DEPARTMENT OF HOMELAND SECURITY
U.S. Customs and Border Protection
CBP DIRECTIVE NO. 3550-067 A
DATE: June 21,
2011
ORIGINATING OFFICE: OT:ESD
SUPERSEDES:
CD
3550-067, 2/2/94
REVIEW DATE: June 2014
SUBJECT: ENTRY SUMMARY ACCEPTANCE AND REJECTION POLICY
1. PURPOSE. This directive provides guidelines for uniform acceptance and
rejection of entry summaries for U.S. Customs and Border Protection.
2. POLICY.
2.1
The policy for the acceptance and rejection
of
entry summaries was revised
in
Customs Directive 3550-25, dated September
8,
1987, Entry Simplification-Acceptance
and Reject Policy. This issuance updates the procedures set forth
in
that directive.
3. AUTHORITIES/REFERENCES. 19CFR, Parts
24.1
(3)(i), 111, 141.64, 142.13,
Electronic
Invc>ice
Program (EIP) and Remote Location Filing (RLF) Handbook.
4. RESPONSIBILITIES.
4.1
Directors, Field Operations are responsible for ensuring that the provisions
of
this
directive are carried out effectively and uniformly throughout their areas
of
responsibility.
4.2 Port directors are responsible for ensuring that the provisions of this directive are
followed and uniformly applied. They are also responsible for the dissemination of the
contents of this directive to personnel within their jurisdiction
4.3 CBP has a duty
to
assure the accuracy
of
information submitted to that agency
by penalizing negligent or fraudulent omissions and/or inaccurate submissions, the
presumption of regularity entails the reasonable conclusion that,
in
the absence of
evidence to the contrary, the data obtained by customs officials
in
their regular course
of
business is accurate.
5. ACS ENTRY SUMMARY PROCEDURES.
5.1
The following procedures are to be followed at all CBP locations that process
entry summaries:
5.1.1
Collection Processing
CBP Fonn 232C (04/09)
5.1.1.1 ASllnon-statement (ASI/N) and non-ASI entry summaries
5.1.1.2 Certain entry summary elements are reviewed during initial processing by
collection personnel who determine the validity
of
an entry summary.
5.1.1.3 Errors that will result
in
the rejection
of
the entry summary after acceptance
using ENAX without collection
of
estimated duties/taxes/fees
of
non-ASI and ASI/N
entry summaries during collection review and processing are as follows:
• Check is not negotiable, e.g., not signed or co-signed when required.
• Check does not meet the requirements of 19 CFR 24.1 (3)(i); e.g.,
unsecured third party checks.
•
No
duty or check attached and money
is
due (unless letter attached by
broker stating entry summary submitted without payment).
• The CSP Form 7501 Siock 40 Summary is missing or incorrect.
• Invalid entry number - entry summaries submitted with an invalid entry
number cannot be accepted using function ENAX. Local policy should be
established to handle the situation. The entry summary may be rejected
to the filer with payment attached or the entry summary may be retained
in
the entry unit and the filer contacted via telephone for the corrected entry
number. The entry summary is considered filed the day it was presented
to CSP even though the entry number was invalid.
5.1.1.4 Checks with different amounts - If the written and numeric amounts on a check
differ, the check should be accepted and deposited with the collection processed for the
written amount; as long as the written amount
is
no more than
$1
greater than the exact
amount due; otherwise, the summary will be rejected.
5.1.1.5 Rejected entry summaries must be returned to CSP
in
valid status with
payment within 2 working days from day of rejection or a liquidated damages case for
no file (if entry summary
is
not returned), or late file (if entry summary returned late)
may result.
5.1.1.6 Non-ASI and ASliN entry summaries determined to be valid during collection
review will be processed for collection
in
ACS. Non-ASI and ASI/N entry/entry
summaries will be forwarded for summary processing after collection processing.
5.1.2 Statement Entry Summaries Paid with ChecklCash-ASI/S
5.1.2.1 Errors that will result
in
the return of the check to the filer (the preliminary
printout and entry summaries will be retained
in
the entry unit) are as follows:
• Check is not negotiable, i.e., not signed or co-signed when required.
• Check does not meet the requirements
of
19
CFR 24.1 (3)(i); e.g.,
unsecured third party checks.
• Statement total is not
in
agreement with the check.
2
5.1.2.2 When the proper payment
is
returned to CBP, the statement will be accepted
with function DSAA using the date
of
initial submission
of
the statement paperwork as
the collection date.
5.1.3 Statement Entry Summaries Paid via ACH - ABI/A
5.1.3.1 Statements paid via ACH are not processed for collection
in
the entry unit, so
payment will not be verified.
5.1.3.2 Repetitive problems with filing
of
ABI/A and ABI/S statements, e.g., entry
summaries not
in
order, entry summaries missing, should be brought to the attention
of
the entry supervisor who should discuss the situation with the filer for correction
of
further submissions. Failure to correct the problem may result
in
enforced compliance.
5.1.4 Entry/Entry Summaries
5.1.4.1 Entry/entry summaries ("live entries") that are determined to be unacceptable
during initial. processing by entry personnel
as
described
in
Section 5.1.2 above, during
import specialist review, or during quota input should be returned to the filer without
summary input into
ACS. The presentation date should be crossed out by CBP
personnel before the entry/entry summary
is
returned.
5.1.4.2 Entry/entry summaries that are found to be unacceptable after summary input
in
ACS using function ENAX must be rejected
in
ACS using the ENRJ function before
rejection
to
the filer.
5.1.4.3 At summary processing (ENAX) the "live" entry indicator (e.g., ABI/N/L)
should be verified to ensure that the entry summary
is
actually "live."
5.2 Acceptance Review (ABI
and
non-ABI Entry Summaries)
5.2.1
Once collection processing
is
completed, the valid entry summaries will then
pass through acceptance review and processing that
is
intended to accomplish the
highest possible rate
of
immediate liquidations. Entry/entry summaries will go through
acceptance review before collection processing.
5.2.2 Entry Summary Targeting (ABI Entry Summaries)
5.2.2.1 For ABI entry summaries, targeting occurs at the time of transmission.
Results will be displayed at collection processing or at summary processing (if no
collection
is
made) for ABIIN entry summaries. If the entry summary
is
designated for
bypass and immediate liquidation, ACS will assign a batch file location number. For ABI
entry summaries filed by statement processing, results
of
entry summary selectivity will
appear
on
the CBP preliminary and final statements. After the statement
is
processed
through function DSAA or the ACH payment
is
accepted, batch file location numbers will
3
appear
on
the Daily Statement Report (A04) for those entry summaries selected for
immediate liquidation.
5.2.3 Review (Non-ABI Entry Summaries)
5.2.3.1 Non-ABI entry summaries will be input (ENAAIENAX) into ACS by the entry
unit then forwarded to the import specialist for review. Errors that cause rejection of
non-ABI entry summaries after collection, but before summary processing
in
ACS
(unless no collection
is
made), include:
• Entry summary not signed or no facsimile signature.
• ABilA, ABIIS or ABIIN indicator
in
Block 2 of the CBP Form
7501
on a
non-ABI entry summary. Such non-ABI entry summaries will be
identified upon collection input when the team assignment number and
entry summary processed messages are not received during initial
ACS collection processing. The filer must correct Block 2 and provide
a Census copy of the CBP Form 7501.
• Non-ABI summary following an ABI release. Such summaries will be
identified during collection processing by receipt
of
the message
"ENTRY SUMMARY MUST BE ABI". Overriding the message will
place the summary
in
reject status.
5.2.3.2 Non-ABI entry summaries will
be
forwarded by the entry unit to the import
specialist for further review and processing.
5.2.4 Summary Processing (Non-ABI Entry Summaries and Non-ABI Entry/Entry
Summaries) - System Edits
5.2.4.1 Some of the errors that cause rejection of non-ABI entry summaries and
entry/entry summaries due to ACS edits at the time of processing the summary using
function ENAAIENAX include:
• Invalid/incorrect entry type code.
• Invalid/incorrect bond or surety.
• Invalidlincorrect importer or consignee number.
• Invalid/incorrect reference number (Block 24 CBP Form 7501).
• Total entered value missing.
• If the summary
is
non-ABI and the release information was transmitted
through ABI, the system will display the message "JEA - ENTRY
SUMMARY MUST BE ABI", and display a PF 8 key. When depressed,
the
PF
8 key will cause the entry summary to be placed
in
rejected
status.
5.2.5 Import Specialist Review (Both ABI and non-ABI Entry Summaries)
4
5.2.5.1 Import Specialists will reject entry summaries only
in
instances where
objective, substantive errors have been found.
5.2.5.2 Specific errors that justify rejection
of
an entry summary as a result
of
import
specialist compliance review include:
• Impossible HTS number and/or rate
of
duty (e.g., HTS or duty rate not
in
effect on entry date; HTS incompatible with country
of
origin; HTS
incompatible with unit value).
• Admissibility issues - document statements or omissions that establish
or
indicate that merchandise
is
inadmissible; e.g., visa or license
required, prohibited merchandise, etc.
• Census (statistical) error conditions that the import speCialist cannot
resolve based on the information presented, or complex statistical
errors requiring extensive mathematical calculations affecting 2 or more
line items.
• Certain
miSSing
documents - documents that cannot be waived as
specified
in
the missing documents section (CBP Form
7501
instructions), and commercial invoices when necessary.
• Classification or value errors that would result
in
a change liquidation.
• When preparers are documented to have repeatedly made the same
errors.
• Merchandise subject to antidumping/countervailing duties.
5.2.5.3 Entry summaries should not
be
rejected when requesting further information
or when the import specialists have questions not related to the above instances. A
CBP Form 28 should be used for this purpose. If charges are missing. CBP will provide
an amount
to
be underlined. The amount will be determined using product knowledge
and expertise.
5.2.5.4
It
is not CBP policy to reject a summary solely for
an
incorrect team
assignment. However, if after counseling, a filer continues to submit summaries with
incorrect team assignment indicators, that filer's summaries may be rejected.
5.2.5.5 Electronic invoices (All) and EDIFACT may be rejected according to the
process set forth in the Electronic Invoice Program (EIP) and Remote Location Filing
(RLF) Handbook. If the invoice
is
requested because there
is
no electronic invoice (All).
the filer has 2 days to transmit the All. Any additional documentation required by import
specialists for EIP/RLF review must be requested using the procedures set forth
in
the
EIP/RLF handbook.
5.3 Processing Rejected Entry Summaries
5.3.1
Entry summaries must be processed so that all errors are addressed on the
same reject. Other than the initial collection review (see
5.1.1
above), all rejection
actions should be accomplished
on
the first pass-through (ATS/Bypass Review,
Summary Processing, and Import Specialist Review), whenever possible, prior to being
5
rejected for correction. Entry summaries that meet the previously discussed rejection
criteria (Part 5.2.5.2) are to be placed
in
rejected status
in
ACS by the entry unit, using
the ENRJ function. This processing will enable the rejected entry summary to
be
tracked
in
ACS and to assist
in
establishing a rate
of
rejection for the filer. These are
significant features that will ensure uniform processing and enforcement of
accountability.
5.3.2 All entry summaries that will be returned to the filer/broker for correction must
be
placed
in
ACS "reject" status. ACS "rejected" status
is
accomplished
as
follows:
• ACS data errors - ACS system rejects are created for data errors on
entry summaries by using the appropriate override function key on the
ENAAIENAC/ECOR screen.
• Errors other than ACS data errors (e.g., entry personnel/import
specialist review errors) - such rejected entry summaries are
established
as
ACS rejects by processing them through the ENRJ
function.
5.3.3 Rejected entry summaries are to
be
time-stamped
in
by the filer at the time
of
resubmission. These times are necessary
in
determining timely filing. If the CBP Form
7501
has been re-typed, the original(s) must be resubmitted with the package.
Subsequent to correction and resubmission, the entry summary will be updated
to
ACS
accepted status, using the ENAC or ECOR function.
5.3.4 The ACS List
of
Rejected/Cancelled Entries (B06)
is
a weekly report available
in
ACS. The report includes all ACS/ACE rejected-status entry summaries. This report
is
an
important tool that
is
to be used to track outstanding or unprocessed entry
summaries
in
rejected status.
5.4 Time Limits
5.4.1 Non-ABI entry summaries may be rejected at any time up
to
30
calendar days
following the summary filing date. ABI/A, ABI/S or ABIIN entry summaries may not be
rejected after 10 working days following the presentation date for all errors, including
Census errors. The only exception to these time frames
is
for all entry summaries
subject to anti-dumping and/or countervailing duty cases (ABI and non-ABI). These
summaries may be rejected up to 60 days without supervisory approval, and up to
90
days with a supervisory approval.
5.4.2 After these dates, an entry summary
is
considered "accepted" for the purpose
of
19
CFR 141.64 and can no longer be rejected. It
is
important to note that those time
limits are intended as a maximum limit.
In
the interests of timely statistical reporting,
efficiency, and professionalism, all rejected entry summaries are to be processed
expeditiously and on a priority basis.
5.5 Rejection Effect
on
Entry Summary Filing Time Limit
6
5.5.1
Entry summaries must, by regulation, be filed with CBP within 10 working
days of the date of entry, or immediate delivery release, when applicable. The 10-
working-day filing period will continue to be calculated on a cumulative basis, with those
working days that an entry summary
is
not
in
CBP possession counted against the filer.
In
all cases, the day
of
initial submission to CBP will be counted against the 1 a-day filing
requirement.
5.5.2 Generally, the filer has 2 working days to resubmit an entry summary after the
day
of
rejection. However, if the summary was initially submitted to CBP and rejected
before the
10
th
day
of
the filing period, the filer has the remainder
of
the 10-working-day
period
to
resubmit the summary, but never less than 2 working days for resubmission.
For example, if an entry summary
is
re~ected
on
the 5
th
day,
it
is
due on the
10
th
day;
if
an entry summary
is
rejected
on
the 9
t
day, it
is
due
on
the 1 ih day.
5.5.3 The only exception to the 2-working-day period for resubmission
of
rejected
entries
is
for entry summaries rejected after
10
working days
in
order to correct errors
related to antidumping and/or countervailing duty cases. Regardless
of
when they are
rejected, those summaries must be resubmitted
to
CBP within 10 working days from the
date of reject.
5.5.4 The 2-working-day period for resubmission
of
rejected summaries
is
a grace
period granted by CBP.
If
the filer does not resubmit the summary within 2 working
days after rejection, the 2-day grace period
is
not subtracted when calculating the
mitigated liquidated damages amount
in
a claim for liquidated damages for a late filed
entry summary. The day the entry summary
is
resubmitted (when the summary
is
not
resubmitted timely) is not counted when calculating the mitigated amount.
In
other
words,
if
an
entry summary
is
rejected
on
day 10 and resubmitted 7 calendar days later,
the summary
is
considered 6 days late
in
a claim for liquidated damages for a late filed
entry summary. All calendar days after the date of rejection, including weekends and
holidays are counted, but the day
of
resubmission
is
not counted.
5.5.5 The time/date stamping (out and
in)
of
rejected entry summaries, as
previously directed,
is
critical in computing the filing period. Port procedures for
computing the filing period for out-port entry summaries may continue where necessary,
provided they do not conflict with the guidelines specified above.
5.5.6
It
is
the responsibility
of
the importer/broker to file entry summary documents
in
proper form. It
is
costly and time consuming for CBP to correct or reject entry
summaries. Importer or brokers who consistently file entry summaries not
in
proper
form must be notified
in
writing by CBP field managers to immediately improve their
submissions. This includes submissions that are conSistently poor and below standard.
If entry summary documents continue
to
be
filed
in
improper form, the port/area
directors may exercise their authority under 19 CFR 142.13, and require that the entry
summary, with estimated duties/taxes/fees, be filed at the time
of
entry. The port/area
directors may also exercise their authority under the Customs Broker Regulations, 19
7
CFR 111, and initiate appropriate penalty action. The justification(s) for any such action
under those regulatory sections must obviously be well documented.
6. REJECTING AN ACE ENTRY SUMMARY.
6.1
After Collection
in
ACS
6.1.1 Collection processing occurs
in
ACS. Once a preliminary daily statement
(periodic daily and regular daily)
is
generated for the entry summary, entry summary
control
is
updated to "CBP". At this point, the filer can no longer make changes
to
entry
summary data without CBP intervention. The payment/collection status
of
any entry
summary
is
determined in ACS and ACE receives the status update through the ACE-
ACS interface. Whenever there
is
a collection status update in ACS, the changes are
updated
in
ACE.
6.1.2 The filer will receive ABI entry summary status message with notification that
CBP has rejected the entry summary. Generally, the filer has 2 business days to
respond to the reject. The only exception to the 2-working-day period for resubmission
of
rejected entries
is
for entry summaries rejected after 10 working days
in
order to
correct errors related to antidumping and/or countervailing duty cases. Regardless of
when they are rejected, those summaries must be resubmitted
to
CBP within
10
working days from the date
of
reject.
6.1.3 ATS targets the retransmitted ACE entry summary, which may generate a
validation activity. If this happens, the CBP user should close the initial validation
activity; record the result
of
the entry summary reject, then review the new issue within
the system-generated validation activity.
6.2
Processing
of
ACE Rejected Entry Summaries
6.2.1 Currently, there
is
only 1 reject reason code which
is
transmitted
in
the
outbound message to the filer. The CBP user should indicate the reason for the reject
in
the remarks field.
6.3. Rejecting Due to an Invalid Entry Type Code (other than
01,
11,
03)
6.3.1
If
the entry summary
is
rejected because it should have been filed
as
an
entry
type other than
an
entry type
01,
11,
or
03,
or
in
the situation where an ACE AD/CVD
entry summary should be
an
01
entry type, the filer must retransmit a corrected entry
summary. To do this, the filer must request that CBP inactivate the ACE entry summary
in
order
to
retransmit the entry summary to ACS using the same entry number. If the
entry summary
is
inactivated
in
ACE, CBP will return any related paper documents to
the filer, along with a copy
of
the inactivation request (or reject response document) via
the broker's box at the port of entry.
6.4 Time Limits
8
6.4.1 The filer has 2 business days to retransmit the entry summary with the
necessary corrections. The CBP user who initiated the reject will receive
an
inbox
notification when the filer retransmits the entry summary.
6.4.2 The retransmitted entry summary
mlJst
be
accepted
in
ACE before the CBP
user may close the reject action. If the transmitted entry summary or reject response
does not address the reason for the reject, the retransmitted entry summary must first
be accepted
in
ACE and/or the rejection action closed. A new reject action may be
initiated to account for subsequent rejects
on
the same entry summary.
6.4.3 The filer may use a rejection response template (available on CBP.gov) to
communicate with the port regarding the entry summary rejection. This includes
remittance
of
nd1itionai monies due
to
CBP as a result
of
the
reject.
~lJ~
Assistant Commissioner
Office of International Trade
9
