80 FR 62082 - Modification of the National Customs Automation Program (NCAP) Test Concerning the Automated Commercial Environment (ACE) Document Image System (DIS) Regarding Future Updates and New Method of Submission of Accepted Documents

DEPARTMENT OF HOMELAND SECURITY
U.S. Customs and Border Protection

Federal Register Volume 80, Issue 199 (October 15, 2015)

Page Range		62082-62085
FR Document		2015-26213

This document announces U.S. Customs and Border Protection's (CBP's) plan to modify the National Customs Automation Program (NCAP) test concerning document imaging, known as the Document Image System (DIS) test. The DIS test allows Automated Commercial Environment (ACE) participants to submit electronic images of a specific set of CBP and Partner Government Agency (PGA) forms, documents, and supporting information to CBP via a CBP-approved Electronic Data Interchange (EDI). This notice announces several changes to the DIS test. First, eligibility to participate in the test is being expanded to include anyone transmitting cargo release or entry summary information to ACE. Second, CBP has added forms to the list of forms and documents supported by the DIS test. Third, the list of eligible forms and documents will now be maintained on the CBP Web site. Fourth, all future additions and changes to the list of eligible forms and documents will be announced on the CBP Web site, rather than by Federal Register notice. Finally, the DIS test is being amended to permit participants to submit all DIS eligible forms and documents as attachments to email, in addition to the methods of transmission previously authorized. This notice provides DIS test details including commencement date for the modifications announced herein, eligibility, procedural and documentation requirements, and test development and evaluation methods.

Federal Register, Volume 80 Issue 199 (Thursday, October 15, 2015)

[Federal Register Volume 80, Number 199 (Thursday, October 15, 2015)]
[Notices]
[Pages 62082-62085]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-26213]


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DEPARTMENT OF HOMELAND SECURITY

U.S. Customs and Border Protection


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

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

ACTION: General notice.

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SUMMARY: This document announces U.S. Customs and Border Protection's 
(CBP's) plan to modify the National Customs Automation Program (NCAP) 
test concerning document imaging, known as the Document Image System 
(DIS) test. The DIS test allows Automated Commercial Environment (ACE) 
participants to submit electronic images of a specific set of CBP and 
Partner Government Agency (PGA) forms, documents, and supporting 
information to CBP via a CBP-approved Electronic Data Interchange 
(EDI).
    This notice announces several changes to the DIS test. First, 
eligibility to participate in the test is being expanded to include 
anyone transmitting cargo release or entry summary information to ACE. 
Second, CBP has added forms to the list of forms and documents 
supported by the DIS test. Third, the list of eligible forms and 
documents will now be maintained on the CBP Web site. Fourth, all 
future additions and changes to the list of eligible forms and 
documents will be announced on the CBP Web site, rather than by Federal 
Register notice. Finally, the DIS test is being amended to permit 
participants to submit all DIS eligible forms and documents as 
attachments to email, in addition to the methods of transmission 
previously authorized. This notice provides DIS test details including 
commencement date for the modifications announced herein, eligibility, 
procedural and documentation requirements, and test development and 
evaluation methods.

DATES: The modifications of the DIS test made by this notice are 
effective on October 15, 2015. The test will continue until concluded 
by way of announcement in the Federal Register.

ADDRESSES: Comments concerning this notice and any aspect of the test 
may be submitted at any time during the test via email to Monica 
Crockett at [email protected]. In the subject line of your 
email, please indicate ``Comment on Document Image System (DIS).''

FOR FURTHER INFORMATION CONTACT: For policy-related questions, contact 
Monica Crockett at [email protected]. For technical 
questions related to Automated Broker Interface (ABI) transmissions, 
contact your assigned client representative. Interested parties without 
an assigned client representative should direct their questions to 
Steven Zaccaro at [email protected]. Any partner government 
agency (PGA) interested in participating in DIS should contact 
Elizabeth McQueen at [email protected].

SUPPLEMENTARY INFORMATION:

Background

    The National Customs Automation Program (NCAP) was established in 
Subtitle B of Title VI--Customs Modernization, in the North American 
Free Trade Agreement Implementation Act (Pub. L. 103-182, 107 Stat. 
2057, 2170, December 8, 1993) (Customs Modernization Act) (19 U.S.C. 
1411-14). Through NCAP, the initial thrust of customs modernization was 
on trade compliance and the development of the Automated Commercial 
Environment (ACE), the planned successor to the Automated Commercial 
System (ACS). ACE is an automated and electronic system for commercial 
trade processing which is intended to streamline business processes, 
facilitate growth in trade, ensure cargo security, and foster 
participation in global commerce, while ensuring compliance with U.S. 
laws and regulations and reducing costs for U.S. Customs and Border 
Protection (CBP) and all of its communities of interest.
    The ability to meet these objectives depends on successfully 
modernizing CBP's business functions and the information technology 
that supports those functions. CBP's modernization efforts are 
accomplished through phased releases of ACE component functionality 
designed to introduce new functionality or to replace a specific legacy 
ACS function. Each release will begin with a test and will end with 
mandatory compliance with the new ACE feature and the retirement of the 
legacy ACS function. Each release builds on previous releases and sets 
the foundation for subsequent releases.
    On April 6, 2012, CBP published a notice in the Federal Register 
announcing a NCAP test called the Document Image System (DIS) test. See 
77 FR 20835. The DIS test notice allowed ACE participants to submit 
electronic images of a specific set of CBP and Partner Government 
Agency (PGA) forms and supporting information to CBP via a CBP-approved 
Electronic Data Interchange (EDI).
    On July 23, 2013, CBP published a subsequent notice in the Federal 
Register announcing a second phase, Phase II, of the DIS test and 
modifications to both the DIS test and the ACE Cargo Release test 
(formerly known as the Simplified Entry test). That notice reduced the 
metadata elements required for each DIS transmission and allowed the 
submission of certain documents through DIS earlier in the importation 
process, i.e. at the time of manifest. In Phase II, CBP also expanded 
the pool of eligible participants to include software providers who 
merely transmit data electronically on behalf of ACE participating 
importers or brokers. Finally, in Phase II, CBP specified forms that 
were eligible to be transmitted via a CBP-approved EDI to support ACE 
Cargo Release filings (previously known as Simplified Entry filings). 
See 78 FR 44142.
    On June 25, 2014, CBP published a notice in the Federal Register 
announcing a third phase, Phase III, of the DIS test and adding to the 
list of documents and forms supported by the DIS test. See 79 FR 36083. 
In addition to the new documents and forms, that notice listed all CBP 
and PGA forms and documents which the DIS test

[[Page 62083]]

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

Authorization for the Test

    The Customs Modernization Act authorizes the Commissioner of CBP to 
conduct limited test programs or procedures designed to evaluate 
planned components of the NCAP. This test is authorized pursuant to 
section 101.9(b) of the CBP Regulations (19 CFR 101.9(b)) which 
provides for the testing of NCAP programs or procedures. See Treasury 
Decision (T.D.) 95-21, 60 FR 14211 (March 16, 1995).

Document Image System (DIS) Test Program

    This notice announces Phase IV of the DIS test. Under the DIS test, 
parties who file entry or entry summaries in ACE are allowed to submit 
specified CBP and PGA forms and documents via a CBP-approved EDI. DIS 
capabilities will continue to be delivered in multiple phases. As PGA 
Message Sets are programmed into ACE, CBP envisions that the 
documentation filed in DIS will be significantly reduced to only those 
documents that continue to be paper based (e.g. foreign certificates).
    The first phase of the DIS test enabled participating importers and 
brokers to transmit images of specified CBP and PGA forms and documents 
with supporting information via a CBP-approved EDI in an Extensible 
Markup Language (XML) format, in lieu of conventional paper methods. 
See 77 FR 20835 (April 6, 2012). In Phase II, CBP reduced the number of 
metadata elements required for each document and specified forms that 
were eligible to be submitted earlier, i.e., at the time of manifest, 
or transmitted via a CBP-approved EDI to support ACE Cargo Release 
filings (previously known as Simplified Entry filings). See 78 FR 44142 
(July 23, 2013). Additionally, the pool of eligible participants was 
expanded to include software providers that merely transmitted 
electronic data received from filers for transmission to CBP. In Phase 
III, CBP added forms and documents to the list of documentation 
supported by the DIS test and provided alternative methods of 
transmission. See 79 FR 36083 (June 25, 2014). Phase III was further 
modified to allow transmission of limited documents via email. See 80 
FR 5126 (January 30, 2015).
    This notice announces Phase IV of the DIS test. In Phase IV, the 
eligibility requirements are modified to permit any filer transmitting 
cargo release or entry summary data, information, forms, or documents 
to use DIS. Phase IV also expands the list of documents eligible for 
submission under the DIS test. Because CBP frequently updates the list 
of forms and documents eligible to be transmitted using DIS, the 
complete list will be maintained on the CBP Web site, at the following 
address: http://www.cbp.gov/trade/ace/features under the Document Image 
System tab. CBP will no longer publish announcements in the Federal 
Register to notify ACE participants when new CBP or PGA forms may be 
submitted pursuant to the DIS test, or when DIS test-supported forms 
may be submitted via email. All future additions and changes to the 
list of forms and documents eligible to be transmitted under the DIS 
test will be announced on the CBP Web site. Finally, this notice 
announces that DIS eligible forms and documents may be submitted as 
attachments to an email as an alternative submission via DIS.

Test Participation

I. Eligibility Requirements

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

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

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

III. Documents Supported in the Fourth Phase of the Test

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

[[Page 62084]]

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

IV. Recordkeeping

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

V. Technical Specifications

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

VI. Development of ACE Prototypes

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

[[Page 62085]]

Service Using the Partner Government Agency Message Set Through the 
Automated Commercial Environment (ACE): 78 FR 75931 (December 13, 
2013).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release 
for Ocean and Rail Carriers: 79 FR 6210 (February 3, 2014).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release to 
Allow Importers and Brokers to Certify From ACE Entry Summary: 79 FR 
24744 (May 1, 2014).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Cargo Release 
for Truck Carriers: 79 FR 25142 (May 2, 2014).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Document Image 
System: 79 FR 36083 (June 25, 2014).
     Announcement of eBond Test: 79 FR 70881 (November 28, 
2014).
     eBond Test Modifications and Clarifications: Continuous 
Bond Executed Prior to or Outside the eBond Test May Be Converted to an 
eBond by the Surety and Principal, Termination of an eBond by Filing 
Identification Number, and Email Address Correction: 80 FR 899 (January 
7, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning Automated Commercial Environment (ACE) Document Image 
System Relating to Animal and Plant Health Inspection Service (APHIS) 
Document Submissions: 80 FR 5126 (January 30, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the use of Partner Government Agency Message Set 
through the Automated Commercial Environment (ACE) for the Submission 
of Certain Data Required by the Environmental Protection Agency (EPA): 
80 FR 6098 (February 4, 2015).
     Announcement of Modification of ACE Cargo Release Test to 
Permit the Combined Filing of Cargo Release and Importer Security 
Filing (ISF) Data: 80 FR 7487 (February 10, 2015).
     Modification of NCAP Test Concerning ACE Cargo Release for 
Type 03 Entries and Advanced Capabilities for Truck Carriers: 80 FR 
16414 (March 27, 2015).
     Automated Commercial Environment (ACE) Export Manifest for 
Air Cargo Test: 80 FR 39790 (July 10, 2015).
     National Customs Automation Program (NCAP) Concerning 
Remote Location Filing Entry Procedures in the Automated Commercial 
Environment (ACE) and the Use of the Document Image System for the 
Submission of Invoices and the Use of eBonds for the Transmission of 
Single Transaction Bonds: 80 FR 40079 (July 13, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the Automated Commercial Environment (ACE) Partner 
Government Agency (PGA) Message Set Regarding Types of Transportation 
Modes and Certain Data Required by the National Highway Traffic Safety 
Administration (NHTSA): 80 FR 47938 (August 10, 2015).
     Automated Commercial Environment (ACE) Export Manifest for 
Vessel Cargo Test: 80 FR 50644 (August 20, 2015).
     Modification of National Customs Automation Program (NCAP) 
Test Concerning the Submission of Certain Data Required by the Food and 
Drug Administration (FDA) Using the Partner Government Agency Message 
Set through the Automated Commercial Environment (ACE): 80 FR 52051 
(August 27, 2015).

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

62082 Federal Register / Vol. 80, No. 199 / Thursday, October 15, 2015 / Notices

machinery are required by Federal law summary information to ACE. Second, system for commercial trade processing
to apply for a number from the issuing CBP has added forms to the list of forms which is intended to streamline
authority of the State in which the and documents supported by the DIS business processes, facilitate growth in
vessel is to be principally operated. In test. Third, the list of eligible forms and trade, ensure cargo security, and foster
addition, States may require other documents will now be maintained on participation in global commerce, while
vessels, such as sailboats or even canoes the CBP Web site. Fourth, all future ensuring compliance with U.S. laws and
and kayaks, to be numbered. ‘‘Owners’’ additions and changes to the list of regulations and reducing costs for U.S.
may include individuals or households, eligible forms and documents will be Customs and Border Protection (CBP)
non-profit organizations, and small announced on the CBP Web site, rather and all of its communities of interest.
businesses (e.g., liveries that offer than by Federal Register notice. Finally, The ability to meet these objectives
recreational vessels for rental by the the DIS test is being amended to permit depends on successfully modernizing
public) or other for-profit organizations. participants to submit all DIS eligible CBP’s business functions and the
Frequency: There are no forms and documents as attachments to information technology that supports
recordkeeping requirements for this email, in addition to the methods of those functions. CBP’s modernization
information collection. The frequency transmission previously authorized. efforts are accomplished through phased
for the reporting requirements is, one This notice provides DIS test details releases of ACE component
time. including commencement date for the functionality designed to introduce new
Hour Burden Estimate: The estimated modifications announced herein, functionality or to replace a specific
annual burden has decreased from eligibility, procedural and legacy ACS function. Each release will
286,458 hours to 257,986 hours a year documentation requirements, and test begin with a test and will end with
due to a change in methodology. development and evaluation methods. mandatory compliance with the new
Authority: The Paperwork Reduction Act DATES: The modifications of the DIS test ACE feature and the retirement of the
of 1995; 44 U.S.C. chapter 35, as amended. made by this notice are effective on legacy ACS function. Each release
October 15, 2015. The test will continue builds on previous releases and sets the
Dated: October 5, 2015. foundation for subsequent releases.
until concluded by way of
Thomas P. Michelli, On April 6, 2012, CBP published a
announcement in the Federal Register.
U.S. Coast Guard, Deputy Chief Information notice in the Federal Register
ADDRESSES: Comments concerning this
Officer. announcing a NCAP test called the
notice and any aspect of the test may be
[FR Doc. 2015–26194 Filed 10–14–15; 8:45 am]
submitted at any time during the test via Document Image System (DIS) test. See
BILLING CODE 9110–04–P
email to Monica Crockett at 77 FR 20835. The DIS test notice
monica.v.crockett@cbp.dhs.gov. In the allowed ACE participants to submit
subject line of your email, please electronic images of a specific set of
DEPARTMENT OF HOMELAND CBP and Partner Government Agency
SECURITY indicate ‘‘Comment on Document Image
System (DIS).’’ (PGA) forms and supporting information
to CBP via a CBP-approved Electronic
U.S. Customs and Border Protection FOR FURTHER INFORMATION CONTACT: For
Data Interchange (EDI).
policy-related questions, contact Monica On July 23, 2013, CBP published a
Modification of the National Customs Crockett at subsequent notice in the Federal
Automation Program (NCAP) Test monica.v.crockett@cbp.dhs.gov. For Register announcing a second phase,
Concerning the Automated technical questions related to Phase II, of the DIS test and
Commercial Environment (ACE) Automated Broker Interface (ABI) modifications to both the DIS test and
Document Image System (DIS) transmissions, contact your assigned the ACE Cargo Release test (formerly
Regarding Future Updates and New client representative. Interested parties known as the Simplified Entry test).
Method of Submission of Accepted without an assigned client That notice reduced the metadata
Documents representative should direct their elements required for each DIS
AGENCY: U.S. Customs and Border questions to Steven Zaccaro at transmission and allowed the
Protection, Department of Homeland steven.j.zaccaro@cbp.dhs.gov. Any submission of certain documents
Security. partner government agency (PGA) through DIS earlier in the importation
interested in participating in DIS should process, i.e. at the time of manifest. In
ACTION: General notice.
contact Elizabeth McQueen at Phase II, CBP also expanded the pool of
SUMMARY: This document announces elizabeth.mcqueen@cbp.dhs.gov. eligible participants to include software
U.S. Customs and Border Protection’s SUPPLEMENTARY INFORMATION: providers who merely transmit data
(CBP’s) plan to modify the National electronically on behalf of ACE
Customs Automation Program (NCAP) Background participating importers or brokers.
test concerning document imaging, The National Customs Automation Finally, in Phase II, CBP specified forms
known as the Document Image System Program (NCAP) was established in that were eligible to be transmitted via
(DIS) test. The DIS test allows Subtitle B of Title VI—Customs a CBP-approved EDI to support ACE
Automated Commercial Environment Modernization, in the North American Cargo Release filings (previously known
(ACE) participants to submit electronic Free Trade Agreement Implementation as Simplified Entry filings). See 78 FR
images of a specific set of CBP and Act (Pub. L. 103–182, 107 Stat. 2057, 44142.
Partner Government Agency (PGA) 2170, December 8, 1993) (Customs On June 25, 2014, CBP published a
mstockstill on DSK4VPTVN1PROD with NOTICES

forms, documents, and supporting Modernization Act) (19 U.S.C. 1411–14). notice in the Federal Register
information to CBP via a CBP-approved Through NCAP, the initial thrust of announcing a third phase, Phase III, of
Electronic Data Interchange (EDI). customs modernization was on trade the DIS test and adding to the list of
This notice announces several compliance and the development of the documents and forms supported by the
changes to the DIS test. First, eligibility Automated Commercial Environment DIS test. See 79 FR 36083. In addition
to participate in the test is being (ACE), the planned successor to the to the new documents and forms, that
expanded to include anyone Automated Commercial System (ACS). notice listed all CBP and PGA forms and
transmitting cargo release or entry ACE is an automated and electronic documents which the DIS test

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Federal Register / Vol. 80, No. 199 / Thursday, October 15, 2015 / Notices 62083

supported as of that date. On January Simplified Entry filings). See 78 FR II. Rules for Submitting Images in
30, 2015, CBP published a notice 44142 (July 23, 2013). Additionally, the Document Image System (DIS)
modifying Phase III of the DIS test to pool of eligible participants was The following rules apply to all
permit importers and brokers expanded to include software providers participants involved in the DIS testing
participating in the DIS test to file DIS that merely transmitted electronic data process:
test-supported APHIS documents in received from filers for transmission to • In Phase II of the DIS test, CBP
Portable Document Format (PDF) file CBP. In Phase III, CBP added forms and indicated two categories of documents
format, via email to docs@cbp.dhs.gov. documents to the list of documentation which could be transmitted through
See 80 FR 5126. The list of APHIS supported by the DIS test and provided DIS: (1) Documents that require a
documents which may be sent in PDF alternative methods of transmission. See request from CBP or a PGA prior to
file format is set forth in the January 30, 79 FR 36083 (June 25, 2014). Phase III transmission; and (2) documents that
2015 notice. was further modified to allow may be transmitted without a prior
For the convenience of the public, a transmission of limited documents via request. Beginning with Phase III, the
chronological listing of Federal Register
email. See 80 FR 5126 (January 30, rules for submitting images through DIS
publications detailing ACE test
2015). were updated as follows: (1) If the
developments is set forth below in
Section VI, entitled, ‘‘Development of This notice announces Phase IV of the document transmitted is required to
ACE Prototypes.’’ DIS test. In Phase IV, the eligibility obtain the release of merchandise,
The procedures, terms, conditions requirements are modified to permit any including a release certified from ACE
and rules set forth in the previous DIS filer transmitting cargo release or entry entry summary, the document may be
notices remain in effect unless summary data, information, forms, or transmitted without a prior request from
otherwise explicitly changed by this or documents to use DIS. Phase IV also CBP or the PGA; and (2) if the document
subsequent notices published in the expands the list of documents eligible is transmitted in support of entry
Federal Register. for submission under the DIS test. summary pursuant to a request from
Because CBP frequently updates the list CBP or the PGA, the document may be
Authorization for the Test transmitted. Only eligible documents
of forms and documents eligible to be
The Customs Modernization Act and forms required for the release of
transmitted using DIS, the complete list
authorizes the Commissioner of CBP to merchandise or requested by CBP
will be maintained on the CBP Web site,
conduct limited test programs or should be transmitted using DIS. ACE
at the following address: http://
procedures designed to evaluate will acknowledge every successful DIS
www.cbp.gov/trade/ace/features under
planned components of the NCAP. This transmission. Any form or document
the Document Image System tab. CBP
test is authorized pursuant to section submitted via DIS is an electronic copy
will no longer publish announcements
101.9(b) of the CBP Regulations (19 CFR of an original document or form and
in the Federal Register to notify ACE both the original and the imaged copy
101.9(b)) which provides for the testing participants when new CBP or PGA
of NCAP programs or procedures. See are subject to the recordkeeping
forms may be submitted pursuant to the requirements of 19 CFR part 163 and
Treasury Decision (T.D.) 95–21, 60 FR
DIS test, or when DIS test-supported any applicable PGA recordkeeping
14211 (March 16, 1995).
forms may be submitted via email. All requirements.
Document Image System (DIS) Test future additions and changes to the list • Test participants may only transmit
Program of forms and documents eligible to be forms and documents that CBP has
This notice announces Phase IV of the transmitted under the DIS test will be permitted to be transmitted under this
DIS test. Under the DIS test, parties who announced on the CBP Web site. test. See documents supported in
file entry or entry summaries in ACE are Finally, this notice announces that DIS Section III below. If CBP cannot accept
allowed to submit specified CBP and eligible forms and documents may be the form, document or information
PGA forms and documents via a CBP- submitted as attachments to an email as electronically, the filer must file using
approved EDI. DIS capabilities will an alternative submission via DIS. paper.
continue to be delivered in multiple Test Participation • Every form or document
phases. As PGA Message Sets are transmitted through DIS must be legible
programmed into ACE, CBP envisions I. Eligibility Requirements and must be a complete, accurate, and
that the documentation filed in DIS will unaltered copy of the original
be significantly reduced to only those As announced in this notice, Phase IV document.
documents that continue to be paper of the DIS test alters the eligibility
requirements for participation in the III. Documents Supported in the Fourth
based (e.g. foreign certificates).
The first phase of the DIS test enabled DIS test. Now, any filer transmitting Phase of the Test
participating importers and brokers to cargo release or entry summary data, The forms and documents listed in
transmit images of specified CBP and information, forms or documents to ACE the first, second and third phases of the
PGA forms and documents with pursuant to the Cargo Release (80 FR DIS test may continue to be transmitted
supporting information via a CBP- 16414), or Entry Summary, Accounts using DIS. Upon the effective date of
approved EDI in an Extensible Markup and Revenue (76 FR 37136) tests is this notice, CBP is permitting additional
Language (XML) format, in lieu of eligible to use DIS. Such filers must use forms and documents to be transmitted
conventional paper methods. See 77 FR a software program that has completed using DIS. For a complete list of forms
ACE certification testing. Additionally,
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20835 (April 6, 2012). In Phase II, CBP and documents that may be submitted
reduced the number of metadata CBP is expanding the list of CBP- and using DIS, please go to the Document
elements required for each document PGA-approved forms and documents Image System tab at: http://
and specified forms that were eligible to that may be submitted as part of the DIS www.cbp.gov/trade/ace/features. To
be submitted earlier, i.e., at the time of test. All other eligibility criteria as ensure the availability of the most up-
manifest, or transmitted via a CBP- specified in prior DIS test notices to-date information regarding DIS-
approved EDI to support ACE Cargo remain the same, to the extent they are eligible forms, CBP will maintain the
Release filings (previously known as not inconsistent with this notice. list of forms and documents on the Web

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Federal Register / Vol. 80, No. 199 / Thursday, October 15, 2015 / Notices 62085

Service Using the Partner Government Air Cargo Test: 80 FR 39790 (July 10, proposing that this information
Agency Message Set Through the 2015). collection be extended with no change
Automated Commercial Environment • National Customs Automation to the burden hours or Information
(ACE): 78 FR 75931 (December 13, Program (NCAP) Concerning Remote collected. This document is published
2013). Location Filing Entry Procedures in the to obtain comments from the public and
• Modification of National Customs Automated Commercial Environment affected agencies.
Automation Program (NCAP) Test (ACE) and the Use of the Document DATES: Written comments should be
Concerning Automated Commercial Image System for the Submission of received on or before December 14, 2015
Environment (ACE) Cargo Release for Invoices and the Use of eBonds for the to be assured of consideration.
Ocean and Rail Carriers: 79 FR 6210 Transmission of Single Transaction ADDRESSES: Written comments may be
(February 3, 2014). Bonds: 80 FR 40079 (July 13, 2015). mailed to U.S. Customs and Border
• Modification of National Customs • Modification of National Customs Protection, Attn: Tracey Denning,
Automation Program (NCAP) Test Automation Program (NCAP) Test Regulations and Rulings, Office of
Concerning Automated Commercial Concerning the Automated Commercial International Trade, 90 K Street NE.,
Environment (ACE) Cargo Release to Environment (ACE) Partner Government 10th Floor, Washington, DC 20229–
Allow Importers and Brokers to Certify Agency (PGA) Message Set Regarding 1177.
From ACE Entry Summary: 79 FR 24744 Types of Transportation Modes and
Certain Data Required by the National FOR FURTHER INFORMATION CONTACT:
(May 1, 2014). Requests for additional information
• Modification of National Customs Highway Traffic Safety Administration
(NHTSA): 80 FR 47938 (August 10, should be directed to Tracey Denning,
Automation Program (NCAP) Test U.S. Customs and Border Protection,
Concerning Automated Commercial 2015).
• Automated Commercial Regulations and Rulings, Office of
Environment (ACE) Cargo Release for International Trade, 90 K Street NE.,
Truck Carriers: 79 FR 25142 (May 2, Environment (ACE) Export Manifest for
Vessel Cargo Test: 80 FR 50644 (August 10th Floor, Washington, DC 20229–
2014). 1177, at 202–325–0265.
• Modification of National Customs 20, 2015).
• Modification of National Customs SUPPLEMENTARY INFORMATION: CBP
Automation Program (NCAP) Test invites the general public and other
Automation Program (NCAP) Test
Concerning Automated Commercial Federal agencies to comment on
Concerning the Submission of Certain
Environment (ACE) Document Image proposed and/or continuing information
Data Required by the Food and Drug
System: 79 FR 36083 (June 25, 2014). collections pursuant to the Paperwork
Administration (FDA) Using the Partner
• Announcement of eBond Test: 79 Reduction Act of 1995 (Public Law 104–
Government Agency Message Set
FR 70881 (November 28, 2014). 13). The comments should address: (a)
through the Automated Commercial
• eBond Test Modifications and Whether the collection of information is
Environment (ACE): 80 FR 52051
Clarifications: Continuous Bond necessary for the proper performance of
(August 27, 2015).
Executed Prior to or Outside the eBond the functions of the agency, including
Test May Be Converted to an eBond by Dated: October 8, 2015.
Brenda B. Smith,
whether the information shall have
the Surety and Principal, Termination of practical utility; (b) the accuracy of the
an eBond by Filing Identification Assistant Commissioner Office of
agency’s estimates of the burden of the
Number, and Email Address Correction: International Trade.
collection of information; (c) ways to
80 FR 899 (January 7, 2015). [FR Doc. 2015–26213 Filed 10–14–15; 8:45 am]
enhance the quality, utility, and clarity
• Modification of National Customs BILLING CODE 9111–14–P
of the information to be collected; (d)
Automation Program (NCAP) Test ways to minimize the burden including
Concerning Automated Commercial the use of automated collection
Environment (ACE) Document Image DEPARTMENT OF HOMELAND
SECURITY techniques or the use of other forms of
System Relating to Animal and Plant information technology; and (e) the
Health Inspection Service (APHIS) annual cost burden to respondents or
Document Submissions: 80 FR 5126 U.S. Customs and Border Protection
record keepers from the collection of
(January 30, 2015). [1651–0004] information (total capital/startup costs
• Modification of National Customs and operations and maintenance costs).
Automation Program (NCAP) Test Agency Information Collection
Activities: Application for Exportation The comments that are submitted will
Concerning the use of Partner be summarized and included in the CBP
Government Agency Message Set of Articles Under Special Bond
request for OMB approval. All
through the Automated Commercial AGENCY: U.S. Customs and Border comments will become a matter of
Environment (ACE) for the Submission Protection, Department of Homeland public record. In this document, CBP is
of Certain Data Required by the Security. soliciting comments concerning the
Environmental Protection Agency ACTION: 60-Day Notice and request for following information collection:
(EPA): 80 FR 6098 (February 4, 2015). comments; extension of an existing Title: Application for Exportation of
• Announcement of Modification of collection of information. Articles under Special Bond.
ACE Cargo Release Test to Permit the OMB Number: 1651–0004.
Combined Filing of Cargo Release and SUMMARY: U.S. Customs and Border Form Number: CBP Form 3495.
Importer Security Filing (ISF) Data: 80 Protection (CBP) of the Department of Abstract: CBP Form 3495, Application
mstockstill on DSK4VPTVN1PROD with NOTICES

FR 7487 (February 10, 2015). Homeland Security will be submitting for Exportation of Articles Under
• Modification of NCAP Test the following information collection Special Bond, is an application for
Concerning ACE Cargo Release for Type request to the Office of Management and exportation of articles entered under
03 Entries and Advanced Capabilities Budget (OMB) for review and approval temporary bond pursuant to 19 U.S.C.
for Truck Carriers: 80 FR 16414 (March in accordance with the Paperwork 1202, Chapter 98, subchapter XIII,
27, 2015). Reduction Act: Application for Harmonized Tariff Schedule of the
• Automated Commercial Exportation of Articles under Special United States, and 19 CFR 10.38. CBP
Environment (ACE) Export Manifest for Bond (CBP Form 3495). CBP is Form 3495 is used by importers to

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Document Created: 2018-02-27 08:52:40
Document Modified: 2018-02-27 08:52:40

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		General notice.
Dates		The modifications of the DIS test made by this notice are effective on October 15, 2015. The test will continue until concluded by way of announcement in the Federal Register.
Contact		For policy-related questions, contact Monica Crockett at [email protected] For technical questions related to Automated Broker Interface (ABI) transmissions, contact your assigned client representative. Interested parties without an assigned client representative should direct their questions to Steven Zaccaro at [email protected] Any partner government agency (PGA) interested in participating in DIS should contact Elizabeth McQueen at [email protected]
FR Citation		80 FR 62082

80 FR 62082 - Modification of the National Customs Automation Program (NCAP) Test Concerning the Automated Commercial Environment (ACE) Document Image System (DIS) Regarding Future Updates and New Method of Submission of Accepted Documents

DEPARTMENT OF HOMELAND SECURITYU.S. Customs and Border Protection

Federal Register Volume 80, Issue 199 (October 15, 2015)

DEPARTMENT OF HOMELAND SECURITY
U.S. Customs and Border Protection