[Federal Register Volume 79, Number 122 (Wednesday, June 25, 2014)]
[Notices]
[Pages 36083-36086]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-14874]


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DEPARTMENT OF HOMELAND SECURITY

U.S. Customs and Border Protection


Modification of National Customs Automation Program Test 
Concerning Automated Commercial Environment Document Image System

AGENCY: U.S. Customs and Border Protection, Department of Homeland 
Security.

ACTION: General notice.

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SUMMARY: This document announces U.S. Customs and Border Protection's 
(CBP's) plan to modify the National Customs Automation Program (NCAP) 
test concerning document imaging, known as the Document Image System 
(DIS) test. The DIS test allows Automated Commercial Environment (ACE) 
participants to submit electronic images of a specific set of CBP and 
Partner Government Agency (PGA) forms and supporting information to CBP 
via a CBP- approved Electronic Data Interchange (EDI). The third phase 
of the DIS test expands the eligible forms supported by the test. This 
notice provides DIS test details including commencement date for the 
third phase, eligibility, procedural and documentation requirements, 
and test development and evaluation methods.

DATES: The modified DIS test will commence no earlier than July 10, 
2014, and will continue until concluded by way of announcement in the 
Federal Register.

ADDRESSES: Comments concerning this notice and any aspect of the test 
may be submitted at any time during the test via email to Monica 
Crockett at [email protected]. In the subject line of your email, 
please indicate ``Comment on Document Image System (DIS)''.

FOR FURTHER INFORMATION CONTACT: For policy-related questions, contact 
Monica Crockett at [email protected]. For technical 
questions related to ABI transmissions, contact your assigned client 
representative. Any partner government agency (PGA) interested in 
participating in DIS should contact John Kyranos at 
[email protected]. Interested parties without an assigned 
client representative should direct their questions to Lori Kwiatkowski 
at [email protected].

SUPPLEMENTARY INFORMATION:

Background

    On April 6, 2012, U.S. Customs and Border Protection (CBP) 
published in the Federal Register a notice announcing a National 
Customs Automation Program (NCAP) test called the Document Image System 
(DIS) test. See 77 FR 20835. The DIS test allows Automated Commercial 
Environment (ACE) participants to submit electronic images of a 
specific set of CBP and Partner Government Agency (PGA) forms and 
supporting information to CBP. Specifically, importers and brokers are 
allowed to submit specified official CBP documents and specified PGA 
forms via a CBP-approved Electronic Data Interchange (EDI) (please see 
Section V, ``Technical Specifications'', below for details).
    On July 23, 2013, CBP published a subsequent notice announcing 
modifications to both the DIS NCAP test as well as the Simplified Entry 
test. See 78 FR 44142. On August 29, 2013, CBP published a notice 
correcting an error in the description of Animal and Plant Health 
Inspection Service (APHIS) document PPQ Form 586. See 78 FR 53466. The 
Simplified Entry test has been renamed as the ACE Cargo Release test. 
See 78 FR 66039 (November 4, 2013).
    The NCAP was established in Subtitle B of Title VI--Customs 
Modernization, in the North American Free Trade Agreement 
Implementation Act (Pub. L. 103-182, 107 Stat. 2057, 2170, December 8, 
1993) (Customs Modernization Act). See 19 U.S.C. 1411. Through NCAP, 
the initial thrust of customs modernization was on trade compliance and 
the development of ACE, the planned successor to the Automated 
Commercial System (ACS). ACE is an automated and electronic system for 
commercial trade processing which is intended to streamline business 
processes, facilitate growth in trade, ensure cargo security, and 
foster participation in global commerce, while ensuring compliance with 
U.S. laws and regulations and reducing costs for CBP and all of its 
communities of interest. The ability to meet these objectives depends 
on successfully modernizing CBP's business functions and the 
information technology that supports those functions. CBP's 
modernization efforts are accomplished through phased releases of ACE 
component functionality designed to introduce new functionality or to 
replace a specific legacy ACS function. Each release will begin with a 
test and will end with mandatory compliance with the new ACE feature, 
thus retiring the legacy ACS function. Each release builds on previous 
releases and sets the foundation for subsequent releases.
    For the convenience of the public, a chronological listing of 
Federal Register publications detailing ACE test developments in Entry, 
Summary, Accounts and Revenue (ESAR) is set forth below in Section VI, 
entitled, ``Development of ACE Prototypes''. The eligibility criteria, 
procedures, terms, conditions and rules set forth in the previous DIS 
notices remain in effect unless otherwise explicitly changed by this or 
subsequent notices published in the Federal Register.

[[Page 36084]]

Authorization for the Test

    The Customs Modernization provisions in the North American Free 
Trade Agreement Implementation Act provide the Commissioner of CBP with 
authority to conduct limited test programs or procedures designed to 
evaluate planned components of the NCAP. This test is authorized 
pursuant to Sec.  101.9(b) of the CBP Regulations (19 CFR 101.9(b)) 
which provides for the testing of NCAP programs or procedures. See 
Treasury Decision (T.D.) 95-21.

Document Image System (DIS) Test Program

    This notice announces Phase Three of the Document Image System 
test. Under the DIS test, parties who file entry summaries in ACE are 
allowed to submit specified CBP and PGA documents via a CBP-approved 
EDI. DIS capabilities will continue to be delivered in multiple phases.
    The first phase of the DIS test enabled participating importers and 
brokers to transmit images of specified CBP and PGA forms with 
supporting information via a CBP approved EDI in an Extensible Markup 
Language (XML) format, in lieu of conventional paper methods. See 77 FR 
20835 (April 6, 2012). In Phase Two, CBP reduced the number of metadata 
elements required for each document and specified forms that were 
eligible to be submitted earlier, i.e. at the time of manifest, or 
transmitted via a CBP- approved EDI to support ACE Cargo Release 
filings (previously known as Simplified Entry filings). Additionally, 
the pool of eligible participants was expanded to include software 
providers merely electronically transmitting data received for 
transmission to CBP. See 78 FR 44142 (July 23, 2013). In Phase Three, 
CBP is adding to the list of documents supported by the DIS test.

Test Participation

I. Eligibility Requirements

    In Phase One of the DIS test, participation was limited to 
importers or brokers who are ACE entry summary filers. Phase Two of the 
DIS test expanded the eligible participant pool to include software 
providers merely electronically transmitting data received for 
transmission to CBP. The Phase Two eligibility expansion does not apply 
to the ACE Cargo Release test. Only the participants previously 
selected for the ACE Cargo Release test are eligible to transmit 
through DIS documents in support of ACE Cargo Release filings. See 78 
FR 44142 (July 23, 2013) for additional information and specific 
eligibility criteria.
    As announced in this notice, Phase Three of the DIS test expands 
upon the CBP and PGA forms that may now be submitted as part of the DIS 
test. All other eligibility criteria as specified in prior DIS test 
notices remain the same.

II. Rules for Submitting Images in Document Image System (DIS)

    The following rules will apply to all participants involved in the 
DIS testing process:
     In Phase Two of the DIS test, CBP indicated two categories 
of documents for transmission through DIS: (1) Documents that require a 
request from CBP or the PGA prior to the transmission; and (2) 
documents that may be transmitted without prior request. Beginning with 
Phase Three, the rules for submitting images through DIS are updated as 
follows: (1) If the document(s) transmitted is required to obtain 
release, including certified from ACE entry summary, the document(s) 
may be transmitted without a prior request from CBP or the PGA; and (2) 
if the document(s) is transmitted in support of entry summary pursuant 
to a prior request from CBP or the PGA, it will be accepted (if an 
entry summary document is submitted that has not been requested by CBP 
or a PGA, CBP will not acknowledge the submission but may separately 
request the document).
     The filer may only file documents that CBP can accept 
electronically (see documents supported in Section III below). If CBP 
cannot accept the information electronically, the filer must file the 
information by paper.
     Original documents transmitted via this test must be 
retained and made available, if requested by CBP or a PGA.

III. Documents Supported in the Third Phase of the Test

    The documents supported in the first and second phases of the DIS 
test continue to be supported. In addition, upon commencement of Phase 
Three of the DIS test, the following PGA forms and documents will also 
be supported:
     Animal and Plant Health Inspection Service (APHIS) STAT 
Supporting Statement (i.e., a letter on company letterhead that 
provides a statement from the producer/manufacturer certifying that 
conditions for the import of the specified merchandise have been met).
     Center for Disease Control and Prevention (CDC) Form 0728, 
Permit to Import or Transfer Etiological Agents or Vectors of Human 
Disease (Note: this is an updated version of the same form announced in 
Phase Two of the DIS test).
     Foreign Government Sanitary Certificate (Veterinary Health 
Certificate) (used by APHIS or other PGA).
     National Highway Traffic Safety Administration (NHTSA) 
Form HS-7, Declaration (including supporting documents as specified by 
the form).
     NHTSA HS-474, Bond to Ensure Conformance with Motor 
Vehicle Safety and Bumper Standards.
     Pro-Forma Invoice (used by CBP).
Complete List of DIS Test Supported Documents (Phases One, Two, and 
Three)
     Animal and Plant Health Inspection Service (APHIS) STAT 
Supporting Statement.
     APHIS Import Permit.
     APHIS Plant Protection and Quarantine (PPQ) Form 368, 
Notice of Arrival (of a restricted article at the port of entry).
     APHIS PPQ Form 203, Foreign Site Certificate of Inspection 
and/or Treatment.
     APHIS PPQ Form 586, Permit To Transit Plants and/or Plant 
Products, Plant Pests, and/or Associated Soil through the United 
States.
     APHIS PPQ Form 587, Permit to Import Plants or Plant 
Products.
     APHIS Transit Permit.
     Foreign Government Sanitary Certificate (Veterinary Health 
Certificate) (used by APHIS or other PGA).
     Ingredients List (used by APHIS or other PGA).
     Phytosanitary Certificates (used by APHIS or other PGA).
     Proof of origin (for origin shipments of milk and milk 
products) (used by APHIS or other PGA).
     Center for Disease Control and Prevention (CDC) 
Importation Permission Letter.
     CDC Permit Exemption Letter.
     CDC Form 0728, Permit to Import or Transfer Etiological 
Agents or Vectors of Human Disease.
     CBP Form 3229, Certificate of Origin.
     CBP Form 3299, Declaration for Free Entry of Unaccompanied 
Articles.
     CBP Form 4455, Certificate of Registration.
     CBP Form 4457, Certificate of Registration for Personal 
Effects Taken Abroad.
     Commercial Invoice (used by CBP).
     Invoice Working Sheet(s) (used by CBP).
     Other documents to support CBP Form 3461, Entry/Immediate 
Delivery (used by CBP for ACE Cargo Release*).
     Packing List (used by CBP).

[[Page 36085]]

     Passport, Driver's License, or Government Issued ID (used 
by CBP for ACE Cargo Release*).
     Permit (used by CBP for ACE Cargo Release*).
     Pro-Forma Invoice (used by CBP).
     Vehicle Title, Certificate (used by CBP for ACE Cargo 
Release*).
     Defense Contract Management Agency (DCMA) Certificate of 
Duty Free Entry.
     Environmental Protection Agency (EPA) Form 3520-1, 
Importation of Motor Vehicles and Engines (on road).
     EPA Form 3520-21, Importation of Motor Vehicles and 
Engines (off road).
     EPA Form 3540-1, Notice of Arrival of Pesticides and 
Devices.
     EPA Pesticide Label.
     EPA Pre-approved Vehicle/Engine Exemption Letter.
     Food Safety and Inspection Service (FSIS) Form 9010-1, 
Application for the Return of Exported Products to the United States.
     FSIS Form 9060-5, Meat and Poultry Export Certificate of 
Wholesomeness.
     FSIS Form 9540-4, Shipper Notification--Importation of 
Undenatured Inedible Meat Product.
     FSIS Form 9540-5, Notification of Intent (to import meat, 
poultry, or egg products or ``Samples for Laboratory Examination, 
Research, Evaluative Testing or Trade Show Exhibition'').
     National Highway Traffic Safety Administration (NHTSA) HS-
7, Declaration.
     NHTSA HS-474, Bond to Ensure Conformance with Motor 
Vehicle Safety and Bumper Standards.
     National Oceanic and Atmospheric Administration (NOAA) 
Form 370, Fisheries Certificate of Origin.
     NOAA Toothfish Pre-Approval.
     Toxic Substances Control Act (TSCA) Import Certification 
Form.
    * This form may ONLY be submitted by ACE Cargo Release Test 
participants previously selected by CBP.
    Please be advised that the DIS test is limited to the above 
referenced CBP and PGA forms. Other forms may be referenced in the DIS 
Implementation Guidelines, but such forms are not currently eligible 
for the present DIS test. As additional forms become eligible they will 
be announced via publication in the Federal Register.

IV. Recordkeeping

    Any form or document submitted via DIS is an electronic copy of an 
original document that is subject to the recordkeeping requirements of 
19 CFR Part 163. Every form or document transmitted through DIS must be 
a complete, accurate and unaltered copy of the original document.

V. Technical Specifications

    In Phase Two, the DIS test reduced the number of metadata elements 
required for each document to only those necessary to identify the 
transmitter, the document preparer, the CBP request (if applicable), 
the document and description, and associated transaction. Documents 
must be submitted in an XML format via Secure File Transfer Protocol 
(FTP), Secure Web Services, or existing EDI ABI MQ interfaces. All 
responses back to test participants will also be sent in the form of an 
XML message. Additional information pertaining to technical 
specifications (see DIS Implementation Guidelines) can be accessed on 
CBP.gov at the following link: http://www.cbp.gov/document/forms/dis-implementation-guide

VI. Development of ACE Prototypes

    A chronological listing of Federal Register publications detailing 
Entry Summary Accounts and Revenue (ESAR) ACE test developments is set 
forth below.
     ACE Portal Accounts and Subsequent Revision Notices: 67 FR 
21800 (May 1, 2002); 70 FR 5199 (February 1, 2005); 69 FR 5360 and 69 
FR 5362 (February 4, 2004); 69 FR 54302 (September 8, 2004).
     ACE System of Records Notice: 71 FR 3109 (January 19, 
2006).
     Terms/Conditions for Access to the ACE Portal and 
Subsequent Revisions: 72 FR 27632 (May 16, 2007); 73 FR 38464 (July 7, 
2008).
     ACE Non-Portal Accounts and Related Notice: 70 FR 61466 
(October 24, 2005); 71 FR 15756 (March 29, 2006).
     ACE Entry Summary, Accounts and Revenue (ESAR I) 
Capabilities: 72 FR 59105 (October 18, 2007).
     ACE Entry Summary, Accounts and Revenue (ESAR II) 
Capabilities: 73 FR 50337 (August 26, 2008); 74 FR 9826 (March 6, 
2009).
     ACE Entry Summary, Accounts and Revenue (ESAR III) 
Capabilities: 74 FR 69129 (December 30, 2009).
     ACE Entry Summary, Accounts and Revenue (ESAR IV) 
Capabilities: 76 FR 37136 (June 24, 2011).
     Post-Entry Amendment (PEA) Processing Test: 76 FR 37136 
(June 24, 2011).
     ACE Announcement of a New Start Date for the National 
Customs Automation Program Test of Automated Manifest Capabilities for 
Ocean and Rail Carriers: 76 FR 42721 (July 19, 2011).
     ACE Simplified Entry: 76 FR 69755 (November 9, 2011).
     National Customs Automation Program (NCAP) Tests 
Concerning Automated Commercial Environment (ACE) Document Image System 
(DIS): 77 FR 20835 (April 6, 2012).
     National Customs Automation Program (NCAP) Tests 
Concerning Automated Commercial Environment (ACE) Simplified Entry: 
Modification of Participant Selection Criteria and Application Process: 
77 FR 48527 (August 14, 2012).
     Modification of NCAP Test Regarding Reconciliation for 
Filing Certain Post-Importation Preferential Tariff Treatment Claims 
under Certain FTAs: 78 FR 27984 (May 13, 2013).
     Modification of Two National Customs Automation Program 
(NCAP) Tests Concerning Automated Commercial Environment (ACE) Document 
Image System (DIS) and Simplified Entry (SE): 78 FR 44142 (July 23, 
2013).
     Modification of Two National Customs Automation Program 
(NCAP) Tests Concerning Automated Commercial Environment (ACE) Document 
Image System (DIS) and Simplified Entry (SE); Correction: 78 FR 53466 
(August 29, 2013).
     Modification of NCAP Test Concerning Automated Commercial 
Environment (ACE) Cargo Release (formerly known as Simplified Entry): 
78 FR 66039 (November 4, 2013).
     Post-Summary Corrections to Entry Summaries Filed in ACE 
Pursuant to the ESAR IV Test: Modifications and Clarifications: 78 FR 
69434 (November 19, 2013).
     National Customs Automation Program (NCAP) Test Concerning 
the Submission of Certain Data Required by the Environmental Protection 
Agency and the Food Safety and Inspection Service Using the Partner 
Government Agency Message Set Through the Automated Commercial 
Environment (ACE): 78 FR 75931 (December 13, 2013).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release 
for Ocean and Rail Carriers: 79 FR 6210 (February 3, 2014).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release to 
Allow Importers and Brokers to Certify From ACE Entry Summary: 79 FR 
24744 (May 1, 2014).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release 
for Truck Carriers: 79 FR 25142 (May 2, 2014).


[[Page 36086]]


    Dated: June 20, 2014.
Sandra L. Bell,
Acting Assistant Commissioner, Office of International Trade.
[FR Doc. 2014-14874 Filed 6-24-14; 8:45 am]
BILLING CODE 9111-14-P