[Federal Register Volume 81, Number 136 (Friday, July 15, 2016)]
[Notices]
[Pages 46058-46061]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-16756]


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DEPARTMENT OF JUSTICE

Drug Enforcement Administration


Electronic Filing of Certain Import/Export Data Relating to 
Controlled Substances and Listed Chemicals: Announcement of the Partner 
Government Agency Message Set/Document Image System Test and Request 
for Participants

AGENCY: Drug Enforcement Administration, Department of Justice.

ACTION: General notice.

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SUMMARY: The Drug Enforcement Administration (DEA) announces, in 
coordination with U.S. Customs and Border Protection (CBP), a pilot 
test of the International Trade Data System (ITDS) involving the 
electronic submission of data related to the importation and 
exportation of controlled substances and listed chemicals. The pilot 
program will test the electronic transmission through the CBP's 
Automated Commercial Environment (ACE) system, of data, forms and 
documents required by the DEA using the Partner Government Agency (PGA) 
Message Set and the Document Image System (DIS). The data, forms and 
documents will be transmitted for review by the DEA. CBP's PGA Message 
Set and DIS enable importers, exporters, and brokers to electronically 
transmit data required by the DEA directly to ACE. This electronic 
process will replace certain paper-based processes currently used 
during the pilot program for pilot participants.

DATES: The test will commence no earlier than August 1, 2016, and will 
continue until concluded by publication of a notice in the Federal 
Register ending the test. Applications to participate may be submitted 
throughout the duration of this test.

FOR FURTHER INFORMATION CONTACT: For PGA-related questions, contact 
Elizabeth McQueen at [email protected]. For technical 
questions related to the ACE or Automated Broker Interface (ABI) 
transmissions, or the PGA message set/DIS data transmission, contact 
your assigned client representative. Interested parties without an 
assigned client representative should direct their questions to Steven 
Zaccaro at [email protected] with the subject heading ``DEA 
Message Set/DIS Test FRN-Request to Participate.'' For DEA-related 
questions, contact Cathy A. Gallagher, Office of Diversion Control, 
Drug Enforcement Administration; Mailing Address: 8701 Morrissette 
Drive, Springfield, Virginia 22152; Telephone: (202) 598-6812.
    To Apply: Any party seeking to participate in this test should 
contact their CBP client representative. Interested parties without an 
assigned client representative should send a request to Steven Zaccaro 
at [email protected] with the subject heading ``DEA Message 
Set/DIS Test FRN-Request to Participate.'' Applications will be 
accepted throughout the duration of this test. Applicants should 
identify the DEA-regulated commodities they intend to

[[Page 46059]]

import or export and the ports they intend to use to import or export 
those commodities. Applicants will be notified by CBP/client 
representatives of the date they may begin participating in this test. 
Any applicant who provides incomplete information or otherwise does not 
meet participation requirements will be notified by email and given an 
opportunity to resubmit a request to participate. To be eligible to 
apply for and participate in the pilot, an applicant must be a self-
filing importer or broker who has the ability to file ACE Entry and 
Entry Summaries certified for cargo release using a software program 
that has completed ACE certification testing for the PGA Message Set 
and DIS, and, if an exporter, must have the ability to file 
electronically in the Automated Export System (AES) or in ACE 
AESDirect.

SUPPLEMENTARY INFORMATION:

Background

    The Customs Modernization provisions in the North American Free 
Trade Agreement Implementation Act (Pub. L. 103-183, 107 Stat. 2057, 
2170, December 8, 1993) provide the Commissioner of CBP with authority 
to conduct limited test programs or procedures designed to evaluate 
planned components of the National Customs Automation Program (NCAP), 
which includes ACE. The PGA Message Set/DIS test described in this 
notice is in furtherance of the NCAP goals.
    This test is also in furtherance of the International Trade Data 
System (ITDS) key initiatives to achieve the vision of ACE as the 
``single window'' for the U.S. Government and trade community, set 
forth in section 405 of the Security and Accountability for Every Port 
Act of 2006 (``SAFE Port Act'') (Pub. L. 109-347, 120 Stat. 1884, 1929, 
Oct. 13, 2006), and section 107 of the Trade Facilitation and Trade 
Enforcement Act of 2015 (Pub. L. 114-125, 130 Stat. 122, 135, Feb. 24, 
2016). The purpose of ITDS, as stated in section 405 of the SAFE Port 
Act, is to eliminate redundant information requirements, efficiently 
regulate the flow of commerce, and effectively enforce laws and 
regulations relating to international trade, by establishing a single 
portal system, operated by CBP, for the collection and distribution of 
standard electronic import and export data required by all 
participating Federal agencies. CBP is developing ACE as the ``single 
window'' for the trade community to transmit electronically all 
required information related to the cargo imported or exported and to 
comply with the ITDS requirement established by the SAFE Port Act. On 
October 13, 2015, CBP promulgated an interim final rule providing that, 
as of November 1, 2015, ACE is a CBP authorized Electronic Data 
Interchange (EDI) system which may be used for the filing of entries 
and entry summaries. 80 FR 61278. On February 29, 2016, CBP published a 
notice in the Federal Register stating that effective March 31, 2016, 
electronic entry summaries for specified entry types must be filed in 
ACE, and that effective May 28, 2016, electronic entries for specified 
entry types must be filed in ACE. 81 FR 10264.
    Executive Order 13659 of February 19, 2014, Streamlining the 
Export/Import Process for America's Businesses, 79 FR 10655 (Feb. 25, 
2014), requires that by December 31, 2016, the ITDS ``single window,'' 
have the operational capabilities to serve as the primary means of 
receiving from users the standard set of data and other relevant 
documentation (exclusive of applications for permits, licenses, or 
certifications) required for the release of imported cargo and 
clearance of cargo for export, and to transition from paper-based 
requirements and procedures to faster and more cost-effective 
electronic submissions to, and communications with, participating U.S. 
Government agencies.

Partner Government Agency Message and Document Image System

    On December 13, 2013, CBP published in the Federal Register a 
notice announcing an NCAP test called the Partner Government Agency 
(PGA) Message Set test. 78 FR 75931. The PGA Message Set is the data 
needed to satisfy the PGA reporting requirements. ACE enables the 
message set by acting as the ``single window'' for the electronic 
transmission to CBP of trade-related data required by the PGAs. Once 
validated, the data will be made available to the relevant PGAs 
involved in regulating the importation or exportation of the cargo 
import, export, and transportation-related decision making. The data 
will be used to fulfill cargo entry requirements and may allow for 
earlier release decisions and more certainty for the importer in 
determining the logistics of cargo delivery. Also, by virtue of being 
electronic, the PGA Message Set will eliminate the necessity for the 
submission and subsequent handling of most paper documents.
    On April 6, 2012, CBP announced the DIS test (77 FR 20835) allowing 
any party who files an ACE entry/cargo release or ACE Entry Summary 
certified for cargo release to submit electronically digital copies of 
specified CBP and PGA forms and documents via a CBP-approved EDI. On 
January 30, 2015, CBP modified the DIS test to allow specified Animal 
and Plant Health Inspection Service forms and documents to be 
transmitted as attachments to an email. 80 FR 5126. On October 15, 
2015, CBP announced it would permit any DIS eligible form or document 
to be submitted as an attachment to an email. 80 FR 62082. As 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 DIS tab. Only eligible documents and forms required 
for the release of cargo or requested by CBP should be transmitted 
using DIS. Forms and documents transmitted using DIS may be transmitted 
without a prior request from CBP or the relevant PGA. ACE will 
automatically acknowledge every successful DIS transmission. This 
automated acknowledgement of successful transmission does not mean the 
correct or required form or document was transmitted as it occurs prior 
to any review of the transmitted form or document. Any DEA 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 CBP recordkeeping requirements of 19 CFR part 163, DEA 
recordkeeping requirements found in 21 CFR parts 1304, 1310, 1312 and 
1313, and any other applicable PGA recordkeeping requirements. For 
purposes of the pilot, every form or document transmitted through DIS 
must be legible and must be a complete, accurate, and unaltered copy of 
the original document. See 19 CFR 101.9(b). For more information and 
the rules, procedures, technical requirements and terms and conditions 
applicable to the DIS, please see the DIS Federal Register notice at 80 
FR 62082 (Oct. 15, 2015).

Current Paper Based Procedure

    Current DEA regulations require applications for permits, 
declarations, and other required notices and reports to be filed 
utilizing designated forms which can be filed in paper form or by 
electronic means. During the pilot, the DEA import and export 
application and filing processes will continue to remain separate from 
(and in advance of) the ITDS single window. Entities will continue to 
use the DEA application and filing processes; however, the processes 
will be electronic rather than paper. After the DEA's approval or 
notification of receipt as appropriate, the DEA will

[[Page 46060]]

transmit the necessary information electronically to the ITDS and the 
registrant or regulated person.
    In support of ITDS and the use of CBP's PGA Message Set and DIS, 
the DEA will utilize an automated system to ensure compliance with 
import and export regulations. The DEA's system will electronically 
transmit reference data to CBP, expediting the conditional release of 
shipments for the purpose of inspection, prior to the final release 
into the commerce of the United States.

PGA Message Set/ACE Filing

    Once deployed, ACE/ITDS will replace the Automated Commercial 
System (ACS), the current EDI. ACE will be the official ``single-
window'' system of record. ACE will require that all data related to 
cargo release be submitted electronically using either the PGA Message 
Set or DIS.
    The DEA and/or CBP will analyze the PGA Message Set data, forms and 
documents transmitted using DIS to determine whether inspection of a 
shipment is required. The data in ACE will also enable CBP to make the 
determination that a shipment may be conditionally released for 
inspection.

Pilot Program Details

    The DEA is authorized by the Controlled Substances Act (CSA) (21 
U.S.C. 801 et seq.), as amended, to regulate and collect information on 
the importation and exportation of controlled substances and listed 
chemicals. Under applicable DEA regulations, the importation of these 
DEA-regulated commodities into the customs territory of the United 
States from any place outside thereof (but within the United States), 
or into the United States from any place outside thereof, or the 
exportation of these DEA-regulated commodities from the United States 
typically requires the submission of one or more of the following DEA 
forms:

(1) DEA Form 35--Permit to Import
(2) DEA Form 36--Permit to Export
(3) DEA Form 161--Application for Permit to Export Controlled 
Substances
(4) DEA Form 161R--Application for Permit to Export Controlled 
Substances for Subsequent Reexport
(5) DEA Form 236--Controlled Substances Import/Export Declaration
(6) DEA Form 357--Application for Permit To Import Controlled 
Substances
(7) DEA Form 486--Import/Export Declaration for List I and List II 
Chemicals;
(8) DEA Form 486A--Import Declaration for Ephedrine, Pseudoephedrine, 
or Phenylpropanolamine.

    This notice announces DEA's plan to conduct a test concerning the 
electronic transmission of the data contained in these forms to ACE 
using the PGA Message Set and the transmission of certain DEA permits, 
forms and documents using DIS. This new DEA PGA Message Set and DIS 
capability will satisfy the DEA data and electronic document 
requirements for any CBP entry filed electronically in ACE. As noted 
above, this test also applies to the exportation of the commodities 
subject to this test and requires the electronic submission of required 
export data through AES in Automated Export System Trade Interface 
Requirements (AESTIR) or American National Standards Institute (ANSI) 
X12, or in ACE AESDirect using an ACE portal, bulk upload or weblink. 
The AES DEA data elements are documented in Appendix Q of the AESTIR 
Implementation Guidelines (Appendix Q) and in the ACE AESDirect portal 
view. The Web site to Appendix Q is http://www.cbp.gov/document/guidance/aestir-draft-appendix-q-pga-record-formats.
    This new capability will also enable the trade community to have a 
CBP-managed ``single window'' for the electronic submission of data and 
documents required by the DEA during the cargo importation/exportation 
and review process. The technical requirements for submitting DEA data 
elements are set forth in the supplemental Customs and Trade Automated 
Interface Requirements (CATAIR) guidelines for the DEA. These technical 
requirements, including the ACE CATAIR chapter, may be found at the 
following link: http://www.cbp.gov/trade/ace/catair.
    The list of forms and documents, including DEA documents, which may 
be transmitted using DIS may be found at http://www.cbp.gov/trade/ace/features under the DIS tab. The DEA permits, forms and documents 
eligible to be transmitted using DIS include DEA forms 35, 36, 236, 486 
and 486A.
    This test will apply to any entry filed in ACE at any port of entry 
and to cargo imported or exported using any mode of transportation. As 
a condition of the pilot, entries filed in ACE with the PGA Message Set 
must be transmitted using a software program that has completed ACE 
certification testing. See 19 CFR 101.9(b). This test will apply to all 
cargo regulated by DEA as of the date of this notice that require a CBP 
entry or exit.
    This initial pilot will include the DEA PGA Message Set and the DIS 
components of ACE for imports, and the use of AES for exports. As 
mentioned above, DIS allows participants to transmit required PGA data 
to ACE through the use of electronic copies of DEA permits, forms and 
documents. For information regarding the use of DIS and a list of PGA 
forms and documents that may be transmitted to ACE using DIS, please 
see http://www.cbp.gov/trade/ace/features under the DIS tab.
    Importers, exporters and brokers who participate in this pilot will 
transmit PGA Message Set data to ACE using the electronic data 
interchange known as the ABI, and for exports, data will be transmitted 
via the AESTIR or the ACE Secure Data Portal. The data elements in the 
PGA Message Set are generally those found on the DEA forms, permits, 
and declarations subject to this test. The DEA data is required in 
order to determine whether inspection of the shipment is required and 
to provide CBP with information to determine whether to conditionally 
release the cargo. Details related to this data will be provided to 
pilot participants. The DEA anticipates that this pilot program will 
help prepare for a successful transition from the paper-based process 
to the electronic entry and transmission of data to ACE.

Pilot Program Participant Responsibilities

    Importers, exporters and brokers who participate in this PGA 
Message Set/DIS pilot will be required to:
     Submit by electronic means through the DEA Office of 
Diversion Control's secure network application, DEA Registered 
Importers/Exporters Permit Applications (DEA Forms 357, 161, 161R), and 
Import/Export Declarations (DEA Forms 236, 486, and 486A).
     Retrieve and print from the DEA Office of Diversion 
Control's secure network application, color copies of DEA issued import 
and export permits (DEA Forms 35 and 36).
     Obtain the required PGA Message Set Data and electronic 
DIS copy of the permit or declaration from the DEA registrant or 
regulated person.
     File, when applicable, data elements contained in Appendix 
Q.
     Include PGA Message Set import filings only as part of an 
ACE Entry or Entry Summary certified for cargo release.
     Use a software program that has completed ACE 
certification testing for the PGA Message Set and/or DIS.
     Transmit import filings to CBP via ACE.
     Transmit only information to CBP that has been requested 
by CBP or DEA.

[[Page 46061]]

     File export data through AES in AESTIR or ANSI X12, or in 
ACE AESDirect using an ACE portal, bulk upload or weblink.

Waiver of Regulations Under the Test

    Pursuant to the authority of 21 U.S.C. 871(b), for the purposes of 
this test, the DEA waives for pilot participants those provisions of 21 
CFR parts 1312 and 1313 that are inconsistent with the terms of this 
test. This document does not waive any recordkeeping requirements found 
in 21 CFR parts 1304, 1310, 1312, and 1313. For purposes of this test, 
those provisions of 21 CFR 1312.13(e), 1312.14(a), 1312.14(c), 
1312.19(a), 1312.19(b), 1312.23(e), 1312.24(a), 1312.24(b), 1312.28(c), 
1312.28(d), 1313.14(c), and 1313.23(c) that are inconsistent with the 
terms of this test are waived for test participants.

Paperwork Reduction Act

    This change does not institute a new collection of information but 
instead proposes modifying the way that information is gathered. The 
collection of information contained in this DEA PGA Message Set/DIS 
test has been previously approved by the Office of Management and 
Budget (OMB) in accordance with the requirements of the Paperwork 
Reduction Act (44 U.S.C. 3507) and assigned OMB control numbers 1117-
0009 and 1117-0023. An agency may not conduct or sponsor, and a person 
is not required to respond to, a collection of information unless it 
displays a valid control number assigned by OMB.

Confidentiality

    Data submitted and entered into the ACE Portal includes information 
that is exempt or restricted from disclosure by law, such as by the 
Trade Secrets Act (18 U.S.C. 1905). Participation in this or any of the 
previous ACE tests is not confidential and the name(s) of an approved 
participant(s) may be disclosed by CBP.

    Dated: July 8, 2016.
Louis J. Milione,
Deputy Assistant Administrator.
[FR Doc. 2016-16756 Filed 7-14-16; 8:45 am]
BILLING CODE 4410-09-P