Modification of National Customs Automation Program Test Concerning Automated Commercial Environment Document Image System, 36083-36086 [2014-14874]
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Federal Register / Vol. 79, No. 122 / Wednesday, June 25, 2014 / Notices
U.S.C. 552b(c)(7)(E)–(F), disclosure of
this information could reveal
investigative techniques and procedures
not generally available to the public,
allowing those with interests against the
United States to circumvent the law,
thereby endangering the life or physical
safety of law enforcement personnel.
Additionally, premature disclosure of
this information would be likely to
significantly frustrate the successful
implementation of measures designed to
counter terrorist acts. See 5 U.S.C.
552b(c)(9)(B).
The briefing will include Sensitive
Security Information (SSI, as that term
is defined under 49 U.S.C. 114 (r) and
49 CFR part 1520). Sensitive Security
Information includes information that
would be detrimental to the security of
transportation, and may not be
disclosed to the general public.
Accordingly, this portion of the meeting
is closed under 5 U.S.C. 552b(c)(3).
Partial closure of the July 11, 2014,
ASAC meeting is warranted under 5
U.S.C. 552b(c)(3), (c)(7)(E)–(F) and
(c)(9)(B).
Meeting Agenda
The Committee will meet to discuss
items listed in the agenda below
(documents are available in the
Supporting Documents section at
https://www.regulations.gov/
#!docketDetail;D=TSA-2011-0008):
• Aviation threat briefing (Closed).
• Approval of committee by-laws
(Open).
• Update on implementation status of
recommendations from last term (Open).
• General discussion on committee
priorities, such as: (Open).
Æ Risk-Based Security.
Æ Airport perimeter security.
Æ International Aviation.
Æ General Aviation.
• Subcommittee formation (Open).
• Future committee meetings (Open).
Dated: June 19, 2014.
Eddie D. Mayenschein,
Assistant Administrator, Security Policy and
Industry Engagement.
[FR Doc. 2014–14857 Filed 6–24–14; 8:45 am]
BILLING CODE 9110–05–P
DEPARTMENT OF HOMELAND
SECURITY
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U.S. Customs and Border Protection
Modification of National Customs
Automation Program Test Concerning
Automated Commercial Environment
Document Image System
U.S. Customs and Border
Protection, Department of Homeland
Security.
AGENCY:
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Jkt 232001
ACTION:
General notice.
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
monica.crockett@dhs.gov. 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 monica.v.crockett@
cbp.dhs.gov. 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 john.g.kyranos@
cbp.dhs.gov. Interested parties without
an assigned client representative should
direct their questions to Lori
Kwiatkowski at lori.kwiatkowski@
dhs.gov.
SUPPLEMENTARY INFORMATION:
SUMMARY:
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
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36083
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.
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36084
Federal Register / Vol. 79, No. 122 / Wednesday, June 25, 2014 / Notices
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 § 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 CBPapproved 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.
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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.
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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).
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• 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).
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• 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.
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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: https://
www.cbp.gov/document/forms/disimplementation-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
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36085
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).
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Federal Register / Vol. 79, No. 122 / Wednesday, June 25, 2014 / Notices
Dated: June 20, 2014.
Sandra L. Bell,
Acting Assistant Commissioner, Office of
International Trade.
speech impairments may access this
number through TTY by calling the tollfree Federal Relay Service at (800) 877–
8339.
[FR Doc. 2014–14874 Filed 6–24–14; 8:45 am]
FOR FURTHER INFORMATION CONTACT:
BILLING CODE 9111–14–P
Colette Pollard, Reports Management
Officer, QDAM, Department of Housing
and Urban Development, 451 7th Street
SW., Washington, DC 20410; email
Colette Pollard at
Colette.Pollard@hud.gov or telephone
202–402–3400. This is not a toll-free
number. Persons with hearing or speech
impairments may access this number
through TTY by calling the toll-free
Federal Relay Service at (800) 877–8339.
Copies of available documents
submitted to OMB may be obtained
from Ms. Pollard.
SUPPLEMENTARY INFORMATION: This
notice informs the public that HUD is
seeking approval from OMB for the
information collection described in
Section A.
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–5758–N–09]
60-Day Notice of Proposed Information
Collection: Evaluation of the Rental
Assistance Demonstration Program,
Phase I
Office of Policy Development
and Research, HUD.
ACTION: Notice of proposed information
collection.
AGENCY:
HUD is seeking approval from
the Office of Management and Budget
(OMB) for the information collection
described below. In accordance with the
Paperwork Reduction Act, HUD is
requesting comment from all interested
parties on the proposed collection of
information. The purpose of this notice
is to allow for 60 days of public
comment.
SUMMARY:
DATES:
Comments Due Date: August 25,
2014.
Interested persons are
invited to submit comments regarding
this proposal. Comments should refer to
the proposal by name and/or OMB
Control Number and should be sent to:
Colette Pollard, Reports Management
Officer, QDAM, Department of Housing
and Urban Development, 451 7th Street
SW., Room 4176, Washington, DC
20410–5000; telephone 202–402–3400
(this is not a toll-free number) or email
at Colette.Pollard@hud.gov for a copy of
the proposed forms or other available
information. Persons with hearing or
ADDRESSES:
A. Overview of Information Collection
Title of Information Collection:
Evaluation of the Rental Assistance
Demonstration Program, Phase I.
OMB Approval Number: N/A.
Type of Request: New.
Form Number: N/A.
Description of the need for the
information and proposed use: The
Rental Assistance Demonstration
program (RAD) was established in 2012
to stem the loss of public housing units
and other subsidized housing arising
from a backlog of capital needs. The
program helps to convert at-risk public
housing properties to two different
forms of project-based Section 8
Housing Assistance Payments (HAP)
contracts—either project-based voucher
(PBV) or project-based rental assistance
(PBRA)—giving public housing
authorities (PHAs) more flexibility to
access private and public funding
Number of
respondents
Respondent sample
Physical and Financial Conditions
Survey Implementation Survey
Resident Intake Study Correspondence and Intake Form.
mstockstill on DSK4VPTVN1PROD with NOTICES
Form
PHAs (n=72 PHAs; 24 PHAs implementing RAD, 48 PHAs not implementing RAD PHAs, stakeholder,
implementation
consultants,
project managers (n=100) Tenants of RAD PHAs (n=400).
PHAs, stakeholder, implementation
consultants, project managers
(n=100).
Tenants of RAD PHAs (n=400) .......
...........................................................
Implementation Survey .....................
Resident Intake Study Correspondence and Intake Form.
Total Burden Hours ...................
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sources, easing their reliance on
unpredictable appropriations. The RAD
authorizing statute requires HUD to
assess the impact of the program on: (1)
The preservation and improvement of
former public housing units, (2) the
amount of private capital leveraged as a
result of such conversions, and (3) the
effect of conversion on residents. The
evaluation is designed to examine the
resources available to improve the
physical conditions of a public housing
property, what new opportunities RAD
creates for PHAs to improve public
housing physical conditions, and how it
helps PHAs preserve those units over
the long term. To examine whether the
stated HUD and PHA objectives are
achieved, HUD will be collecting
quantitative and qualitative data from
primary and secondary sources and
analyzing data related to the following:
(1) The physical and financial
conditions of 24 RAD properties
selected for the study and 48 non-RAD
properties selected for comparison; (2)
the implementation of the program,
including the capital needs and amount
of private funding leveraged; and (3) the
experience with, and effect on,
residents.
At this time, funding is available to
fund only the first two components of
the evaluation, thus, this request for
OMB clearance only covers the ‘‘first
phase’’ of the evaluation—(1) an
assessment of the baseline conditions of
RAD properties chosen for study and
the baseline conditions of the
comparison non-RAD properties, and (2)
an assessment of the initial RAD
financing, and the implementation
phase of the RAD program. The request
also includes a tracking form for the
resident study that will be completed as
a second phase of the evaluation, should
funding be made available.
Respondents: PHAs and PHA tenants.
Average time
to complete
(minimum,
maximum)
in minutes
Total burden
(hours)
Frequency
72
60 (50–70)
1
72
199
60 (50–70)
1
100
400
10 (8–12)
1
67
........................
........................
........................
239
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]]>Agencies
[Federal Register Volume 79, Number 122 (Wednesday, June 25, 2014)]
[Notices]
[Pages 36083-36086]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14874]
-----------------------------------------------------------------------
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.
-----------------------------------------------------------------------
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 monica.crockett@dhs.gov. 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 monica.v.crockett@cbp.dhs.gov. 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
john.g.kyranos@cbp.dhs.gov. Interested parties without an assigned
client representative should direct their questions to Lori Kwiatkowski
at lori.kwiatkowski@dhs.gov.
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: https://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
