Modification of National Customs Automation Program Test Concerning Automated Commercial Environment Document Image System, 36083-36086 [2014-14874]

Download as PDF 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 http://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 mstockstill on DSK4VPTVN1PROD with NOTICES 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: VerDate Mar<15>2010 18:01 Jun 24, 2014 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 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 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. E:\FR\FM\25JNN1.SGM 25JNN1 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. mstockstill on DSK4VPTVN1PROD with NOTICES 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. VerDate Mar<15>2010 18:01 Jun 24, 2014 Jkt 232001 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). PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 • 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). E:\FR\FM\25JNN1.SGM 25JNN1 Federal Register / Vol. 79, No. 122 / Wednesday, June 25, 2014 / Notices mstockstill on DSK4VPTVN1PROD with NOTICES • 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. VerDate Mar<15>2010 18:01 Jun 24, 2014 Jkt 232001 V. Technical Specifications In Phase Two, the DIS test reduced the number of metadata elements required for each document to only those necessary to identify the transmitter, the document preparer, the CBP request (if applicable), the document and description, and associated transaction. Documents must be submitted in an XML format via Secure File Transfer Protocol (FTP), Secure Web Services, or existing EDI ABI MQ interfaces. All responses back to test participants will also be sent in the form of an XML message. Additional information pertaining to technical specifications (see DIS Implementation Guidelines) can be accessed on CBP.gov at the following link: http:// www.cbp.gov/document/forms/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 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 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). E:\FR\FM\25JNN1.SGM 25JNN1 36086 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 ................... VerDate Mar<15>2010 18:01 Jun 24, 2014 Jkt 232001 PO 00000 Frm 00099 Fmt 4703 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 Sfmt 4703 E:\FR\FM\25JNN1.SGM 25JNN1

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]


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DEPARTMENT OF HOMELAND SECURITY

U.S. Customs and Border Protection


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

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

ACTION: General notice.

-----------------------------------------------------------------------

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).

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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.

V. Technical Specifications

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

VI. Development of ACE Prototypes

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


[[Page 36086]]


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