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[Federal Register: August 5, 2009 (Volume 74, Number 149)]
[Rules and Regulations]               
[Page 38914-38916]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr05au09-12]                         

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DEPARTMENT OF COMMERCE

Bureau of the Census

15 CFR Part 30

[Docket Number: 090422707-9708-01]
RIN 0607-AA48

 
Foreign Trade Regulations (FTR): Eliminate the Social Security 
Number (SSN) as an Identification Number in the Automated Export System 
(AES)

AGENCY: Bureau of the Census, Commerce Department.

ACTION: Interim final rule with request for comments.

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SUMMARY: The U.S. Census Bureau (Census Bureau) is amending the Foreign 
Trade Regulations (FTR) to eliminate the requirement to report a Social 
Security Number (SSN) as an identification number when registering to 
file and filing electronic export information in the Automated Export 
System (AES) or AESDirect. Under the current regulations, the U.S. 
Principal Party in Interest (USPPI) or U.S. authorized agent residing 
or having an

[[Page 38915]]

office located in the United States is required to enter an Employer 
Identification Number (EIN), SSN, or Dun and Bradstreet Number (DUNS) 
when reporting export transactions in the AES or AESDirect. An SSN is 
used as an identification number principally by filers who are 
individuals. DUNS are available only to business entities, and EINs are 
available to both businesses and individuals.
    Upon implementation of this Interim Final Rule, if the USPPI or the 
U.S. authorized agent who resides or has an office located in the 
United States does not have an EIN, the USPPI, or U.S. authorized agent 
must obtain an EIN through the Internal Revenue Service's Web site. 
Former SSN filers who want to use a DUNS rather than an EIN for 
identification purposes, must first obtain an EIN from the IRS and 
apply to Dun & Bradstreet for a DUNS. This rule is being implemented to 
ensure that a USPPI's or U.S. authorized agent's SSN is protected in 
accordance with the Privacy Act of 1974, Title 5, United States Code, 
Section 552a.

DATES: Effective Date: This rule is effective September 4, 2009. 
Implementation Date: The Census Bureau will implement provisions of 
this rule December 3, 2009.
    Comment Due Date: Comments on the interim rule should be submitted 
in writing to the address shown below on or before October 5, 2009 to 
be considered in the formation of the final rule.

ADDRESSES: You may submit your comments to: William G. Bostic, Jr., 
Chief, Foreign Trade Division, U.S. Census Bureau, 4600 Silver Hill 
Road, Room 6K032, Washington, DC 20233-6700; by telephone at (301) 763-
2255; by fax at (301) 763-6638; or by e-mail: 
william.g.bostic.jr@census.gov.

FOR FURTHER INFORMATION CONTACT: William G. Bostic, Jr., Chief, Foreign 
Trade Division, U.S. Census Bureau, 4600 Silver Hill Road, Room 6K032, 
Washington, DC 20233-6700; by telephone at (301) 763-2255; by fax at 
(301) 763-6638; or by e-mail: william.g.bostic.jr@census.gov.

SUPPLEMENTARY INFORMATION: 

Background

    The Census Bureau is responsible for collecting, compiling, and 
publishing export and import trade statistics for the United States 
under the provisions of Title 13, United States Code (U.S.C.), Chapter 
9, Section 301(a). To implement this responsibility, the Census Bureau 
developed the Automated Export System \1\ (AES), an electronic filing 
system, to allow exporters to submit certain information directly with 
U.S. Customs Border and Protection (CBP) and the Census Bureau. The AES 
is also used for export control purposes to detect and prevent the 
export of certain items by unauthorized parties, destinations or end 
users. Under the FTR, 15 CFR 30.60(e), this information is exempt from 
public disclosure unless the Secretary of Commerce or his designee, the 
Director of the Census Bureau, determines that withholding such 
information would be contrary to the national interest under the 
provisions of Title 13, U.S.C., Chapter 9, Section 301(g).
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    \1\ References to AES include the AESDirect, a free online 
version of the AES.
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    Through the AES, the Census Bureau collects Electronic Export 
Information (EEI), the electronic equivalent of the export data 
formerly collected on the Shipper's Export Declaration. EEI consists of 
data elements for an export shipment, and includes information such as 
the exporter's personal identifying information, which includes name, 
address and identification number, and detailed information concerning 
the exported product.
    Pursuant to the requirements of the Privacy Act of 1974 (5 U.S.C. 
552a) and guidance from the Office of Management and Budget (OMB), the 
Census Bureau is amending its regulations to discontinue the collection 
of the Social Security Number when reporting EEI through the AES or 
other authorized method. Upon implementation of this rule, the AES will 
no longer provide the option for using the Social Security Number as an 
identification number. All USPPIs and U.S. authorized agents who 
currently report a SSN when filing in the AES, because they do not have 
or use an EIN or DUNS number, must provide an EIN or DUNS number for 
identification purposes. EINs are available to both businesses and 
individuals and can be obtained by registering with the Internal 
Revenue Service (IRS) at http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.irs.gov or by calling (800) 829-
4933 and following the instructions. A DUNS number is available only to 
business entities with EINs and is available for a fee at Dun and 
Bradstreet's Web site at http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.dnb.com/us/.

Regulatory Changes

    To ensure the confidentiality of the USPPI's and the U.S. 
authorized agent's personal information and to comply with the Privacy 
Act of 1974 and OMB guidance, the Census Bureau is amending relevant 
sections of the Foreign Trade Regulations (FTR) to specify the 
requirements for the reporting of an EIN, or DUNS in place of a Social 
Security Number for identification purposes in the AES.
    The Census Bureau is amending the following sections of the FTR:
     Section 30.1(c) definition for Party ID type is revised to 
eliminate the SSN.
     Sections 30.3(a) and 30.3(e) are revised to eliminate the 
requirement of reporting the SSN in the AES.
     Sections 30.6(a) and 30.6(b) are revised to eliminate the 
SSN as an option for the USPPI and U.S. authorized agent identification 
number.
    The U.S. Department of State and U.S. Department of Homeland 
Security concur with the provisions contained in this Final Rule.

Rulemaking Requirements

Administrative Procedure Act

    The Census Bureau finds good cause pursuant to Title 5, United 
States Code, (U.S.C.), 553(b)(B) to waive prior notice and opportunity 
for public comment as it is impracticable and contrary to the public 
interest. To ensure the confidentiality of the USPPI and the U.S. 
authorized agent's personal information and to comply with the Privacy 
Act of 1974, Title 5, U.S.C., Section 552a, the Census Bureau is 
amending appropriate sections of the Foreign Trade Regulations (FTR) to 
eliminate the reporting of the Social Security Number (SSN) by USPPIs 
and U.S. authorized agents. If this rule were delayed to allow for 
notice and opportunity for public comment, USPPIs and U.S. authorized 
agents would continue to be required to submit their SSN to the Census 
Bureau if they do not have an EIN or DUNS. Therefore, in order to 
maintain the security of personal information, and to comply with the 
Privacy Act of 1974, Title 5, U.S.C., Section 552a, the Census Bureau 
has determined that it will make this rule effective on September 4, 
2009.

Regulatory Flexibility Act

    Since notice and opportunity for comment are not required pursuant 
to Title 5, U.S.C., Section 553, or any other law, the analytical 
requirements of the Regulatory Flexibility Act are inapplicable. 
Therefore, a final regulatory flexibility analysis is not required and 
one has not been 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

[[Page 38916]]

with Federalism implications as that term is defined under Executive 
Order 13132.

Paperwork Reduction Act

    The collection of information required in this final rule has been 
approved by the Office of Management and Budget (OMB) under the 
Paperwork Reduction Act (PRA). This rule amends a collection of 
information subject to the requirements of the PRA, Title 44, U.S.C., 
Chapter 35, which has been approved under OMB control number 0607-0152. 
The reporting and recordkeeping burden for this requirement is 
estimated at three total burden minutes per AES filing. 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 PRA, 
unless that collection of information displays a current, valid OMB 
control number.

List of Subjects in 15 CFR Part 30

    Economic statistics, Exports, Foreign trade, Reporting and 
Recordkeeping requirements.

0
For the reasons set out in the preamble, Title 15, CFR part 30, is 
amended as follows:

PART 30--FOREIGN TRADE REGULATIONS

Subpart A--General Requirements

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 
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; and Public Law 107-228, 116 
Stat.1350.


0
2. In Sec.  30.1 (c), revise the definition ``Party ID type'' to read 
as follows:


Sec.  30.1  Purpose and definitions.

* * * * *
    (c) * * *
    Party ID type. Identifies whether the Party ID is an EIN, DUNS, or 
Foreign Entity reported to the AES, for example, E=EIN, D=DUNS, 
T=Foreign Entity.
* * * * *


0
3. In Sec.  30.3, revise paragraphs (a), (e)(1)(ii), and (e)(2)(vi) to 
read as follows:


Sec.  30.3  Electronic Export Information filer requirements, parties 
to export transactions, and responsibilities of parties to export 
transactions.

    (a) General requirements. The filer of EEI for export transactions 
is either the USPPI, or the U.S. authorized agent. All EEI submitted to 
the AES shall be complete, correct, and based on personal knowledge of 
the facts stated or on information furnished by the parties to the 
export transaction. The filer shall be physically located in the United 
States at the time of filing, have an EIN or DUNS and be certified to 
report in the AES. In the event that the filer does not have an EIN or 
DUNS, the filer must obtain an EIN from the Internal Revenue Service. 
The filer is responsible for the truth, accuracy, and completeness of 
the EEI, except insofar as that party can demonstrate that it 
reasonably relied on information furnished by other responsible persons 
participating in the transaction. All parties involved in export 
transactions, including U.S. authorized agents, should be aware that 
invoices and other commercial documents may not necessarily contain all 
the information needed to prepare the EEI. The parties shall ensure 
that all information needed for reporting to the AES, including correct 
export licensing information, is provided to the U.S. authorized agent 
for the purpose of correctly preparing the EEI.
* * * * *
    (e) * * *
    (1) * * *
    (ii) USPPI's EIN or DUNS
* * * * *
    (2) * * *
    (vi) EIN or DUNS of the authorized agent.
* * * * *


0
4. In Sec.  30.6, revise paragraphs (a)(1)(iii) and (b)(1)(i) to read 
as follows:


Sec.  30.6  Electronic Export Information data elements.

* * * * *
    (a) * * *
    (1) * * *
    (iii) USPPI identification number. The USPPI shall report its own 
IRS EIN in the USPPI field of the EEI. 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, and not 
the EIN that is used to report only company earnings or receipts. If 
the USPPI does not have an EIN, the USPPI must obtain an EIN for 
reporting to the AES. Use of another company's or individual's EIN or 
other identification number is prohibited. The appropriate Party type 
code shall be reported through the AES. When a foreign entity is in the 
United States when the items are purchased or obtained for export, the 
foreign entity is the USPPI for filing purposes. In such situations, 
the foreign entity shall report a DUNS, border crossing number, 
passport number, or any number assigned by CBP.
* * * * *
    (b) * * *
    (1) * * *
    (i) U.S. Authorized agent's identification number. Report the U.S. 
authorized agent's own EIN or DUNS for the first shipment and for each 
subsequent shipment. Use of another company's or individual's EIN or 
other identification number is prohibited. The party ID type of agent 
identification (E=EIN, D=DUNS) shall be indicated.
* * * * *

    Dated: July 30, 2009.
Robert M. Groves,
Director, Bureau of the Census.
[FR Doc. E9-18728 Filed 8-4-09; 8:45 am]

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Source: FTDWebMaster, Foreign Trade Division, U.S. Census Bureau, Washington, D.C. 20233
Location: MAIN: REGULATIONS:TRADE REGULATIONS
Created: 03 June 2008
Last modified: 13 July 2011 at 08:23:30 AM