National Customs Automation Program Test Concerning Automated Commercial Environment (ACE) Entry Summary, Accounts and Revenue, 50337-50340 [E8-19780]
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Federal Register / Vol. 73, No. 166 / Tuesday, August 26, 2008 / Notices
to our Chicago Lockbox facility for
initial processing:
• Form I–800A, Application for
Determination of Suitability to Adopt a
Child from a Convention Country.
• Form I–800A Supplement 1, Listing
of Adult Member of the Household.
• Form I–800A Supplement 2,
Consent to Disclose Information.
• Form I–800A Supplement 3,
Request for Action on Approved Form
I–800A.
• Form I–800, Petition to Classify
Convention Adoptee as an Immediate
Relative.
• Form I–800 Supplement 1, Consent
to Disclose Information.
Interested individuals may find detailed
information and eligibility requirements
for Form I–800A and I–800 and their
supplements and forms at the USCIS
Web site: https://www.uscis.gov.
D. Does this notice affect any other
Hague related forms that I may submit
along with those listed above?
Yes, it affects Form I–601,
Application for Waiver of Grounds of
Inadmissibility, Form I–864 and Form I–
864EZ, Affidavit of Support under
section 213A of the Act, or Form I–
864W, Intending Immigrant’s Affidavit
of Support Exemption, when filed in
connection with a Hague Adoption
Convention case. When submitted with
a Form I–800 these forms must be filed
beginning on September 25, 2008 with
the USCIS Chicago Lockbox facility
address listed below.
II. Explanation of Changes
A. Does this notice make any changes
relating to the eligibility of a prospective
adoptive parent’s suitability to adopt a
child from a convention country or
changes to the eligibility of a convention
adoptee to be classified as an immediate
relative?
No. This Notice only changes the
filing location for these applications.
These forms, previously filed at USCIS
offices world-wide, will now be filed
under the Direct Mail Program at the
USCIS Chicago Lockbox facility for
initial processing.
sroberts on PROD1PC76 with NOTICES
B. Should I file Forms I–600A and/or I–
600 under the new Direct Mail Program?
No. If you reside in the United States
continue to file Form I–600A,
Application for Advance Processing of
Orphan Petition and Form I–600,
Petition to Classify Orphan as an
Immediate Relative, with the local
USCIS office with jurisdiction over your
place of residence. If you live outside
the United States, you should consult
the nearest American consulate or
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00:53 Aug 26, 2008
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embassy for the overseas or stateside
USCIS office designated to act on the
application.
C. Will USCIS change the form
instructions to Forms I–800A and I–800?
Yes. USCIS is currently amending the
filing locations on the instructions to
Forms I–800A and I–800, as well as the
procedures listed on the USCIS Web site
to reflect the new filing address.
D. If I live outside of the United States,
can I file the Forms I–800A or I–800 at
a USCIS overseas office, or an American
consulate or embassy?
No. You must file Forms I–800A and
I–800 at the USCIS Chicago Lockbox
facility. Although 8 CFR 204.308(b)
provides that Form I–800 may be filed
at the visa-issuing post when permitted
in the form’s instructions, centralized
processing affords more efficiency for
both USCIS and prospective adoptive
parents. Accordingly, you will need to
file the Form I–800 at the USCIS
Chicago Lockbox facility for centralized
processing. USCIS will no longer permit
filing the form elsewhere.
E. To what address should I mail Forms
I–800A, I–800, and related supplements
and forms?
Beginning on September 25, 2008,
you must file Forms I–800A, I–800 and
their supplements with all supporting
documentation to the following address:
U.S. Citizenship and Immigration
Services,
P.O. Box 805695,
Chicago, IL 60680–4118.
If you are also filing Hague related
Forms I–601, I–864, I–864EZ, or I–864W
with Form I–800, you must also send
these forms to the above Lockbox
address.
F. What will happen to incorrectly filed
Forms I–800A, I–800, and related
supplements and forms covered by this
notice?
USCIS will forward forms filed
incorrectly to the USCIS Chicago
Lockbox facility address ONLY for the
first 30 days following the effective date
of this notice, including the filing of
Hague related Forms I–601, I–864, I–
864EZ, or I–864W, which are covered by
this notice.
After the 30-day transition period,
USCIS will return any Form I–800 or I–
800A, and related supplements and
forms, mailed to a USCIS office other
than the USCIS Chicago Lockbox facility
address to the applicant with an
explanation directing the applicant to
mail the application directly to the
USCIS Chicago Lockbox facility address
for processing.
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50337
G. Will the fees change with this notice?
No. The application fees will remain
the same as provided on the form
instructions for Forms I–800A and I–
800.
H. Paperwork Reduction Act
This rule does not impose any new
reporting or recordkeeping
requirements. The Office of
Management and Budget (OMB)
previously approved the use of these
information collections. The OMB
control numbers for Forms I–800 and I–
800A are contained in 8 CFR 299.5,
Display of control numbers. USCIS will
provide the Office of Management and
Budget (OMB) with a copy of the
amended form and OMB 83C
(Correction Worksheet) through the
automated Regulatory Office Combined
Information System (ROCIS).
Dated: July 21, 2008.
Jonathan R. Scharfen,
Acting Director, U.S. Citizenship and
Immigration Services.
[FR Doc. E8–19723 Filed 8–25–08; 8:45 am]
BILLING CODE 9111–97–P
DEPARTMENT OF HOMELAND
SECURITY
U.S. Customs and Border Protection
National Customs Automation
Program Test Concerning Automated
Commercial Environment (ACE) Entry
Summary, Accounts and Revenue
U.S. Customs and Border
Protection, Department of Homeland
Security.
ACTION: General notice.
AGENCY:
SUMMARY: This document announces
Customs and Border Protection’s (CBP’s)
plan to conduct a National Customs
Automation Program (NCAP) test
concerning Automated Commercial
Environment (ACE) Entry Summary,
Accounts and Revenue (ESAR)
capabilities. These new capabilities will
include functionality specific to the
filing and processing of formal
consumption entries and informal
entries. This entry summary processing
will include Automated Broker Interface
(ABI) Census Warning Overrides and
issuance of certain CBP forms through
the ACE Portal. Other new functionality
will enhance Portal Account
Management and allow for ACE Secure
Data Portal reporting. In addition to
announcing new functionality, this
notice invites public comment
concerning any aspect of the planned
test, describes the eligibility,
procedural, and documentation
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requirements for voluntary participation
in the test, and outlines the
development and evaluation
methodology to be used in the test. This
notice will be referred to as the ESAR
II Notice.
DATES: Comments on this notice and
interest in participation in this planned
test are requested by October 27, 2008.
ADDRESSES: Comments concerning this
notice and indication of interest in
participation in ESAR II should be
submitted via e-mail to Janet Pence at
ESARinfoinbox@dhs.gov. Please
indicate ‘‘ESAR II Federal Register
Notice’’ in the subject line of your email.
FOR FURTHER INFORMATION CONTACT: For
policy-related questions, please contact
Cynthia Whittenburg at
cynthia.whittenburg@dhs.gov. For
technical questions that are non-ABI
related, please contact Valarie Neuhart
at (703) 650–3370. For technical
questions related to ABI transmissions,
please contact your assigned client
representative. Interested parties
without an assigned client
representative should direct their
questions to the Client Representative
Branch at (703) 650–3500.
SUPPLEMENTARY INFORMATION:
Background
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I. ACE Test Programs
A. ACE Portal Accounts
On May 1, 2002, the former U.S.
Customs Service, now U.S. Customs and
Border Protection (CBP), published a
General Notice in the Federal Register
(67 FR 21800) announcing a plan to
conduct a National Customs
Automation Program (NCAP) test of the
first phase of the Automated
Commercial Environment (ACE). The
test was described as the first step
toward the full electronic processing of
commercial importations with a focus
on defining and establishing an
importer’s account structure. The notice
announced that importers and
authorized parties would be allowed to
access their customs data via a Webbased Account Portal. The notice set
forth eligibility criteria for companies
interested in establishing Account
Portals accessible through ACE.
Subsequent General Notices revised
the eligibility criteria (see General
Notice published in the Federal
Register on February 1, 2005 (67 FR
5199)) and expanded the universe of
eligible participants in the ACE test and
the types of ACE Portal Accounts. On
February 4, 2004, CBP published two
General Notices in the Federal Register,
establishing ACE Truck Carrier
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Accounts and opening the application
period for authorized importers and
their designated brokers to participate in
the NCAP test implementing the
Periodic Monthly Statement (PMS)
process (see 69 FR 5360 and 69 FR 5362,
respectively). Brokers were invited to
establish Broker Accounts in ACE in
order to participate in the NCAP test to
implement PMS. In both of the February
4, 2004 General Notices, CBP advised
participants that they could designate
only one person as the Account Owner
for the company’s ACE Portal Account.
The Account Owner was identified as
the party responsible for safeguarding
the company’s ACE Portal Account
information, controlling all disclosures
of that information to authorized
persons, authorizing user access to the
ACE Portal Account information, and
ensuring the strict control of access by
authorized persons to the ACE Portal
information.
On September 8, 2004, CBP published
a General Notice in the Federal Register
(69 FR 54302) inviting customs brokers
to participate in the ACE Portal test
generally and informing interested
parties that once they had been notified
by CBP that their request to participate
in the ACE Portal test had been
accepted, they would be asked to sign
and submit a Terms and Conditions
document. CBP subsequently contacted
those participants and asked them to
also sign and submit an ACE Power of
Attorney form and an Additional
Account/Account Owner Information
form.
B. Terms and Conditions for Access to
the ACE Portal
On May 16, 2007, CBP published a
General Notice in the Federal Register
(72 FR 27632) announcing a revision of
the terms and conditions that must be
followed as a condition for access to the
ACE Portal. These terms and conditions
superseded and replaced the Terms and
Conditions document previously signed
and submitted to CBP by ACE Portal
Trade Account Owners. The notice
specified that no further action would
be required by ACE Portal Trade
Account Owners for those ACE Portal
Accounts already established with CBP
with the proper Account Owner listed.
The principal changes to the ACE Terms
and Conditions included a revised
definition of ‘‘Account Owner’’ to
permit either an individual or a legal
entity to serve in this capacity, new
requirements relating to providing
notice to CBP when there has been a
material change in the status of the
Account and/or Trade Account Owner,
and explanatory provisions as to how
the information from a particular
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account may be accessed through the
ACE Portal when that account is
transferred to a new owner.
On July 7, 2008, CBP published a
General Notice in the Federal Register
(73 FR 38464) which revised the terms
and conditions set forth in the May 16,
2007, notice regarding the period of
Portal inactivity which will result in
termination of access to the ACE Portal.
The July 7, 2008, notice provided that
if forty-five (45) consecutive days elapse
without an Account Owner, Proxy
Account Owner, or an Account user
accessing the ACE Portal, access to the
Portal will be terminated. The time
period for allowable Portal inactivity
previously was ninety (90) days.
C. ACE Non-Portal Accounts
CBP has also permitted certain parties
to participate in specified ACE tests
without establishing ACE Portal
Accounts (’’Non-Portal Accounts’’). On
October 24, 2005, CBP published a
General Notice in the Federal Register
(70 FR 61466) announcing that
importers could establish ACE NonPortal Accounts and participate in the
PMS test under certain conditions. On
March 29, 2006, CBP published another
General Notice in the Federal Register
(71 FR 15756) announcing that truck
carriers that do not have ACE Truck
Carrier Accounts may use third parties
to transmit truck manifest information
on their behalf electronically in the ACE
Truck Manifest system via Electronic
Data Interface (EDI) messaging.
D. New ACE Entry Summary, Accounts
and Revenue (ESAR I) Capabilities
On October 18, 2007, CBP published
a General Notice in the Federal Register
(see 72 FR 59105) announcing CBP’s
plan to conduct a new test concerning
ACE Entry Summary, Accounts and
Revenue (ESAR) capabilities, providing
enhanced account management
functions for ACE Portal Accounts and
expanding the universe of ACE account
types. This General Notice is commonly
referred to as ESAR I.
As stated in that notice, ACE is now
the lead system for CBP-required master
data elements (e.g., company name,
address, and point of contact) as well as
related reference files (e.g., country
code, port code, manufacturer ID, and
gold currency exchange rate and
conversion calculator). See ACE
Systems of Record Notice, published in
the Federal Register on January 19,
2006 (71 FR 3109). This means that the
creation and maintenance of specified
master data elements will originate in
ACE and will be distributed to other
CBP systems such as the Automated
Commercial System (ACS).
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In addition to announcing that
importer Portal Accounts are capable of
creating and maintaining specified
importer data via the ACE Portal, the
notice stated that filers have the ability
to create a new CBP Form 5106
(Importer ID Input Record) via the ACE
Portal or the Automated Broker Interface
(ABI), and view applicable Participating
Government Agency (PGA) licenses,
permits and certificates via the ACE
Portal. Through this notice, Broker
Portal Accounts were provided the
capability through the ACE Portal of
maintaining organizational demographic
data (e.g., addresses, points of contact,
etc.), license and permit qualifiers, data
on managing officials, employee lists,
information on relationships to
individual licensed brokers, points of
contact and address information (at filer
code level for each local broker permit
and each port covered by the local
permit, and for the national broker
permit). Truck Carrier Portal Accounts
were provided the capability through
the ACE Portal to view any applicable
PGA licenses, permits and certificates,
and to maintain through the ACE Portal
addresses and points of contact and preregistered truck conveyance
information, including equipment,
shipper, and consignee data. Truck
Carrier Portal Accounts were also
provided with the ability to create and
maintain driver accounts and search for
and correlate existing driver accounts to
their Carrier Account. Finally, the
notice also announced the expansion of
Portal Account Types to now include:
Carriers (all modes: air, rail, sea);
cartman; lighterman; driver/crew;
facility operator; filer; foreign trade zone
(FTZ) operator; service provider; and
surety.
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II. Test Concerning New ACE Entry
Summary, Accounts and Revenue
(ESAR II) Capabilities
A. In General
This document announces CBP’s plan
to conduct a new test concerning ACE
Entry Summary, Accounts and Revenue
(ESAR II) capabilities that will provide
new Portal and EDI capabilities specific
to Entry Summary filing and processing
of consumption and informal entries.
Functionality will include ABI Census
Warning Overrides and issuance of CBP
requests for information and notices of
action through the ACE Portal. New
functionality will enhance Portal
Account Management and allow for
ACE Secure Data Portal reporting.
Initially, this release of ESAR II will
be limited only to formal entries,
commonly referred to in the Automated
Commercial System (ACS) as type 01
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Jkt 214001
entries, and informal entries, commonly
referred to in ACS as type 11 entries.
Functionality for other entry types will
be implemented as it becomes available
and will be announced via subsequent
publication in the Federal Register.
Interested ABI participants wishing to
submit type 01 and 11 entries for this
test are asked to provide CBP with the
number of expected ACE entry
summaries that will be submitted to the
ports listed in this notice within 60 days
of publication of this notice (see Part IV
below).
B. Portal Capability
1. Forms and Documents
CBP Forms 28, 29, and 4647 issued
for ACE entry summaries will be posted
to a participating importer’s ACE Portal
Account. Participating importer and
broker ACE Portal Accounts may select
a preferred method of communication
with CBP with regard to the receipt of
CBP Form 28, Request for Information,
CBP Form 29, Notice of Action Taken,
and CBP Form 4647, Notice to Mark
and/or Notices to Redeliver, that are
issued for ACE entry summaries.
Communication may be done
electronically through the Portal or by
paper or via both methods.
Additionally, an importer Portal
Account whose entry summaries will be
filed by an ACE test participant may
respond to CBP forms through the ACE
Secure Data Portal by interactively
completing the form and uploading
additional supporting documentation or
images, as needed. Importers and/or
participating test filers should also note
that forms may be saved in draft form
prior to submission to CBP. However,
once sent, the document cannot be
changed. A print option will also be
available for those participants choosing
to print the form and then mail it to
CBP.
2. Declarations
Participating importer, broker, and
carrier Portal Account types will be able
to maintain certain declarations in the
ACE Secure Data Portal. Those
declarations may be communicated to
CBP through that Portal. The system
will not yet allow submission of these
declarations for particular entry
summaries, but will allow
communication in response to CBP
requests. Declarations that will be
supported via the Portal include the
following: Affidavits of manufacturers;
North American Free Trade Agreement
(NAFTA) Certificates of Origin; NonReimbursement Blanket Statements
(Anti-Dumping/Countervailing Duty
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50339
(AD/CVD)); certain marking rulings; and
importer certifying statements.
3. Reports
ACE Secure Data Portal Reports will
be enhanced to include ACE Entry
Summary Data.
C. EDI Capability
1. Entry Summary
Approved trade participants may
begin to file entry summaries
electronically in ACE for entry types 01
and 11 using a better organized, more
descriptive ACE ABI CATAIR (Customs
and Trade Automated Interface
Requirements) document. CATAIR
documentation provides complete
information describing how importers
and/or their agents provide electronic
import information to ABI, and receive
transmissions from ABI once they have
become a participant.
2. Cargo Release
Filers may also initiate cargo release
from a certified entry summary filed in
ACE.
3. Census Warnings
Census warnings may be
electronically overridden for ACE entry
summaries prior to or after receiving a
Census warning message through ABI.
There will also be an ACE Census
Warning ABI Query for unresolved
warnings. Interested parties should go to
CBP.gov for more detailed information
regarding these new ACE ABI CATAIR
formats.
4. Automated Invoice Interface (AII) and
Reconciliation
ACE entry summaries may be flagged
for AII and reconciliation.
5. ABI Status Messages
The ACE Entry Summary Status
Notification message will contain the
following status information regarding
an action CBP has manually executed
for an ACE entry summary:
• Request for Electronic Invoice Data.
• Entry Summary Documentation.
• Entry Summary Reject.
• Entry Summary Inactivated.
• Entry Summary Canceled.
Interested parties should go to
CBP.gov for more detailed information
regarding these new ACE ABI CATAIR
formats.
The ABI Status message will contain
an Action Identification Number that is
a unique number assigned by ACE to
identify the specific action or request to
correlate trade responses to the initial
CBP request.
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6. Reporting of the Ultimate Consignee
Number
The ultimate consignee number must
be reported for each entry summary line.
When the importer of record and the
ultimate consignee number are the
same, the number must appear on each
line; the word ‘‘SAME’’ may not be
used.
III. Eligibility Requirements
Importer and broker volunteers
wishing to benefit from Portal
functionality available in this test must
have an ACE Portal Account (see notices
referenced above relating to the
establishment of ACE Portal Accounts).
Volunteers may also participate as NonPortal Accounts, but they will not be
able to avail themselves of all
functionality offered.
ABI volunteers wishing to participate
in this test must:
• File entries on a Statement, i.e., no
non-statement, single pay entry
summaries will be allowed.
• Use a software package that has
completed ABI certification testing for
ACE (NOTE: software providers need
not reply to this Notice but should
contact their client representative if they
are interested in ABI certification testing
for ACE).
All data submitted and entered into
the ACE Portal is subject to the Trade
Secrets Act (18 U.S.C. 1905) and is
considered confidential, except to the
extent as otherwise provided by law (see
19 U.S.C. 1431(c)).
As stated in previous notices,
participation in this or any of the
previous ACE tests is not confidential
and upon a written Freedom of
Information Act request, a name(s) of an
approved participant(s) will be
disclosed by CBP in accordance with 5
U.S.C. 552.
If necessary, CBP will reserve the
right to limit the number of participants
and locations during the initial stages of
the test.
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IV. Implementation of the Test
This test of ESAR II capabilities will
be conducted in a phased approach,
with initial deployment scheduled for
no earlier than January 23, 2009. In
order to properly conduct this test, CBP
invites interested trade ABI volunteers
to provide comments to CBP with regard
to the number of expected ACE entry
summaries that will be submitted to
each of the ports listed below. Interested
ABI trade volunteers are to provide their
comments to CBP within 60 days of
publication of this notice. Based on
comments received in response to this
notice, CBP will publish a subsequent
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Federal Register notice setting forth the
deployment schedule at dates to be
announced for specified ports.
ABI trade volunteers interested in
submitting type 01 and 11 entries for
this test are asked to provide CBP with
the number of expected ACE entry
summaries that will be submitted to
each of the locations listed below:
• Miami, Florida.
• New Orleans, Louisiana.
• Houston, Texas.
• Long Beach, California.
• Laredo, Texas.
• San Francisco, California.
• Seattle, Washington.
• Chicago, Illinois.
• El Paso, Texas.
• Boston, Massachusetts.
• San Diego, California.
• Newark, New Jersey.
• J.F.K. Airport, New York.
• Baltimore, Maryland.
• Philadelphia, Pennsylvania.
• Cleveland, Ohio.
• Tucson, Arizona.
• Tampa, Florida.
• Buffalo, New York.
• Detroit, Michigan.
• Atlanta, Georgia.
V. Waiver of Affected Regulations
Any provision in the CBP Regulations
(title 19, Code of Federal Regulations),
including but not limited to provisions
found in parts 141, 142, 143 and 151,
relating to entry/entry summary
processing, invoicing, examination and
redelivery of merchandise, that are
inconsistent with the requirements set
forth in this ESAR II Notice are waived
for the duration of the test.
VI. Misconduct Under the Test
An ACE test participant may be
subject to civil and criminal penalties,
administrative sanctions, liquidated
damages, and/or suspension from this
test for any of the following:
• Failure to follow the terms and
conditions of this test.
• Failure to exercise reasonable care
in the execution of participant
obligations.
• Failure to abide by applicable laws
and regulations.
• Failure to deposit duties or fees in
a timely manner.
• Misuse of the ACE Portal.
• Engagement in any unauthorized
disclosure or access to the ACE Portal.
• Engagement in any activity which
interferes with the successful evaluation
of the new technology.
Suspensions for misconduct will be
administered by the Executive Director,
Commercial Targeting and Enforcement,
Office of International Trade, CBP
Headquarters. A notice proposing
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suspension will be provided in writing
to the participant. Such notice will
apprise the participant of the facts or
conduct warranting suspension and will
inform the participant of the date that
the suspension will begin.
Any decision proposing suspension of
a participant may be appealed in writing
to the Assistant Commissioner, Office of
International Trade, within 15 calendar
days of the notification date. Should the
participant appeal the notice of
proposed suspension, the participant
must address the facts or conduct
charges contained in the notice and
state how compliance will be achieved.
In cases of non-payment, late payment,
willful misconduct or where public
health interests or safety is concerned,
the suspension may be effective
immediately.
VII. Test Evaluation Criteria
To ensure adequate feedback,
participants are required to participate
in an evaluation of this test. CBP also
invites all interested parties to comment
on the design, implementation and
conduct of the test at any time during
the test period. CBP will publish the
final results in the Federal Register and
the Customs Bulletin as required by 19
CFR 101.9(b).
The following evaluation methods
and criteria have been suggested:
1. Baseline measurements to be
established through data analysis.
2. Questionnaires from both trade
participants and CBP addressing such
issues as:
• Workload impact (workload shifts/
volume, cycle times, etc.).
• Cost savings (staff, interest,
reduction in mailing costs, etc.).
• Policy and procedure
accommodation.
• Trade compliance impact.
• Problem resolution.
• System efficiency.
• Operational efficiency.
• Other issues identified by the
participant group.
Dated: August 19, 2008.
Daniel Baldwin,
Assistant Commissioner, Office of
International Trade.
[FR Doc. E8–19780 Filed 8–25–08; 8:45 am]
BILLING CODE 9111–14–P
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]]>Agencies
[Federal Register Volume 73, Number 166 (Tuesday, August 26, 2008)]
[Notices]
[Pages 50337-50340]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-19780]
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
U.S. Customs and Border Protection
National Customs Automation Program Test Concerning Automated
Commercial Environment (ACE) Entry Summary, Accounts and Revenue
AGENCY: U.S. Customs and Border Protection, Department of Homeland
Security.
ACTION: General notice.
-----------------------------------------------------------------------
SUMMARY: This document announces Customs and Border Protection's
(CBP's) plan to conduct a National Customs Automation Program (NCAP)
test concerning Automated Commercial Environment (ACE) Entry Summary,
Accounts and Revenue (ESAR) capabilities. These new capabilities will
include functionality specific to the filing and processing of formal
consumption entries and informal entries. This entry summary processing
will include Automated Broker Interface (ABI) Census Warning Overrides
and issuance of certain CBP forms through the ACE Portal. Other new
functionality will enhance Portal Account Management and allow for ACE
Secure Data Portal reporting. In addition to announcing new
functionality, this notice invites public comment concerning any aspect
of the planned test, describes the eligibility, procedural, and
documentation
[[Page 50338]]
requirements for voluntary participation in the test, and outlines the
development and evaluation methodology to be used in the test. This
notice will be referred to as the ESAR II Notice.
DATES: Comments on this notice and interest in participation in this
planned test are requested by October 27, 2008.
ADDRESSES: Comments concerning this notice and indication of interest
in participation in ESAR II should be submitted via e-mail to Janet
Pence at ESARinfoinbox@dhs.gov. Please indicate ``ESAR II Federal
Register Notice'' in the subject line of your e-mail.
FOR FURTHER INFORMATION CONTACT: For policy-related questions, please
contact Cynthia Whittenburg at cynthia.whittenburg@dhs.gov. For
technical questions that are non-ABI related, please contact Valarie
Neuhart at (703) 650-3370. For technical questions related to ABI
transmissions, please contact your assigned client representative.
Interested parties without an assigned client representative should
direct their questions to the Client Representative Branch at (703)
650-3500.
SUPPLEMENTARY INFORMATION:
Background
I. ACE Test Programs
A. ACE Portal Accounts
On May 1, 2002, the former U.S. Customs Service, now U.S. Customs
and Border Protection (CBP), published a General Notice in the Federal
Register (67 FR 21800) announcing a plan to conduct a National Customs
Automation Program (NCAP) test of the first phase of the Automated
Commercial Environment (ACE). The test was described as the first step
toward the full electronic processing of commercial importations with a
focus on defining and establishing an importer's account structure. The
notice announced that importers and authorized parties would be allowed
to access their customs data via a Web-based Account Portal. The notice
set forth eligibility criteria for companies interested in establishing
Account Portals accessible through ACE.
Subsequent General Notices revised the eligibility criteria (see
General Notice published in the Federal Register on February 1, 2005
(67 FR 5199)) and expanded the universe of eligible participants in the
ACE test and the types of ACE Portal Accounts. On February 4, 2004, CBP
published two General Notices in the Federal Register, establishing ACE
Truck Carrier Accounts and opening the application period for
authorized importers and their designated brokers to participate in the
NCAP test implementing the Periodic Monthly Statement (PMS) process
(see 69 FR 5360 and 69 FR 5362, respectively). Brokers were invited to
establish Broker Accounts in ACE in order to participate in the NCAP
test to implement PMS. In both of the February 4, 2004 General Notices,
CBP advised participants that they could designate only one person as
the Account Owner for the company's ACE Portal Account. The Account
Owner was identified as the party responsible for safeguarding the
company's ACE Portal Account information, controlling all disclosures
of that information to authorized persons, authorizing user access to
the ACE Portal Account information, and ensuring the strict control of
access by authorized persons to the ACE Portal information.
On September 8, 2004, CBP published a General Notice in the Federal
Register (69 FR 54302) inviting customs brokers to participate in the
ACE Portal test generally and informing interested parties that once
they had been notified by CBP that their request to participate in the
ACE Portal test had been accepted, they would be asked to sign and
submit a Terms and Conditions document. CBP subsequently contacted
those participants and asked them to also sign and submit an ACE Power
of Attorney form and an Additional Account/Account Owner Information
form.
B. Terms and Conditions for Access to the ACE Portal
On May 16, 2007, CBP published a General Notice in the Federal
Register (72 FR 27632) announcing a revision of the terms and
conditions that must be followed as a condition for access to the ACE
Portal. These terms and conditions superseded and replaced the Terms
and Conditions document previously signed and submitted to CBP by ACE
Portal Trade Account Owners. The notice specified that no further
action would be required by ACE Portal Trade Account Owners for those
ACE Portal Accounts already established with CBP with the proper
Account Owner listed. The principal changes to the ACE Terms and
Conditions included a revised definition of ``Account Owner'' to permit
either an individual or a legal entity to serve in this capacity, new
requirements relating to providing notice to CBP when there has been a
material change in the status of the Account and/or Trade Account
Owner, and explanatory provisions as to how the information from a
particular account may be accessed through the ACE Portal when that
account is transferred to a new owner.
On July 7, 2008, CBP published a General Notice in the Federal
Register (73 FR 38464) which revised the terms and conditions set forth
in the May 16, 2007, notice regarding the period of Portal inactivity
which will result in termination of access to the ACE Portal. The July
7, 2008, notice provided that if forty-five (45) consecutive days
elapse without an Account Owner, Proxy Account Owner, or an Account
user accessing the ACE Portal, access to the Portal will be terminated.
The time period for allowable Portal inactivity previously was ninety
(90) days.
C. ACE Non-Portal Accounts
CBP has also permitted certain parties to participate in specified
ACE tests without establishing ACE Portal Accounts (''Non-Portal
Accounts''). On October 24, 2005, CBP published a General Notice in the
Federal Register (70 FR 61466) announcing that importers could
establish ACE Non-Portal Accounts and participate in the PMS test under
certain conditions. On March 29, 2006, CBP published another General
Notice in the Federal Register (71 FR 15756) announcing that truck
carriers that do not have ACE Truck Carrier Accounts may use third
parties to transmit truck manifest information on their behalf
electronically in the ACE Truck Manifest system via Electronic Data
Interface (EDI) messaging.
D. New ACE Entry Summary, Accounts and Revenue (ESAR I) Capabilities
On October 18, 2007, CBP published a General Notice in the Federal
Register (see 72 FR 59105) announcing CBP's plan to conduct a new test
concerning ACE Entry Summary, Accounts and Revenue (ESAR) capabilities,
providing enhanced account management functions for ACE Portal Accounts
and expanding the universe of ACE account types. This General Notice is
commonly referred to as ESAR I.
As stated in that notice, ACE is now the lead system for CBP-
required master data elements (e.g., company name, address, and point
of contact) as well as related reference files (e.g., country code,
port code, manufacturer ID, and gold currency exchange rate and
conversion calculator). See ACE Systems of Record Notice, published in
the Federal Register on January 19, 2006 (71 FR 3109). This means that
the creation and maintenance of specified master data elements will
originate in ACE and will be distributed to other CBP systems such as
the Automated Commercial System (ACS).
[[Page 50339]]
In addition to announcing that importer Portal Accounts are capable
of creating and maintaining specified importer data via the ACE Portal,
the notice stated that filers have the ability to create a new CBP Form
5106 (Importer ID Input Record) via the ACE Portal or the Automated
Broker Interface (ABI), and view applicable Participating Government
Agency (PGA) licenses, permits and certificates via the ACE Portal.
Through this notice, Broker Portal Accounts were provided the
capability through the ACE Portal of maintaining organizational
demographic data (e.g., addresses, points of contact, etc.), license
and permit qualifiers, data on managing officials, employee lists,
information on relationships to individual licensed brokers, points of
contact and address information (at filer code level for each local
broker permit and each port covered by the local permit, and for the
national broker permit). Truck Carrier Portal Accounts were provided
the capability through the ACE Portal to view any applicable PGA
licenses, permits and certificates, and to maintain through the ACE
Portal addresses and points of contact and pre-registered truck
conveyance information, including equipment, shipper, and consignee
data. Truck Carrier Portal Accounts were also provided with the ability
to create and maintain driver accounts and search for and correlate
existing driver accounts to their Carrier Account. Finally, the notice
also announced the expansion of Portal Account Types to now include:
Carriers (all modes: air, rail, sea); cartman; lighterman; driver/crew;
facility operator; filer; foreign trade zone (FTZ) operator; service
provider; and surety.
II. Test Concerning New ACE Entry Summary, Accounts and Revenue (ESAR
II) Capabilities
A. In General
This document announces CBP's plan to conduct a new test concerning
ACE Entry Summary, Accounts and Revenue (ESAR II) capabilities that
will provide new Portal and EDI capabilities specific to Entry Summary
filing and processing of consumption and informal entries.
Functionality will include ABI Census Warning Overrides and issuance of
CBP requests for information and notices of action through the ACE
Portal. New functionality will enhance Portal Account Management and
allow for ACE Secure Data Portal reporting.
Initially, this release of ESAR II will be limited only to formal
entries, commonly referred to in the Automated Commercial System (ACS)
as type 01 entries, and informal entries, commonly referred to in ACS
as type 11 entries. Functionality for other entry types will be
implemented as it becomes available and will be announced via
subsequent publication in the Federal Register. Interested ABI
participants wishing to submit type 01 and 11 entries for this test are
asked to provide CBP with the number of expected ACE entry summaries
that will be submitted to the ports listed in this notice within 60
days of publication of this notice (see Part IV below).
B. Portal Capability
1. Forms and Documents
CBP Forms 28, 29, and 4647 issued for ACE entry summaries will be
posted to a participating importer's ACE Portal Account. Participating
importer and broker ACE Portal Accounts may select a preferred method
of communication with CBP with regard to the receipt of CBP Form 28,
Request for Information, CBP Form 29, Notice of Action Taken, and CBP
Form 4647, Notice to Mark and/or Notices to Redeliver, that are issued
for ACE entry summaries. Communication may be done electronically
through the Portal or by paper or via both methods. Additionally, an
importer Portal Account whose entry summaries will be filed by an ACE
test participant may respond to CBP forms through the ACE Secure Data
Portal by interactively completing the form and uploading additional
supporting documentation or images, as needed. Importers and/or
participating test filers should also note that forms may be saved in
draft form prior to submission to CBP. However, once sent, the document
cannot be changed. A print option will also be available for those
participants choosing to print the form and then mail it to CBP.
2. Declarations
Participating importer, broker, and carrier Portal Account types
will be able to maintain certain declarations in the ACE Secure Data
Portal. Those declarations may be communicated to CBP through that
Portal. The system will not yet allow submission of these declarations
for particular entry summaries, but will allow communication in
response to CBP requests. Declarations that will be supported via the
Portal include the following: Affidavits of manufacturers; North
American Free Trade Agreement (NAFTA) Certificates of Origin; Non-
Reimbursement Blanket Statements (Anti-Dumping/Countervailing Duty (AD/
CVD)); certain marking rulings; and importer certifying statements.
3. Reports
ACE Secure Data Portal Reports will be enhanced to include ACE
Entry Summary Data.
C. EDI Capability
1. Entry Summary
Approved trade participants may begin to file entry summaries
electronically in ACE for entry types 01 and 11 using a better
organized, more descriptive ACE ABI CATAIR (Customs and Trade Automated
Interface Requirements) document. CATAIR documentation provides
complete information describing how importers and/or their agents
provide electronic import information to ABI, and receive transmissions
from ABI once they have become a participant.
2. Cargo Release
Filers may also initiate cargo release from a certified entry
summary filed in ACE.
3. Census Warnings
Census warnings may be electronically overridden for ACE entry
summaries prior to or after receiving a Census warning message through
ABI. There will also be an ACE Census Warning ABI Query for unresolved
warnings. Interested parties should go to CBP.gov for more detailed
information regarding these new ACE ABI CATAIR formats.
4. Automated Invoice Interface (AII) and Reconciliation
ACE entry summaries may be flagged for AII and reconciliation.
5. ABI Status Messages
The ACE Entry Summary Status Notification message will contain the
following status information regarding an action CBP has manually
executed for an ACE entry summary:
Request for Electronic Invoice Data.
Entry Summary Documentation.
Entry Summary Reject.
Entry Summary Inactivated.
Entry Summary Canceled.
Interested parties should go to CBP.gov for more detailed
information regarding these new ACE ABI CATAIR formats.
The ABI Status message will contain an Action Identification Number
that is a unique number assigned by ACE to identify the specific action
or request to correlate trade responses to the initial CBP request.
[[Page 50340]]
6. Reporting of the Ultimate Consignee Number
The ultimate consignee number must be reported for each entry
summary line. When the importer of record and the ultimate consignee
number are the same, the number must appear on each line; the word
``SAME'' may not be used.
III. Eligibility Requirements
Importer and broker volunteers wishing to benefit from Portal
functionality available in this test must have an ACE Portal Account
(see notices referenced above relating to the establishment of ACE
Portal Accounts). Volunteers may also participate as Non-Portal
Accounts, but they will not be able to avail themselves of all
functionality offered.
ABI volunteers wishing to participate in this test must:
File entries on a Statement, i.e., no non-statement,
single pay entry summaries will be allowed.
Use a software package that has completed ABI
certification testing for ACE (NOTE: software providers need not reply
to this Notice but should contact their client representative if they
are interested in ABI certification testing for ACE).
All data submitted and entered into the ACE Portal is subject to
the Trade Secrets Act (18 U.S.C. 1905) and is considered confidential,
except to the extent as otherwise provided by law (see 19 U.S.C.
1431(c)).
As stated in previous notices, participation in this or any of the
previous ACE tests is not confidential and upon a written Freedom of
Information Act request, a name(s) of an approved participant(s) will
be disclosed by CBP in accordance with 5 U.S.C. 552.
If necessary, CBP will reserve the right to limit the number of
participants and locations during the initial stages of the test.
IV. Implementation of the Test
This test of ESAR II capabilities will be conducted in a phased
approach, with initial deployment scheduled for no earlier than January
23, 2009. In order to properly conduct this test, CBP invites
interested trade ABI volunteers to provide comments to CBP with regard
to the number of expected ACE entry summaries that will be submitted to
each of the ports listed below. Interested ABI trade volunteers are to
provide their comments to CBP within 60 days of publication of this
notice. Based on comments received in response to this notice, CBP will
publish a subsequent Federal Register notice setting forth the
deployment schedule at dates to be announced for specified ports.
ABI trade volunteers interested in submitting type 01 and 11
entries for this test are asked to provide CBP with the number of
expected ACE entry summaries that will be submitted to each of the
locations listed below:
Miami, Florida.
New Orleans, Louisiana.
Houston, Texas.
Long Beach, California.
Laredo, Texas.
San Francisco, California.
Seattle, Washington.
Chicago, Illinois.
El Paso, Texas.
Boston, Massachusetts.
San Diego, California.
Newark, New Jersey.
J.F.K. Airport, New York.
Baltimore, Maryland.
Philadelphia, Pennsylvania.
Cleveland, Ohio.
Tucson, Arizona.
Tampa, Florida.
Buffalo, New York.
Detroit, Michigan.
Atlanta, Georgia.
V. Waiver of Affected Regulations
Any provision in the CBP Regulations (title 19, Code of Federal
Regulations), including but not limited to provisions found in parts
141, 142, 143 and 151, relating to entry/entry summary processing,
invoicing, examination and redelivery of merchandise, that are
inconsistent with the requirements set forth in this ESAR II Notice are
waived for the duration of the test.
VI. Misconduct Under the Test
An ACE test participant may be subject to civil and criminal
penalties, administrative sanctions, liquidated damages, and/or
suspension from this test for any of the following:
Failure to follow the terms and conditions of this test.
Failure to exercise reasonable care in the execution of
participant obligations.
Failure to abide by applicable laws and regulations.
Failure to deposit duties or fees in a timely manner.
Misuse of the ACE Portal.
Engagement in any unauthorized disclosure or access to the
ACE Portal.
Engagement in any activity which interferes with the
successful evaluation of the new technology.
Suspensions for misconduct will be administered by the Executive
Director, Commercial Targeting and Enforcement, Office of International
Trade, CBP Headquarters. A notice proposing suspension will be provided
in writing to the participant. Such notice will apprise the participant
of the facts or conduct warranting suspension and will inform the
participant of the date that the suspension will begin.
Any decision proposing suspension of a participant may be appealed
in writing to the Assistant Commissioner, Office of International
Trade, within 15 calendar days of the notification date. Should the
participant appeal the notice of proposed suspension, the participant
must address the facts or conduct charges contained in the notice and
state how compliance will be achieved. In cases of non-payment, late
payment, willful misconduct or where public health interests or safety
is concerned, the suspension may be effective immediately.
VII. Test Evaluation Criteria
To ensure adequate feedback, participants are required to
participate in an evaluation of this test. CBP also invites all
interested parties to comment on the design, implementation and conduct
of the test at any time during the test period. CBP will publish the
final results in the Federal Register and the Customs Bulletin as
required by 19 CFR 101.9(b).
The following evaluation methods and criteria have been suggested:
1. Baseline measurements to be established through data analysis.
2. Questionnaires from both trade participants and CBP addressing
such issues as:
Workload impact (workload shifts/volume, cycle times,
etc.).
Cost savings (staff, interest, reduction in mailing costs,
etc.).
Policy and procedure accommodation.
Trade compliance impact.
Problem resolution.
System efficiency.
Operational efficiency.
Other issues identified by the participant group.
Dated: August 19, 2008.
Daniel Baldwin,
Assistant Commissioner, Office of International Trade.
[FR Doc. E8-19780 Filed 8-25-08; 8:45 am]
BILLING CODE 9111-14-P
