Automated Commercial Environment
Automated CommercialEnvironmentThird and Fourth Quarters, Fiscal Year 2016Report to CongressApril 11, 2017U.S. Customs and Border Protection
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Executive SummaryThis report provides an update on ACE accomplishments, challenges, fiscal status, andupcoming program milestones. The report demonstrates how ACE is providing CBPoperational users and other federal agencies with enhanced capabilities to achieve DHSstrategic objectives and better accomplish our mission of preventing terrorism andfacilitating legitimate trade and travel. Additionally, the report reflects how ACE willsupport improved coordination across federal agencies responsible for border processesthat focus on transportation security, health, sanitation, conservation, trade, andphytosanitary1 issues.The reporting period for this update is April 1, 2016 – September 30, 2016. Theappendices outline the ACE Program capabilities delivered to-date, the planned ACEProgram capabilities, updates to the program’s key performance measures, a programschedule outlook, and a list of Partner Government Agencies (PGA).During this reporting period, CBP continued to work toward completing development ofcore trade processing capabilities in ACE to meet the December 31, 2016 deadlineestablished by Executive Order 13659, Streamlining the Export/Import Process forAmerica’s Business, signed by President Obama on February 19, 2014. Specifically,Executive Order 13659 mandates the creation of a Single Window, utilizing theinfrastructure of the International Trade Data System (ITDS), by December 2016. ACEis the primary supporting system for ITDS and is the platform that enables the SingleWindow. When fully implemented, ACE will be the primary means by which agencieswith trade-related responsibilities will receive from users the standard set of data andother relevant documentation required for the release of imported cargo and the clearanceof cargo for export.During this reporting period, CBP activated and mandated entry/entry summarycapabilities in ACE on July 23, 2016, and deployed protest capabilities that completedthe first release of ACE Deployment G (August 27, 2016). All electronic entries andcorresponding entry summaries, including those entry types involving quota, as well aselectronic protests, are now mandatory in ACE.Throughout this reporting period, CBP continued efforts to transition all stakeholders,CBP, the trade community, and PGAs, to ACE in advance of the December 2016deadline set forth in Executive Order 13659.1Phytosanitary issues refer to health of plants, especially the freedom from pests requiring quarantine.iii
Automated Commercial EnvironmentThird and Fourth Quarter FY 2016Table of ContentsI.Legislative Requirement . 1II.Background . 2III.Compliance with Customs Modernization Act . 3IV. Program Performance – ACE Capabilities . 4A. ACE Program Assessment . 4B. Stakeholder Engagement . 9C. Next Bi-Annual Milestones for the ACE Program . 11V.Government Accountability Office Recommendations . 12VI. Office Of Inspector General Recommendations . 13VII. Program Baseline . 15A. Overall Schedule . 15B. Fiscal Status . 15VIII. Conclusion . 16IX. Appendices . 17Appendix A.Appendix B.Appendix C.Appendix D.Appendix E.Appendix F.ACE Program Delivered Capabilities . 17ACE Key Performance Indicators . 24Schedule Outlook . 27Partner Government Agencies . 29Acronyms . 30Automated Entry Types Definitions . 31iv
I.Legislative RequirementThe Automated Commercial Environment (ACE) Report to Congress was submitted quarterlypursuant to Section 311(b)(3) of the Trade Act of 2002 (Pub. L. No. 107-210) and Senate Report113-77 accompanying the Fiscal Year (FY) 2014 Department of Homeland SecurityAppropriations Act (Pub. L. No. 113-76).Pub. L. No. 107-210 stated:“Reports – Not later than 90 days after the date of the enactment of this Act, andnot later than the end of each subsequent 90-day period, the Commissioner ofCustoms shall prepare and submit to the Committee on Ways and Means of theHouse of Representatives and the Committee on Finance of the Senate a reportdemonstrating that the development and establishment of the AutomatedCommercial Environment computer system is being carried out in a cost-effectivemanner and meets the modernization requirements of Title VI of the NorthAmerican Free Trade Agreement Implementation Act.”However, in May 2015, the Senate Appropriations Committee said that it “expects to continuereceiving the ACE reports on a semi-annual basis” only. See Senate Report 113-98. This reportaddresses the period April 1, 2016 through September 30, 2016, the third and fourth quarters ofFY 2016.1
II. BackgroundTo meet the ever-increasing demands for trade processing and border security in the 21st century,U.S. Customs and Border Protection (CBP) is modernizing its business processes via theAutomated Commercial Environment (ACE). ACE is a commercial trade processing system thatconnects CBP, the international trade community, and Partner Government Agencies (PGAs). Itfacilitates legitimate trade while strengthening border security by providing government officialswith better automated tools and information to help them decide, before a shipment reaches U.S.borders, what cargo to target for further investigative action because it poses a potential risk andwhat cargo to expedite because it complies with U.S. laws. With the deployment of major tradeprocessing capabilities and the completion of PGA onboarding, ACE will become the SingleWindow, the primary system through which the international trade community will electronicallysubmit data and documentation2 required by all federal agencies for imports and exports, andthrough which the Federal Government will determine their admissibility.In 2001, the U.S. Customs Service, now part of CBP, initiated ACE as a multi-yearmodernization effort to reengineer agency business processes and the information technologythat supports them. The initial plan was to focus first on ACE and trade processing and then onother elements of CBP modernization, including enforcement. However, the September 11,2001 terrorist attacks accelerated the development and delivery of planned enforcement-focusedcapabilities. With the establishment of the Department of Homeland Security (DHS), CBPaligned ACE with the mission and strategic goals of the Department. ACE helps reduce ourNation’s vulnerability to threats, without diminishing economic security, by providing threatawareness, prevention, and protection for the homeland.2Application forms for permits and licenses are excluded from the Single Window.2
III. Compliance with Customs Modernization ActThe 1993 Customs Modernization Act, enacted as part of legislation implementing the NorthAmerican Free Trade Agreement (Pub. L. No. 103-182), is the legal foundation for the CBPmodernization effort. It promotes the concept of shared responsibility, outlines requirements forautomation, and emphasizes electronic trade processing. The delivery of ACE capabilities isfulfilling Pub. L. No. 103-182 by enabling trade community users and CBP officers toelectronically submit and retrieve import and export transaction data through an intuitive,standards-based, secure Web portal. ACE is providing new capabilities to government users andthe trade community by streamlining CBP business processes, reducing requirements for paperdocumentation, and strengthening screening and targeting capabilities.CBP’s development and deployment of ACE aligns with the deadlines set forth in ExecutiveOrder 13659, Streamlining the Export/Import Process for America’s Businesses, signed byPresident Obama on February 19, 2014.3 Among other things, this Executive Order requirescompletion and government-wide utilization of the International Trade Data System (ITDS)infrastructure to support a Single Window for trade processing, by December 31, 2016. ACE isproviding the technology backbone for ITDS, and is the platform via which the Single Windowwill be realized. ACE processes the submission of trade information to federal agencies thatshare responsibility for facilitating international trade and securing America’s supply chain.Through ACE as the Single Window, manual processes will be streamlined and automated,paper collections significantly reduced, and the international trade community will be able tomore easily and efficiently comply with U.S. laws and rtimport-processamerica-s-businesses3
IV. Program Performance – ACE CapabilitiesThis section discusses the status of the ACE Program capabilities, including accomplishmentsand near-term milestones.A.ACE Program AssessmentACE provides multiple benefits to CBP, PGAs, and the international trade community. CBPuses ACE to improve risk assessment and enforcement activities, facilitate legitimate trade,ensure compliance, collect revenue, modernize CBP trade processes, and share information withagencies responsible for ensuring compliance of imported and exported cargo and the tradecommunity.1.ACE Development and Deployment ScheduleOn June 27, 2013, the DHS Acquisition Review Board conducted a full review of CBP’s plansfor the completion of ACE to establish a new baseline for the program. After extensiveconsultation with stakeholders, CBP released its development and deployment schedulesupporting the approved re-baseline. The schedule, encompassed by seven deployment segments(A-G), outlines the program’s plan to finish core trade processing capabilities in ACE. As partof this schedule, CBP established mandatory dates for the transition to ACE, breaking the overallACE transition into manifests, entries and entry summaries, exports, and the remainingcomponents of the cargo process.On November 2, 2013, CBP successfully deployed the first release of new ACE features(Deployment A) built using the Agile software development methodology, with a seconddeployment on January 4, 2014 (Deployment B) and a third deployment on April 5, 2014(Deployment C). CBP implemented the first mandatory transition to ACE on May 1, 2015,when use of ACE became mandatory for the filing of all electronic import manifests. CBPintroduced Deployment D in three releases (July 2014, October 2014, and January 2015). CBPcompleted ACE Deployment E in two releases (April 18, 2015 and July 11, 2015) to maintain aschedule of quarterly releases of new functionality. ACE Deployment F was completed in threereleases (October 31, 2015; January 9, 2016; and February 27, 2016). On July 23, 2016, CBPactivated and mandated electronic entries and entry summaries for most remaining entry types.In the third and fourth quarters, CBP made significant progress on the development ofDeployment G capabilities. On August 27, 2016, protest capabilities were deployed, andelectronic protest became mandatory in ACE. By January 2017, CBP will deploy final elementsof Deployment G and all remaining electronic portions of the core CBP cargo process, includingDuty Deferral, Drawback, Reconciliation, Collections and Liquidation, will be mandatory inACE.Details of planned capabilities and deployment dates are in Appendix C, Table 5: ACE ProgramCapabilities Planned for Future Deployment.4
ACE TRANSITION TIMELINEWorking in close coordination with other DHS Components, the Border Interagency ExecutiveCouncil, the ITDS Board of Directors, and the White House, CBP has been actively tracking andassessing stakeholder readiness for the mandatory transitions to ACE. The transition timelinealigns with CBP’s December 2016 deadline for full implementation of the core trade processingcapabilities within the Single Window via ACE. To date, the following ACE transition dates have been met:o May 1, 2015: use of ACE became mandatory for all electronic import manifestfilings.o February 28, 2016: CBP began shifting technical and customer support resourcesaway from the legacy Automated Commercial System (ACS) system, a necessarystep to focus critical resources in support of the new system, ACE.o March 31, 2016: Electronic filers required to file in ACE electronic entry summariesfor the most commonly filed entry types, and entry and corresponding entry summarydata for most imports regulated by the Animal and Plant Health Inspection Service(APHIS) (Lacey Act) and National Highway Traffic Safety Administration(NHTSA).o May 20, 2016: Full transition of legacy Automated Export System (AES) Direct(export commodity filings via the portal) to ACE.o May 28, 2016: Electronic filers required to file in ACE electronic entries (cargorelease) for the most commonly filed entry types without PGA data (other thanAPHIS and NHTSA, as noted), and entries and entry summaries for Foreign TradeZone transactions.o June 15, 2016: Mandatory filing in ACE of Food and Drug Administration (FDA)data on electronic entries/entry summaries for most commonly filed entry types.o July 23, 2016: Electronic filers required to file in ACE electronic entries and entrysummaries for most remaining entry types without PGA data (other than APHIS,NHTSA and FDA, as noted), specifically those entry types involving quotamerchandise.o August 27, 2016: Electronic filers required to file in ACE for protests via the ACEPortal.o September 20, 2016: Electronic filers required to file National Marine FisheriesService (NMFS) data in ACE when filing electronic entries/entry summaries. Remaining transition dates include:o January 2017 (target): Mandatory use of ACE for remaining electronic portions ofthe CBP cargo process— Duty Deferrals, Statements, Reconciliation, Drawback, andLiquidation.o Ongoing: CBP and the PGAs will continue working together to successfullyconclude the PGA pilots (testing ACE capabilities) and will coordinate andcommunicate as required the conclusion of PGA pilots via public notices.2.Pre-Arrival/ManifestAll import manifests are filed and processed in ACE. On January 3, 2015, CBP deployedelectronic air manifest functionality—the last import mode of transportation to migrate toACE—as part of the final release of ACE Deployment D.5
The filing of all electronic import manifest data in ACE became mandatory on May 1, 2015. Inresponse to industry feedback, CBP allowed filers more time to test the new ACE capabilities.On June 7, 2015, the legacy Automated Manifest System was decommissioned and ACE becamethe system of record for all import manifests.3.Arrival/Cargo ReleaseCargo Release allows for the release of imported merchandise into U.S. commerce. Allelectronic entries (cargo release) are filed and processed in ACE. CBP began the ACE CargoRelease Pilot for air shipments in May 2012, and expanded the pilot to ocean and railparticipants in February 2014. ACE Cargo Release became operational at all ports in April2015; and on May 28, 2016, the electronic entries without PGA data (other than APHIS andNHTSA, as noted above) for the most commonly filed entry types became mandatory in ACE.With the activation of capabilities on July 23, 2016, electronic entries/cargo release for allremaining entry types without PGA data (other than APHIS, NHTSA and FDA, as noted above)became mandatory in ACE. CBP actively monitored stakeholder readiness leading up to the July23 transition and tracked progress as filing rates steadily increased leading up to July 23.During the third and fourth quarters of FY 2016, CBP deployed the following Cargo Releasecapabilities: Automated Entry Types for:o 02 - Consumption - Quota/Visao 07 - Consumption - Antidumping/Countervailing Duty and Quota/VisaCombinationo 12 - Informal - Quota/Visa (other than textiles)o 21 - Warehouseo 22 - Re-Warehouse Food and Drug Administration Prior Notice Multiple Holds4.Post Release/Entry SummaryAll electronic entry summaries are filed and processed in ACE. With the deployment ofcapabilities on July 23, 2016, use of ACE for entry summary became mandatory for theremaining entry types without PGA data (other than APHIS, NHTSA and FDA, as noted above).This deployment included quota, which resulted in automating a process which had traditionallybeen paper-based, and the implementation of system validations to expedite processing. Inaddition, with this deployment, input of all non- Automated Broker Interface (ABI) entries/entrysummaries is required in ACE.On August 27, 2016, CBP deployed and mandated electronic protest capabilities in ACE. Allcomponents of protest submissions can now be managed through the ACE Portal, includingcreating protests, amending previously submitted protests, and viewing the status of protests thatwere submitted through the ACE Portal.During the third and fourth quarters of FY 2016, CBP deployed the following new post releasecapabilities: Protest Harmonized Tariff Schedule (HTS) Database6
5.Quota Master DataQuota AllocationTrade Ability to Query Quota via ABIAutomated Entry Summary Types:o 02 - Consumption - Quota/Visao 07 - Consumption - Antidumping/Countervailing Duty and Quota/VisaCombinationo 12 - Informal - Quota/Visa (other than textiles)o 21 - Warehouseo 22 - Re-Warehouseo 31 - Warehouse Withdrawal Consumptiono 32 - Warehouse Withdrawal - Quotao 34 - Warehouse Withdrawal Antidumping/Countervailing Dutyo 38 - Warehouse Withdrawal - Antidumping/Countervailing Duty & Quota/VisaCombinationExportsCBP has worked with the U.S. Census Bureau to migrate export commodity filings to ACE.Filings of Electronic Export Information, transmitted via the Automated Export System (AES)Electronic Data Interchange (EDI), were incorporated into ACE in March 2014. Exportcommodity filings via ACE AESDirect were migrated to the ACE Portal in Spring of 2016.AESDirect is an online filing option used primarily by small and medium-sized exporters toreport their commodity export data to the U.S. Government. The beginning of the transitionfrom the legacy AESDirect application to the refactored AESDirect in ACE began November30, 2015. During this transition period, both the legacy and the ACE AESDirect applicationswere available for export filing. The integration of AESDirect into ACE eliminated the need tomaintain two data collection systems for exports, increasing efficiencies, streamlining trade andreducing costs
1 I. Legislative Requirement The Automated Commercial Environment (ACE) Report to Congress was submitted quarterly pursuant to Section 311(b)(3) of the Trade Act of 2002 (Pub. L. No. 107-210) and Senate Report 113-77 accompanying the Fiscal Year (FY) 2014 Department of Homeland Security Appropriations Act (Pub. L. No. 113-76). Pub. L. No. 107-210 stated:
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