7546 Federal Register / Vol. 75, No. 34 / Monday, February 22, 2010 / Rules and Regulations 

no federalism implications warranting 

preparation of a federalism assessment. 

Paperwork Reduction Act 

SBA has determined that this final 

rule does not impose additional 

reporting or recordkeeping requirements 

under the Paperwork Reduction Act, 44 

U.S.C., Chapter 35. 

Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA), 

5 U.S.C. 601, requires administrative 

agencies to consider the effect of their 

actions on small entities, including 

small businesses. Pursuant to the RFA, 

when an agency issues a rule, the 

agency must prepare an analysis to 

determine whether the impact of the 

rule will have a significant economic 

impact on a substantial number of small 

entities. However, the RFA requires 

analysis of a rule only where notice and 

comment rulemaking are required. 

Rules are exempt from Administrative 

Procedure Act (APA) notice and 

comment requirements and therefore 

from the RFA requirements when the 

agency for good cause finds (and 

incorporates the finding and brief 

statement of reasons in the rules issued) 

that notice and public procedure 

thereon is impracticable, unnecessary, 

or contrary to the public interest. In this 

case it would be impracticable given the 

emergency nature of the recent 

legislation authorizing the new 

requirements. 

List of Subjects in 13 CFR Part 123 

Disaster assistance, Reporting and 

recordkeeping requirements. 

■ For the reasons set forth in the 

preamble, the Small Business 

Administration amends 13 CFR part 123 

as follows: 

PART 123—-DISASTER LOAN 

PROGRAM 

■ 1. The authority citation for part 123 

continues to read as follows: 

Authority: 15 U.S.C. 634(b)(6), 636(b), 636 

(c); 657i, Pub. L. 102–395, 106 Stat. 1828; 

Pub. L. 103–75, 107 Stat. 739; Pub. L. 106– 

50, 113 Stat. 245; Pub. L. 110–246, 112 Stat. 

1651. 

■ 2. Amend Subpart B by adding at the 

end new § 123.108 to read as follows: 

§ 123.108 How do the SBA disaster loan 

program and the FEMA grant programs 

interact? 

After a Presidential disaster 

declaration is made, you may be eligible 

for disaster assistance, including grant 

assistance, from the Federal Emergency 

Management Agency’s (FEMA) Federal 

Assistance to Individuals and 

Households Program (IHP). After you 

register with FEMA for disaster 

assistance, FEMA will consider you for 

IHP assistance, which includes housing 

assistance grants to repair or replace 

your damaged primary residence and 

temporary housing assistance (including 

rental assistance) to assist you 

temporarily with a place to live, and 

assistance with personal property, 

medical, dental and funeral expenses. 

FEMA may also refer you to SBA to 

apply for loan assistance to help repair 

or rebuild your home and/or to replace 

personal property destroyed during the 

disaster. If SBA is unable to approve 

your loan application, or if you have 

damage in excess of the SBA loan 

amount, SBA may refer you, on a timely 

basis, to FEMA for IHP grant 

consideration to assist with your unmet 

personal property and transportation 

needs. If you are approved for the SBA 

disaster loan and you have received 

grant assistance that duplicates the 

damage covered by the SBA loan, such 

grant assistance must be deducted from 

your loan eligibility as described in 

section 123.101(c) of the regulations. All 

grant decisions are made by FEMA. 

Additionally, if additional disaster 

assistance is available from state, local 

or other agencies, SBA may refer you to 

the appropriate agency for 

consideration. 

Dated: February 16, 2010. 

Karen G. Mills, 

Administrator. 

[FR Doc. 2010–3395 Filed 2–19–10; 8:45 am] 

BILLING CODE 8025–01–P 

DEPARTMENT OF COMMERCE 

Census Bureau 

15 CFR Part 30 

[Docket Number: 090422707–91445–02] 

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: Final rule. 

SUMMARY: The U.S. Census Bureau 

(Census Bureau) issues this final rule 

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. If 

the U.S. Principal Party in Interest 

(USPPI) or the U.S. authorized agent 

residing in or having an office in the 

United States does not have an 

Employer Identification Number (EIN), 

the USPPI or the U.S. authorized agent 

must obtain an EIN through the Web site 

of the Internal Revenue Service (IRS). 

Former SSN filers who want to use a 

Dun & Bradstreet Number (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 final rule is being 

implemented to ensure that a USPPI’s or 

authorized agent’s SSN is protected in 

accordance with the Privacy Act of 1974 

(Privacy Act), title 5, United States Code 

(U.S.C.), section 552a. On August 5, 

2009, this final rule was published as an 

interim final rule; the Census Bureau is 

finalizing this rule without change. 

DATES: Effective Date: This rule is 

effective March 24, 2010. 

FOR FURTHER INFORMATION CONTACT: 

William G. Bostic, Jr., Assistant Director 

for Economic Programs, United States 

Census Bureau, 4600 Silver Hill Road, 

Room 8K108, Washington, DC 20233– 

6700; by phone at (301) 763–8842; 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, U.S.C. Chapter 9, section 301(a). 

On June 2, 2008, the Census Bureau 

issued a final rule to amend the FTR to 

implement provisions in the Foreign 

Relations Authorization Act (Pub. L. 

107–228, § 1404(a)–(c), 116 Stat. 1454 

(2002)). Specifically, the amended FTR 

required mandatory filing of export 

information through the AES or 

AESDirect for all shipments where a 

Shipper’s Export Declaration (SED) is 

required. The USPPI or U.S. authorized 

agent residing or having an office in the 

United States was required to enter an 

EIN, SSN or DUNS when reporting 

export transactions in the AES or 

AESDirect. Though the effective date of 

this final rule was July 2, 2008, the 

Census Bureau announced that it would 

delay implementation until September 

30, 2008, to allow all affected entities 

sufficient time to come into compliance 

with the final rule. 

Pursuant to the requirements of the 

Privacy Act and guidance from the 

Office of Management and Budget 

(OMB), on August 5, 2009, the Census 

Bureau published in the Federal 


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Federal Register / Vol. 75, No. 34 / Monday, February 22, 2010 / Rules and Regulations 7547 

Register an interim final rule with 

request for comments. The interim final 

rule amended the FTR to eliminate the 

requirement to report an SSN as an 

identification number when registering 

to file and when filing electronic export 

information in the AES or AESDirect. 

Upon implementation of this final 

rule, the AES will no longer provide the 

option for using the SSN as an 

identification number. All USPPI and 

U.S. authorized agents who currently 

report an SSN when filing in the AES, 

because they do not have or use an EIN 

or DUNS, must provide an EIN or DUNS 

for identification purposes. EINs are 

available to both businesses and 

individuals free of charge, and can be 

obtained by registering with the IRS at 

http://www.irs.gov or by calling (800) 

829–4933 and following the 

instructions. A DUNS is available only 

to business entities with EINs and is 

available for a fee at Dun and 

Bradstreet’s Web site at http:// 

www.dnb.com/us/. 

Summary of Comments and Responses 

The Census Bureau received 50 

comments on the interim final rule 

published in the Federal Register on 

August 5, 2009. 74 FR 38914. A 

summary of the comments and the 

Census Bureau’s responses are provided 

below. 

The major concerns were as follows: 

1. Clarify the procedure for obtaining 

an EIN. Several commenters requested 

clarification on the procedure of how to 

obtain an EIN for the purpose of filing 

the EEI. To obtain an EIN, a business or 

individual must submit an application 

to the IRS, at the contact information 

listed above, via the Internet, phone, 

fax, or mail. There are no fees associated 

with obtaining an EIN, and the 

procedure to obtain an EIN takes 

approximately 15 minutes when 

applying online or by phone. 

2. Clarify the procedure for obtaining 

an EIN on behalf of another individual. 

One commenter requested clarification 

on the proper use of the SS–4 form 

when obtaining an EIN. Individuals may 

prepare the SS–4 form when applying 

for an EIN via mail, fax, or authorize a 

third party to prepare the form on their 

behalf. If a third party is completing the 

SS–4 form by mail or fax, the individual 

for whom the EIN is being obtained will 

complete the section ‘‘Third Party 

Designee.’’ If a third party is completing 

the SS–4 form online, the individual 

will need to print the SS–4 form, 

complete the ‘‘Third Party Designee’’ 

section and retain for future reference. 

Completion of the ‘‘Third Party 

Designee’’ section is not required for 

individuals who are applying for an EIN 

on their own behalf. 

3. Clarify whether an individual can 

obtain an EIN if they are not opening a 

business. Several commenters 

questioned whether they would be 

providing the IRS with false information 

when applying for an EIN under the 

Sole Proprietor category if they are not 

starting a business. In addition, one of 

these commenters requested 

clarification on the tax ramifications of 

applying for an EIN. For purposes of 

registering or filing in the AES, a 

resident of the United States must use 

its EIN. While it is not specifically 

stated on the IRS Web site, an EIN can 

be obtained for government reporting 

purposes when a person does not own 

a business. A U.S. company must use its 

EIN when registering in the AES, and 

must use either its EIN or DUNS when 

filing. Use of the EIN in the AES is 

strictly for identification purposes, and 

information entered into the AES is not 

disclosed to the IRS. 

4. Clarify the filing requirement for an 

individual who rarely exports. Several 

commenters questioned whether the 

frequency of their shipments warranted 

the effort required to obtain an EIN. 

Regardless of shipping frequency, any 

person (natural or legal) shipping goods 

to a foreign country that requires filing 

of the EEI via the AES will need to 

obtain an EIN from the IRS. 

5. Clarify whether a passport, driver’s 

license, or customs assigned number 

can be used in place of the SSN. Several 

commenters questioned why a passport, 

driver’s license, or customs assigned 

number cannot be used in lieu of the 

EIN for U.S. residents. In addition, 

several of these commenters suggested 

that the Census Bureau amend the 

interim final rule to make SSNs or 

passport numbers optional when filing 

the EEI. 

Passports have expiration dates and 

the numbers are subject to change if the 

passports are not renewed timely. 

Allowing the use of a passport number 

in the AES makes it difficult for the U.S. 

Customs and Border Protection (CBP) to 

enforce control laws by introducing a 

variable that is subject to change, 

thereby making it more difficult to track 

and analyze historical shipping 

patterns. In addition, obtaining a U.S. 

passport requires the payment of fees, 

and generally takes two to six weeks. 

Moreover, passports are used for the 

specific purpose of exiting and 

returning to the United States as a U.S. 

citizen. The Census Bureau elected to 

replace the SSN with an EIN because 

the EIN can be obtained at the IRS Web 

site free of charge within 15 minutes. 

The EIN does not have an expiration 

date, so it can be used indefinitely. In 

addition, a person can serve as a third 

party designee and apply for an EIN on 

behalf of an individual. 

A driver’s license number, like the 

SSN, is considered highly sensitive 

Personally Identifiable Information (PII) 

that can directly be used to identify an 

individual. The EIN is not as sensitive 

a form of PII as either a driver’s license 

or SSN. Moreover, because of varying 

license formats among the states and the 

need to accommodate changes when 

persons move to different states, the use 

of drivers’ licenses would introduce 

more operational complexity than EINs. 

The USPPIs shall report an EIN or the 

DUNS in the USPPI identification field. 

The DUNS may only be reported for 

businesses. If a foreign entity is the 

USPPI for filing purposes, it shall report 

a DUNS, border crossing number, 

passport number, or any number 

assigned by the CBP. Thus, for the 

reasons stated above, the Census Bureau 

does not adopt this suggestion. 

6. Amend the Interim Final Rule to 

postpone the implementation date. 

Several commenters requested a further 

delay in the implementation date of the 

interim final rule because of concerns 

that there would be delays in the export 

process by having to obtain an EIN. In 

addition, several of these commenters 

requested that the Census Bureau 

conduct an impact analysis on 

exporters. Based on information 

available from IRS’s Web site, the 

approximately four months between the 

publication of this interim final rule on 

August 5, 2009, and the implementation 

date of December 3, 2009, was more 

than enough time to obtain an EIN; thus, 

no AES filer should experience any 

delays in exporting as a result of the 

implementation of this final rule. In 

addition, the Census Bureau has not 

received any information since 

December 3, 2009, suggesting that 

exporters are experiencing (or have 

experienced) delays in the export 

process due to the interim rule. 

Findings from an impact analysis show 

that on a monthly basis, an average of 

3.8 percent of filers using the SSN are 

affected. For the foregoing reasons, the 

Census Bureau does not adopt the 

suggestion that it delay implementation 

of this final rule. 

7. Clarify the procedure for updating 

AES account information if a filer was 

originally registered with an SSN. 

Several commenters raised the concern 

that reregistering in the AES after 

obtaining an EIN would result in the 

loss of current AES account 

information. However, if they are 

currently registered under an SSN, 

AESDirect filers can complete the 


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7548 Federal Register / Vol. 75, No. 34 / Monday, February 22, 2010 / Rules and Regulations 

Automated Transition Form to migrate 

their account information, currently 

stored under the SSN account, to a new 

EIN account. As of October 20, 2009, the 

Automated Transition Form has been 

available on the AESDirect Web site. 

Those who file directly into the AES 

must contact their CBP representative to 

have their account manually 

transitioned. 

8. Clarify whether a company or 

individual can use its EIN as the USPPI 

identification number when filing on 

behalf of the USPPI. Several 

commenters wanted to know if a 

company or individual could use its EIN 

as the USPPI identification number 

when filing on behalf of the USPPI. A 

company that is filing in the AES on 

behalf of an individual cannot use its 

EIN. When filing the EEI on behalf of a 

USPPI, the EIN of that USPPI must be 

used as the identification number. The 

filer’s EIN cannot be used as the USPPI 

identification number. The use of 

another company or individual’s EIN is 

prohibited. 

9. Clarify the use of an EIN for 

shipments to the U.S. Armed Services. 

Several commenters wanted to know if 

an EIN would be required for shipments 

to the U.S. Armed Services. Filing an 

AES record is not required for 

shipments to the U.S. Armed Services 

for their exclusive use, whether the 

shipments are made commercially or 

through government channels, 

including shipments to armed services 

exchange systems per title 15, CFR, Part 

30, FTR, section 30.39. This exemption 

does not apply to articles on the United 

States Munitions List that are controlled 

by the International Traffic in Arms 

Regulations, or to shipments that are not 

consigned to the U.S. Armed Services, 

regardless of whether they may be for its 

ultimate and exclusive use. If an export 

falls under this exemption, you are not 

required to obtain an EIN because filing 

an AES record is not required. 

10. Clarify the use of an EIN for 

shipments to employees of government 

agencies. Several commenters wanted to 

know if government agencies or 

employees of these agencies were 

required to obtain an EIN for shipping 

purposes. Filing an AES record is not 

required for the following shipments: 

office furniture, office equipment, and 

office supplies shipped to and for the 

exclusive use of U.S. government 

offices, or household goods and 

personal property shipped to and for the 

exclusive and personal use of U.S. 

government employees. These 

shipments are exempt from filing the 

EEI per title 15, CFR, Part 30, FTR, 

section 30.40. If an export falls under 

this exemption, you are not required to 

obtain an EIN because filing an AES 

record is not required. 

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 and OMB 

guidance, the Census Bureau is 

amending relevant sections of the FTR 

to specify the requirements for the 

reporting of an EIN, or DUNS in place 

of a SSN 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 5 U.S.C. 553(b)(B) to waive 

prior notice and opportunity for public 

comment, as public comment is 

impracticable and contrary to the public 

interest of maintaining the security of 

personal information. To ensure the 

confidentiality of the USPPI and the 

U.S. authorized agent’s personal 

information, and to comply with the 

Privacy Act, the Census Bureau is 

amending appropriate sections of the 

FTR to eliminate the reporting of the 

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, the 

Census Bureau has determined that it 

will make this rule effective on March 

24, 2010. 

Regulatory Flexibility Act 

Because notice and opportunity for 

comment are not required pursuant to 5 

U.S.C. 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 

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 OMB under the Paperwork 

Reduction Act (PRA), title 44, U.S.C. 

Chapter 35. This rule amends a 

collection of information subject to the 

requirements of the PRA, 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. 

■ Accordingly, as discussed above, the 

interim final rule amending Title 15 

Code of Federal Regulations Part 30, 

which published at 74 FR 38914 on 

August 5, 2009, is adopted as a final 

rule without change. 

Dated: February 16, 2010. 

Robert M. Groves, 

Director, Bureau of the Census. 

[FR Doc. 2010–3365 Filed 2–19–10; 8:45 am] 

BILLING CODE 3510–07–P 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Part 774 

[Docket No. 0907241163–91434–01] 

RIN 0694–AE67 

Amendments to the Select Agents 

Controls in Export Control 

Classification Number (ECCN) 1C360 

on the Commerce Control List (CCL); 

Correction to ECCN 1E998 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) is publishing this final 


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