CBP Issues General Notice on NCAP/ACE Test of ESAR III (AD/CV Entries and Case Management)

According to CBP, the new ESAR III capabilities will include functionalities specific to the filing and processing of anti-dumping and countervailing duty (AD/CVD) entries and case management.

(CBP sources have confirmed that ESAR III is also referred to as ESAR A2.3.1a.)

ESAR III Scheduled to be Deployed January 17, 2010

CBP's general notice states that the ESAR III test will commence no earlier than January 17, 2010. However, CBP sources have confirmed that ESAR III"s ACE AD/CVD entry summary and case management capabilities are currently scheduled to be deployed on January 17, 2010.

ESAR III AD/CV Entry Summary Requirements and Capabilities

Additional data elements to be required at line level. Type 03 entries filed under the ESAR III test will require the submission of the "sold to" party and "foreign exporter" at the line level. This requirement differs from the ESAR I and II tests that apply to 01 and 011 entry types. The CATAIR should be consulted for further guidance pertaining to the definitions for each of these new data elements.

Additionally, 01 entry types filed under this test will require the "sold to" party and "consignee" party; this is a change from the previous ESAR II test where only the "consignee" party was required. As previously, mentioned, the CATAIR document should be consulted for further guidance pertaining to the definitions for the referenced data elements.

Better organized, more descriptive ACE ABI CATAIR document. Trade participants may begin to file entry summaries electronically in ACE for entry types 03 using a better organized, more descriptive ACE ABI CATAIR (Customs and Trade Automated Interface Requirements) document.

(Revisions to CATAIR chapters for ESAR III include:

Entry Summary Create/Update (AE/AX)

Entry Summary Query (JC/JD)

Appendix G - ACE Condition Codes and Narrative Text

ACE ABI CATAIR - Table of Contents

AD/CVD Case Information Query)

(CBP has previously stated that trade testing for ESAR III began on November 9, 2009. ACE ABI CATAIR Chapters for the new A2.3.1.a record layouts, along with additional supporting information, are available on the CBP website at: http://www.cbp.gov/xp/cgov/trade/automated/modernization/ace_edi_messages/catair_main/abi_catair/catair_adcvd/.)

AD/CV non-reimbursement statements. Filers will have the ability to make an AD/CVD Non-Reimbursement statement on any line item that includes AD/CVD information.

Respond to CBP Forms 28, 29, and 4647 regarding AD/CV entries. Importers with an ACE Portal Account who have selected "portal" as their mode of communication will be able to respond to CBP Forms 28, 29 and 4647 regarding AD/CVD entries via the ACE Portal as well as all entry summaries (that is, both ACS and ACE entry summaries).

Brokers will be able to create declarations for non-portal accounts for AD/CV entries. Brokers with an ACE portal account will be able to create declarations for their non-portal Accounts for AD/CVD entries. Brokers with clients possessing their own importer portal accounts will not be able to create declarations on behalf of their clients. Brokers will have to be granted access as a "user" on the importer's portal account in order to create the declaration.

ESAR III AD/CV Case Management Capabilities

Ability to search, display, print AD/CVD case information and messages. AD/CVD case management will include the capability to search, display and print both AD/CVD case information and AD/CVD messages.

The case reference file will provide the ability to record and track the life cycle of an AD/CVD case and will contain important case information such as the duty deposit rates, entry summary suspension status, bond/cash status, administrative review information and events related to the case history (e.g., "initiation," "preliminary," "Final," "Order," "Terminated").

The AD/CVD messages now resident in ACE will also house additional information in one location such as additional message header data elements (e.g., "message status," "Federal Register Notice cite," "Federal Register Notice publication date," "court order number") and the ability to run searches for all types of messages related to a particular case via the Portal.

Portal reports to include AD/CV entry summary data. ACE Secure Data Portal Reports will also be enhanced to include AD/CVD Entry Summary Data.

ABI query of AD/CV case information. Filers will have the ability to run an ABI query of AD/CVD case information. Information returned in the query output will include data required by ABI filers to successfully file AD or CVD entry summaries in ACE. The available queries will include: (1) Specific case numbers - input Q1-Record; and, (2) Case criteria (such as country, Manufacturer Identification Number (MID), and date since last update) - input Q2-Record.

Additionally there will be 10 different output records to provide case details including:

Case general information (status, related case, short description, etc.)

Case official name

Manufacturer details

Foreign exporter details

Department of Commerce contact information

Deposit rate details

Case events

Bond/cash details

Tariff details

Entry summary liquidation suspension details

Confidentiality

All data submitted and entered into the ACE Portal is subject to the Trade Secrets Act (18 USC 1905) and is considered confidential, except to the extent as otherwise provided by law (see 19 USC 1431(c)). Participation in this or any of the previous ACE tests is not confidential and upon a written Freedom of Information Act request, a name(s) of an approved participant(s) will be disclosed by CBP in accordance with 5 USC 552. If necessary, CBP will reserve the right to limit the number of participants and locations during the initial stages of the test.

Certain Provisions of 19 CFR Waived During Testing Period

Any provision in 19 CFR including, but not limited to, provisions found in parts 141, 142, 143 and 151 relating to entry/entry summary processing that are inconsistent with the requirements set forth in this notice are waived for the duration of the test (see 19 CFR 101.9(a).) Additionally, any previous practice pertaining to party definitions, including but not limited to "ultimate consignee," that are inconsistent with the requirements set forth in CBP's general notice are waived for the duration of the test. The CATAIR should be consulted for appropriate terms and definitions for the purposes of this test.

Test Participants Maybe Subject to Civil and Criminal Penalties for Misconduct

An ACE test participant may be subject to civil and criminal penalties, administrative sanctions, liquidated damages, and/or suspension from this test for any of the following:

Failure to follow the terms and conditions of this test.

Failure to exercise reasonable care in the execution of participant obligations.

Failure to abide by applicable laws and regulations.

Failure to deposit duties or fees in a timely manner.

Misuse of the ACE Portal.

Engagement in any unauthorized disclosure or access to the ACE Portal.

Engagement in any activity which interferes with the successful evaluation of the new technology.

Comments May be Submitted During the Test Period

Comments concerning this notice and any aspect of the test may be submitted at any time during the test period. Comments concerning this notice should be submitted via e-mail to Joe Palmer at ESARinfoinbox@dhs.gov (indicate "ESAR III (AD/CVD Entry Summary Processing/Case Mgt Notice)'' in the subject line of the e-mail.)

Test Participants Must Evaluate the ESAR III Test

To ensure adequate feedback, participants are required to participate in an evaluation of this test. CBP also invites all interested parties to comment on the design, implementation and conduct of the test at any time during the test period. CBP will publish the final results in the Federal Register and the Customs Bulletin as required by

1. CFR 101.9(b).

CBP general notice (FR Pub 12/29/09) available at http://edocket.access.gpo.gov/2009/pdf/E9-31006.pdf.