[Federal Register Volume 80, Number 199 (Thursday, October 15, 2015)]
[Notices]
[Pages 62082-62085]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-26213]


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DEPARTMENT OF HOMELAND SECURITY

U.S. Customs and Border Protection


Modification of the National Customs Automation Program (NCAP) 
Test Concerning the Automated Commercial Environment (ACE) Document 
Image System (DIS) Regarding Future Updates and New Method of 
Submission of Accepted Documents

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, documents, and supporting 
information to CBP via a CBP-approved Electronic Data Interchange 
(EDI).
    This notice announces several changes to the DIS test. First, 
eligibility to participate in the test is being expanded to include 
anyone transmitting cargo release or entry summary information to ACE. 
Second, CBP has added forms to the list of forms and documents 
supported by the DIS test. Third, the list of eligible forms and 
documents will now be maintained on the CBP Web site. Fourth, all 
future additions and changes to the list of eligible forms and 
documents will be announced on the CBP Web site, rather than by Federal 
Register notice. Finally, the DIS test is being amended to permit 
participants to submit all DIS eligible forms and documents as 
attachments to email, in addition to the methods of transmission 
previously authorized. This notice provides DIS test details including 
commencement date for the modifications announced herein, eligibility, 
procedural and documentation requirements, and test development and 
evaluation methods.

DATES: The modifications of the DIS test made by this notice are 
effective on October 15, 2015. The test 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 Automated Broker Interface (ABI) transmissions, 
contact your assigned client representative. Interested parties without 
an assigned client representative should direct their questions to 
Steven Zaccaro at [email protected]. Any partner government 
agency (PGA) interested in participating in DIS should contact 
Elizabeth McQueen at [email protected].

SUPPLEMENTARY INFORMATION:

Background

    The National Customs Automation Program (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) (19 U.S.C. 
1411-14). Through NCAP, the initial thrust of customs modernization was 
on trade compliance and the development of the Automated Commercial 
Environment (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 U.S. Customs and Border 
Protection (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 and the retirement of the 
legacy ACS function. Each release builds on previous releases and sets 
the foundation for subsequent releases.
    On April 6, 2012, CBP published a notice in the Federal Register 
announcing a NCAP test called the Document Image System (DIS) test. See 
77 FR 20835. The DIS test notice allowed 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).
    On July 23, 2013, CBP published a subsequent notice in the Federal 
Register announcing a second phase, Phase II, of the DIS test and 
modifications to both the DIS test and the ACE Cargo Release test 
(formerly known as the Simplified Entry test). That notice reduced the 
metadata elements required for each DIS transmission and allowed the 
submission of certain documents through DIS earlier in the importation 
process, i.e. at the time of manifest. In Phase II, CBP also expanded 
the pool of eligible participants to include software providers who 
merely transmit data electronically on behalf of ACE participating 
importers or brokers. Finally, in Phase II, CBP specified forms that 
were eligible to be transmitted via a CBP-approved EDI to support ACE 
Cargo Release filings (previously known as Simplified Entry filings). 
See 78 FR 44142.
    On June 25, 2014, CBP published a notice in the Federal Register 
announcing a third phase, Phase III, of the DIS test and adding to the 
list of documents and forms supported by the DIS test. See 79 FR 36083. 
In addition to the new documents and forms, that notice listed all CBP 
and PGA forms and documents which the DIS test

[[Page 62083]]

supported as of that date. On January 30, 2015, CBP published a notice 
modifying Phase III of the DIS test to permit importers and brokers 
participating in the DIS test to file DIS test-supported APHIS 
documents in Portable Document Format (PDF) file format, via email to 
[email protected]. See 80 FR 5126. The list of APHIS documents which may 
be sent in PDF file format is set forth in the January 30, 2015 notice.
    For the convenience of the public, a chronological listing of 
Federal Register publications detailing ACE test developments is set 
forth below in Section VI, entitled, ``Development of ACE Prototypes.''
    The 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.

Authorization for the Test

    The Customs Modernization Act authorizes the Commissioner of CBP to 
conduct limited test programs or procedures designed to evaluate 
planned components of the NCAP. This test is authorized pursuant to 
section 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, 60 FR 14211 (March 16, 1995).

Document Image System (DIS) Test Program

    This notice announces Phase IV of the DIS test. Under the DIS test, 
parties who file entry or entry summaries in ACE are allowed to submit 
specified CBP and PGA forms and documents via a CBP-approved EDI. DIS 
capabilities will continue to be delivered in multiple phases. As PGA 
Message Sets are programmed into ACE, CBP envisions that the 
documentation filed in DIS will be significantly reduced to only those 
documents that continue to be paper based (e.g. foreign certificates).
    The first phase of the DIS test enabled participating importers and 
brokers to transmit images of specified CBP and PGA forms and documents 
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 II, 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). See 78 FR 44142 
(July 23, 2013). Additionally, the pool of eligible participants was 
expanded to include software providers that merely transmitted 
electronic data received from filers for transmission to CBP. In Phase 
III, CBP added forms and documents to the list of documentation 
supported by the DIS test and provided alternative methods of 
transmission. See 79 FR 36083 (June 25, 2014). Phase III was further 
modified to allow transmission of limited documents via email. See 80 
FR 5126 (January 30, 2015).
    This notice announces Phase IV of the DIS test. In Phase IV, the 
eligibility requirements are modified to permit any filer transmitting 
cargo release or entry summary data, information, forms, or documents 
to use DIS. Phase IV also expands the list of documents eligible for 
submission under the DIS test. Because CBP frequently updates the list 
of forms and documents eligible to be transmitted using DIS, the 
complete list will be maintained on the CBP Web site, at the following 
address: http://www.cbp.gov/trade/ace/features under the Document Image 
System tab. CBP will no longer publish announcements in the Federal 
Register to notify ACE participants when new CBP or PGA forms may be 
submitted pursuant to the DIS test, or when DIS test-supported forms 
may be submitted via email. All future additions and changes to the 
list of forms and documents eligible to be transmitted under the DIS 
test will be announced on the CBP Web site. Finally, this notice 
announces that DIS eligible forms and documents may be submitted as 
attachments to an email as an alternative submission via DIS.

Test Participation

I. Eligibility Requirements

    As announced in this notice, Phase IV of the DIS test alters the 
eligibility requirements for participation in the DIS test. Now, any 
filer transmitting cargo release or entry summary data, information, 
forms or documents to ACE pursuant to the Cargo Release (80 FR 16414), 
or Entry Summary, Accounts and Revenue (76 FR 37136) tests is eligible 
to use DIS. Such filers must use a software program that has completed 
ACE certification testing. Additionally, CBP is expanding the list of 
CBP- and PGA-approved forms and documents that may be submitted as part 
of the DIS test. All other eligibility criteria as specified in prior 
DIS test notices remain the same, to the extent they are not 
inconsistent with this notice.

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

    The following rules apply to all participants involved in the DIS 
testing process:
     In Phase II of the DIS test, CBP indicated two categories 
of documents which could be transmitted through DIS: (1) Documents that 
require a request from CBP or a PGA prior to transmission; and (2) 
documents that may be transmitted without a prior request. Beginning 
with Phase III, the rules for submitting images through DIS were 
updated as follows: (1) If the document transmitted is required to 
obtain the release of merchandise, including a release certified from 
ACE entry summary, the document may be transmitted without a prior 
request from CBP or the PGA; and (2) if the document is transmitted in 
support of entry summary pursuant to a request from CBP or the PGA, the 
document may be transmitted. Only eligible documents and forms required 
for the release of merchandise or requested by CBP should be 
transmitted using DIS. ACE will acknowledge every successful DIS 
transmission. Any form or document submitted via DIS is an electronic 
copy of an original document or form and both the original and the 
imaged copy are subject to the recordkeeping requirements of 19 CFR 
part 163 and any applicable PGA recordkeeping requirements.
     Test participants may only transmit forms and documents 
that CBP has permitted to be transmitted under this test. See documents 
supported in Section III below. If CBP cannot accept the form, document 
or information electronically, the filer must file using paper.
     Every form or document transmitted through DIS must be 
legible and must be a complete, accurate, and unaltered copy of the 
original document.

III. Documents Supported in the Fourth Phase of the Test

    The forms and documents listed in the first, second and third 
phases of the DIS test may continue to be transmitted using DIS. Upon 
the effective date of this notice, CBP is permitting additional forms 
and documents to be transmitted using DIS. For a complete list of forms 
and documents that may be submitted using DIS, please go to the 
Document Image System tab at: http://www.cbp.gov/trade/ace/features. To 
ensure the availability of the most up-to-date information regarding 
DIS-eligible forms, CBP will maintain the list of forms and documents 
on the Web

[[Page 62084]]

page. The list is frequently updated as PGA functionality in ACE 
increases, and as more PGAs become operational in ACE. ACE participants 
should check the Web site on a regular basis to determine whether a 
particular form or document may be transmitted using DIS. As changes 
are made to the list of eligible forms, they will be announced on the 
CBP Web site and may also be announced via the Cargo Systems Messaging 
Service (CSMS). Therefore, CBP also recommends that trade members 
subscribe to CSMS to receive email notifications from CBP regarding 
important information posted to CBP.gov. For information about 
subscribing to CSMS, please go to: http: //apps.cbp.gov/csms/csms.asp?display_page=1. The DIS test is limited to the forms listed on 
the Web site. Please note that not all forms referenced in the DIS 
Implementation Guidelines are currently eligible for the DIS test. The 
DIS Implementation Guidelines are available on CBP.gov at: http://www.cbp.gov/document/forms/dis-implementation-guide.

IV. Recordkeeping

    Any form or document submitted via DIS is an electronic copy of an 
original document or form and both the original and the imaged copy are 
subject to the recordkeeping requirements of 19 CFR part 163 and any 
applicable PGA recordkeeping requirements. Original documents 
transmitted via this test must be retained under the general CBP 
recordkeeping requirements in 19 CFR part 163, and any PGA's 
recordkeeping requirements, and made available upon request by CBP or a 
PGA.

V. Technical Specifications

    In Phase II, 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 the associated transaction. Documents 
submitted in an XML format must be sent via secure File Transfer 
Protocol (FTP), Secure Web Services, or existing EDI Message Queue (MQ) 
interfaces. All responses back to test participants who submit using 
this format will also be sent in the form of an XML message. For 
additional information pertaining to technical specifications, please 
see the DIS Implementation Guidelines which can be accessed on CBP.gov 
at the following link: http://www.cbp.gov/document/forms/dis-implementation-guide.
    This notice also announces that, in addition to the manner of 
transmission authorized in previous DIS test notices, test participants 
may send DIS authorized forms and documents as an attachment to an 
email. Test participants may, at their option, transmit any authorized 
forms and documents in XML format, as specified in prior DIS test 
notices, or as an attachment to an email, pursuant to this notice. 
Emails should be submitted as follows:
     Submit to [email protected].
     The subject line should begin with CAT=GEN and be followed 
by either: The bill of lading number, the SCAC code, and the action 
requested (add, delete or replace), separated by semi-colons; or the 
entry number, the filer code, and the action requested (add, delete or 
replace), separated by semi-colons.
     The body of the email should contain the following 
information, separated by semi-colons: A point of contact and submitter 
email address, and the agency or agencies that should receive or review 
the information submitted.
     The name of the attachment should begin with an 
alphanumeric Document Code (Documents Codes may be found in the DIS 
Implementation Guidelines) and may be followed by whatever name the 
submitter wishes to use.
    CBP prefers that attachments to emails use the Portable Document 
Format (PDF) file format; however, the following file formats are also 
allowed: Joint Photographic Experts Group (JPEG), Graphics Interchange 
Format (GIF), MS Word Documents and MS Excel Spreadsheets. The Tagged 
Image Format (TIF) file format is not allowed. Emails and their 
attachments cannot exceed 10 megabytes (MBs). If the 10 MB limit is 
insufficient, the email/attachment submission must be broken down into 
smaller submissions/files.

VI. Development of ACE Prototypes

    A chronological listing of Federal Register publications detailing 
ACE test developments is set forth below.
     ACE Portal Accounts and Subsequent Revision Notices: 67 FR 
21800 (May 1, 2002); 69 FR 5360 and 69 FR 5362 (February 4, 2004); 69 
FR 54302 (September 8, 2004); 70 FR 5199 (February 1, 2005).
     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

[[Page 62085]]

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).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Document Image 
System: 79 FR 36083 (June 25, 2014).
     Announcement of eBond Test: 79 FR 70881 (November 28, 
2014).
     eBond Test Modifications and Clarifications: Continuous 
Bond Executed Prior to or Outside the eBond Test May Be Converted to an 
eBond by the Surety and Principal, Termination of an eBond by Filing 
Identification Number, and Email Address Correction: 80 FR 899 (January 
7, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Document Image 
System Relating to Animal and Plant Health Inspection Service (APHIS) 
Document Submissions: 80 FR 5126 (January 30, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the use of Partner Government Agency Message Set 
through the Automated Commercial Environment (ACE) for the Submission 
of Certain Data Required by the Environmental Protection Agency (EPA): 
80 FR 6098 (February 4, 2015).
     Announcement of Modification of ACE Cargo Release Test to 
Permit the Combined Filing of Cargo Release and Importer Security 
Filing (ISF) Data: 80 FR 7487 (February 10, 2015).
     Modification of NCAP Test Concerning ACE Cargo Release for 
Type 03 Entries and Advanced Capabilities for Truck Carriers: 80 FR 
16414 (March 27, 2015).
     Automated Commercial Environment (ACE) Export Manifest for 
Air Cargo Test: 80 FR 39790 (July 10, 2015).
     National Customs Automation Program (NCAP) Concerning 
Remote Location Filing Entry Procedures in the Automated Commercial 
Environment (ACE) and the Use of the Document Image System for the 
Submission of Invoices and the Use of eBonds for the Transmission of 
Single Transaction Bonds: 80 FR 40079 (July 13, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the Automated Commercial Environment (ACE) Partner 
Government Agency (PGA) Message Set Regarding Types of Transportation 
Modes and Certain Data Required by the National Highway Traffic Safety 
Administration (NHTSA): 80 FR 47938 (August 10, 2015).
     Automated Commercial Environment (ACE) Export Manifest for 
Vessel Cargo Test: 80 FR 50644 (August 20, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the Submission of Certain Data Required by the Food and 
Drug Administration (FDA) Using the Partner Government Agency Message 
Set through the Automated Commercial Environment (ACE): 80 FR 52051 
(August 27, 2015).

    Dated: October 8, 2015.
Brenda B. Smith,
Assistant Commissioner Office of International Trade.
[FR Doc. 2015-26213 Filed 10-14-15; 8:45 am]
 BILLING CODE 9111-14-P