 and provide the proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption
or exclusion legend to the U.S. Postal Service no later than two (2)
hours prior to exportation.
* * * * *
(3) For shipments between the United States and Puerto Rico, the
USPPI or authorized agent shall provide the proof of filing citation,
postdeparture filing citation, AES downtime filing citation, exemption
or exclusion legend to the exporting carrier by the time the shipment
arrives at the port of unloading.
* * * * *
(c) EEI transmitted postdeparture--(1) Postdeparture filing
procedures. Postdeparture filing is only available for approved USPPIs.
For all methods of transportation other than pipeline, approved USPPIs
or their authorized agent may file data elements required in accordance
with Sec. 30.6 no later than five (5) calendar days after the date of
exportation, except for shipments where predeparture filing is
specifically required.
(2) Pipeline filing procedures. USPPIs or authorized agents may
file data elements required by Sec. 30.6 no later than four (4)
calendar days following the end of the month. The operator of a
pipeline may transport goods to a foreign country without the prior
filing of the proof of filing citation, exemption, or exclusion legend,
on the condition that within four (4) calendar days following the end
of each calendar month the operator will deliver to the CBP Port
Director the proof of filing citation, exemption, or exclusion legend
covering all exports through the pipeline to each consignee during the
month.
* * * * *
0
6. Amend Sec. 30.5 by revising the section heading, removing the
introductory text, removing and reserving paragraphs (a) and (b),
removing paragraph (d)(3), and revising paragraph (f) to read as
follows:
Sec. 30.5 Electronic Export Information filing processes and
standards.
(a) [Reserved]
(b) [Reserved]
* * * * *
(f) Support. The Census Bureau provides online services that allow
the USPPI and the authorized agent to seek assistance pertaining to the
AES and this part. For AES assistance, filers may send an email to
[email protected]. For FTR assistance, filers may send an email to
[email protected].
0
7. Amend Sec. 30.6 by revising the introductory text, paragraphs
(a)(1) introductory text, (a)(1)(iii), (a)(1)(iv), (a)(5)(i),
(a)(5)(ii), (a)(11), (a)(19), and (b)(14) introductory text, and adding
paragraph (c)(3), to read as follows:
Sec. 30.6 Electronic Export Information data elements.
The information specified in this section is required for EEI
transmitted to the AES. The data elements identified as ``mandatory''
shall be reported for each transaction. The data elements identified as
``conditional'' shall be reported if they are required for or apply to
the specific shipment. The data elements identified as ``optional'' may
be reported at the discretion of the USPPI or the authorized agent.
Additional data elements may be required to be reported in the AES in
accordance with other federal agencies' regulations. Refer to the other
agencies' regulations for reporting requirements.
(a) * * *
(1) USPPI. The person or legal entity in the United States that
receives the primary benefit, monetary or otherwise, from the export
transaction. Generally, that person or entity is the U.S. seller,
manufacturer, or order party, or the foreign entity while in the United
States when purchasing or obtaining the goods for export. The name,
address, identification number, and contact information of the USPPI
shall be reported to the AES as follows:
* * * * *
(iii) USPPI identification number. Report the EIN or DUNS number of
the USPPI. If the USPPI has only one EIN, report that EIN. If the USPPI
has more than one EIN, report the EIN that the USPPI uses to report
employee wages and withholdings, not an EIN used to report only company
earnings or receipts. Use of another company's EIN is prohibited. The
appropriate Party ID Type code shall be reported to the AES. If a
foreign entity is in the United States at the time goods are purchased
or obtained for export, the foreign entity is the USPPI. In such
situations, when the foreign entity does not have an EIN, the
authorized agent shall report a border crossing number, passport
number, or any number assigned by CBP on behalf of the foreign entity.
(iv) USPPI contact information. The person who has the most
knowledge regarding the specific shipment or related export controls.
* * * * *
(5) * * *
(i) Shipments under an export license. For shipments under an
export license issued by the Department of State, Directorate of
Defense Trade Controls (DDTC), or the Department of Commerce, Bureau of
Industry and Security (BIS), the country of ultimate destination shall
conform to the country of ultimate destination as shown on the license.
In the case of a DDTC or BIS license, the country of ultimate
destination is the country specified with respect to the end user,
which may also be the ultimate consignee. For goods licensed by other
government agencies, refer to the agencies' specific requirements for
providing country of ultimate destination information.
(ii) Shipments not moving under an export license. The country of
ultimate destination is the country known to the USPPI or U.S.
authorized agent at the time of exportation. The country to which the
goods are being shipped is not the country of ultimate destination if
the USPPI or U.S. authorized agent has knowledge, at the time the goods
leave the United States, that they are intended for reexport or
transshipment in the form received to another known country. For goods
shipped to Canada, Mexico, Panama, Hong Kong, Belgium, United Arab
Emirates, The Netherlands, or Singapore, special care should be
exercised before reporting these countries as the ultimate destinations
because these are countries through which goods from the United States
are frequently transshipped. If the USPPI or U.S. authorized agent does
not know the ultimate destination of the goods, the country of ultimate
destination to be shown is the last country, as known to the USPPI or
U.S. authorized agent at the time the goods leave the United States, to
which the goods are to be shipped in their present form. (For
instructions as to the reporting of country of ultimate destination for
vessels sold or transferred from the United States to foreign
ownership, see Sec. 30.26). In addition, the following types of
shipments must be reported as follows:
(A) Department of State, DDTC, license exemption. The country of
[[Page 18391]]
ultimate destination is the country specified with respect to the end
user as noted in the ITAR (22 CFR 123.9(a)).
(B) Department of Commerce, BIS, license exception. The country of
ultimate destination is the country of the end user as defined in 15
CFR 772.1 of the Export Administration Regulations (EAR).
(C) For shipments to international waters. The country of ultimate
destination is the nationality of the person(s) or entity assuming
control of the good(s) exported to international waters.
* * * * *
(11) Domestic or foreign indicator. Indicates if the goods exported
are of domestic or foreign origin. Report foreign goods as a separate
line item from domestic goods even if the commodity classification
number is the same.
* * * * *
(19) Shipment Reference Number (SRN). A unique identification
number assigned by the filer that allows for the identification of the
shipment in the filer's system. The reuse of the SRN is prohibited.
* * * * *
(b) * * *
(14) Transportation Reference Number (TRN). The TRN is as follows:
* * * * *
(c) * * *
(3) Original ITN. The ITN associated with a previously filed
shipment that is replaced or divided and for which additional
shipment(s) must be filed. The original ITN field can be used in
certain scenarios, such as, but not limited to, shipments sold en route
or cargo split by the carrier where the succeeding parts of the
shipment are not exported within the timeframes specified in Sec.
30.28.
* * * * *
0
8. Amend 30.8 by revising paragraph (a) to read as follows:
Sec. 30.8 Time and place for presenting proof of filing citations and
exemption legends.
* * * * *
(a) Mail exports. The proof of filing citation, postdeparture
filing citation, AES downtime filing citation, exemption and/or
exclusion legend for items exported by mail as required in Sec.
30.4(b) shall be annotated on the appropriate U.S. Postal Service
customs declaration form (and/or its electronic equivalent) and
presented with the packages at the time of mailing. The Postal Service
is required to deliver the proof of filing citation, postdeparture
filing citation, AES downtime filing citation, exemption or exclusion
legend prior to export.
* * * * *
Sec. 30.10 [Amended]
0
9. Amend Sec. 30.10 by removing paragraphs (a)(1) and (2).
0
10. Amend Sec. 30.16 by revising paragraph (d) to read as follows:
Sec. 30.16 Export Administration Regulations.
* * * * *
(d) A shipment destined for a country listed in Country Group E:1
or E:2 as set forth in Supplement No. 1 to 15 CFR part 740 shall
require EEI filings regardless of value unless such shipment is
eligible for an exemption in Sec. 30.37(y) and does not require a
license by BIS or any other Federal Government Agency.
* * * * *
0
11. Amend Sec. 30.28 by revising the introductory text and paragraph
(a); and removing paragraph (c) to read as follows:
Sec. 30.28 Split shipments.
A split shipment is a shipment covered by a single EEI record
booked for export on one conveyance that is divided for shipment on
more than one conveyance by the exporting carrier prior to export. The
exporting carrier must file the manifest in accordance with CBP
regulations indicating that the cargo was sent on two or more of the
same type of conveyance of the same carrier leaving from the same port
of export within 24 hours by vessel or 7 days by air, truck, or rail.
For the succeeding parts of the shipment that are exported within the
time frames specified above, a new EEI record will not be required.
However, for the succeeding parts of the shipment that are not exported
within the time frames specified above, a new EEI record must be filed
and amendments must be made to the original EEI record. If a new EEI
record is required, the original ITN data element may be used. The
following procedures apply for split shipments:
(a) The carrier shall submit the manifest to the CBP Port Director
with the manifest covering the conveyance on which the first part of
the split shipment is exported and shall make no changes to the EEI.
However, the manifest shall show in the ``number of packages'' column
the actual portion of the declared total quantity being carried and
shall carry a notation to indicate ``Split Shipment'' e.g., ``3 of 10--
Split Shipment.'' All associated manifests with the notation ``Split
Shipment'' will have identical ITNs if exported within 24 hours by
vessel or 7 days by air, truck, or rail.
* * * * *
0
12. Amend Sec. 30.29 by revising paragraphs (a)(1), (a)(2) and (b)(2)
to read as follows:
Sec. 30.29 Reporting of repairs and replacements.
* * * * *
(a) * * *
(1) The return of goods not licensed by a U.S. Government agency
and not subject to the ITAR, temporarily imported for repair and
alternation, and declared as such on importation shall have Schedule B
number 9801.10.0000. The value shall only include parts and labor. The
value of the original product shall not be included. If the value of
the parts and labor is over $2,500, then EEI must be filed.
(2) The return of goods licensed by a U.S. Government agency or
subject to the ITAR, temporarily imported for repair or alteration, and
declared as such on importation shall have Schedule B number
9801.10.0000. In the value field, report the value of the parts and
labor. In the license value field, report the value designated on the
export license that corresponds to the commodity being exported if
required by the licensing agency. EEI must be filed regardless of
value.
(b) * * *
(2) Goods that are replaced under warranty at no charge to the
customer shall include the statement, ``Product replaced under
warranty, value for EEI purposes'' on the bill of lading, air waybill,
or other commercial loading documents. Place the notation below the
proof of filing citation, postdeparture filing citation, AES downtime
filing citation, exemption or exclusion legend on the commercial
loading documents. Report the Schedule B number or Harmonized Tariff
Schedule of the United States Annotated (HTSUSA) commodity
classification number of the replacement parts. For goods not licensed
by a U.S. Government agency, report the value of the replacement parts
in accordance with Sec. 30.6(a)(17). For goods licensed by a U.S.
Government agency, report the value and license value in accordance
with Sec. 30.6(a)(17) and Sec. 30.6(b)(15) respectively.
0
13. Amend Sec. 30.36 by revising paragraph (b)(4) to read as follows:
Sec. 30.36 Exemption for shipments destined to Canada.
* * * * *
(b) * * *
(4) Requiring a Department of Commerce, Bureau of Industry and
Security, license or requiring reporting
[[Page 18392]]
under the Export Administration Regulations (15 CFR 758.1(b)).
* * * * *
0
14. Amend Sec. 30.37 by revising paragraphs (y) introductory text,
(y)(5), and (y)(6) to read as follows:
Sec. 30.37 Miscellaneous exemptions.
* * * * *
(y) The following types of shipments destined for a country listed
in Country Group E:1 or E:2 as set forth in Supplement No. 1 to 15 CFR
part 740 are not required to be filed in the AES:
* * * * *
(5) Vessels and aircraft lawfully leaving the United States for
temporary sojourn to or in a Country Group E:1 or E:2 country under
License Exception AVS (15 CFR 740.15).
(6) Tools of trade that will be used by a person traveling to a
Country Group E:1 or E:2 destination, that will be returned to the
United States within one year and that are lawfully being exported to a
Country Group E:1 or E:2 destination under License Exception BAG (15
CFR 740.14) or License Exception TMP (15 CFR 740.9(a)).
0
15. Revise the heading of subpart E to read as follows:
Subpart E--Manifest Requirements
0
16. Amend Sec. 30.45 by revising the section heading, paragraphs (a)
introductory text, (a)(1) introductory text and (b); removing and
reserving paragraph (a)(2) and (3), and removing paragraphs (c) through
(f); to read as follows:
Sec. 30.45 Manifest requirements.
(a) File the manifest in accordance with Customs and Border
Protections (CBP) regulations.
(1) Vessels. Vessels transporting goods as specified shall file a
complete manifest, or electronic equivalent.
* * * * *
(2) [Reserved]
(3) [Reserved]
* * * * *
(b) Exempt items. For any item for which EEI is not required by the
regulations in this part, a notation on the manifest shall be made by
the carrier as to the basis for the exemption. In cases where a
manifest is not required and EEI is not required, an oral declaration
to the CBP Port Director shall be made as to the basis for the
exemption.
Sec. Sec. 30.46--30.47 [Removed and Reserved]
0
17. Remove and reserve Sec. Sec. 30.46 and 30.47.
0
18. Amend Sec. 30.50 by revising the introductory text to read as
follows:
Sec. 30.50 General requirements for filing import entries.
Electronic entry summary filing through the Automated Commercial
Environment (ACE), paper import entry summaries (CBP-7501), or paper
record of vessel foreign repair or equipment purchase (CBP-226) shall
be completed by the importer of record or its licensed customs broker
and filed directly with CBP in accordance with 19 CFR parts 1-199.
Information on all mail and informal entries required for statistical
and CBP purposes shall be reported, including value not subject to
duty. Upon request, the importer of record or the importer's licensed
customs broker shall provide the Census Bureau with information or
documentation necessary to verify the accuracy of the reported
information, or to resolve problems regarding the reported import
transaction received by the Census Bureau.
* * * * *
0
19. Revise Sec. 30.53 to read as follows:
Sec. 30.53 Import of goods returned for repair.
Import entries covering U.S. goods imported temporarily to be
repaired, altered, or processed under Harmonized Tariff Schedule of the
United States Annotated (HTSUSA) commodity classification code
9801.00.1012, and foreign goods imported temporarily to be repaired or
altered under the HTSUSA commodity classification code 9813.00.0540 are
required to show the following statement: ``Imported for Repair and
Reexport'' on CBP Form 7501 or its electronic equivalent. When the
goods are subsequently exported, file according to the instructions
provided in Sec. 30.29.
0
20. Amend Sec. 30.74 by revising paragraph (c)(5) to read as follows:
Sec. 30.74 Voluntary self-disclosure.
* * * * *
(c) * * *
(5) Where to make voluntary self-disclosures. With the exception of
voluntary disclosures of manifest violations under paragraph (c) of
this section, the information constituting a Voluntary Self-Disclosure
or any other correspondence pertaining to a Voluntary Self-Disclosure
may be submitted to: Chief, International Trade Management Division,
U.S. Census Bureau, 4600 Silver Hill Road, Washington, DC 20233.
Additional instructions are found at www.census.gov/trade.
* * * * *
Appendix B to Part 30 [Removed]
0
21. Remove Appendix B.
0
22. Redesignate Appendix D as new Appendix B and revise it to read as
follows:
Appendix B to Part 30--AES Filing Citation, Exemption and Exclusion
Legends
------------------------------------------------------------------------
------------------------------------------------------------------------
I. Proof of Filing Citation........ AES ITN.
Example: AES X20170101987654.
II. Postdeparture Citation--USPPI.. AESPOST USPPI EIN Date of Export
USPPI is filing the EEI............ (mm/dd/yyyy).
Example: AESPOST 12345678912 01/01/
2017.
III. Postdeparture Citation--Agent. AESPOST USPPI EIN--Filer ID Date of
Agent is filing the EEI............ Export (mm/dd/yyyy).
Example: AESPOST 12345678912--
987654321 01/01/2017.
IV. AES downtime Filing Citation-- AESDOWN Filer ID Date of Export (mm/
Use only when AES or AESDirect is dd/yyyy).
unavailable. Example: AESDOWN 123456789 01/01/
2017.
V. Exemption for Shipments to NOEEI Sec. 30.36.
Canada.
VI. Exemption for Low-Value NOEEI Sec. 30.37(a).
Shipments.
VII. Miscellaneous Exemption NOEEI Sec. 30.37 (site
Statements are found in 15 CFR corresponding alphabet).
part 30 subpart D Sec. 30.37(b)
through Sec. 30.37(y).
VIII. Special Exemption for NOEEI Sec. 30.39.
Shipments to the U.S. Armed Forces.
IX. Special Exemptions for Certain NOEEI Sec. 30.40 (site
Shipments to U.S. Government corresponding alphabet).
Agencies and Employees (Exemption
Statements are found in 15 CFR
part 30 subpart D Sec. 30.40(a)
through Sec. 30.40(d).
X. Miscellaneous Exclusion NOEEI Sec. 30.2(d) (site
Statements are found in 15 CFR corresponding number).
part 30 subpart A Sec. 30.2(d).
[[Page 18393]]
XI. Split Shipments................ AES ITN SS.
Split Shipments should be Example: AES X20170101987654 SS.
referenced as such on the manifest
in accordance with provisions
contained in Sec. 30.28, Split
Shipments. The notation should be
easily identifiable on the
manifest. It is preferable to
include a reference to a split
shipment in the exemption
statements cited in the example,
the notation SS should be included
at the end of the appropriate
exemption statement.
------------------------------------------------------------------------
Appendices C, E, and F [Removed]
0
23. Remove Appendices C, E, and F.
Dated: April 10, 2017.
John H. Thompson,
Director, Bureau of the Census.
[FR Doc. 2017-07646 Filed 4-18-17; 8:45 am]
BILLING CODE 3510-07-P