CBP Directive No. 3550-067
U.S. Customs and Border Protection
CBP DIRECTIVE NO. 3550-067A
DATE: June 21, 2011
ORIGINATING OFFICE: OT:ESD
SUPERSEDES: CD 3550-067, 2/2/94
REVIEW DATE: June 2014
1. PURPOSE. This directive provides guidelines for uniform acceptance and rejection of entry summaries for U.S. Customs and Border Protection.
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. 19 CFR, Parts 24.1(3)(i), 111, 141.64, 142.13, Electronic Invoice Program (EIP) and Remote Location Filing (RLF) Handbook.
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.
5.1 The following procedures are to be followed at all CBP locations that process entry summaries:
5.1.1 Collection Processing
5.1.1.1 ABI/non-statement (ABI/N) and non-ABI 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-ABI and ABI/N entry summaries during collection review and processing are as follows:
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 CBP 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-ABI and ABI/N entry summaries determined to be valid during collection review will be processed for collection in ACS. Non-ABI and ABI/N entry/entry summaries will be forwarded for summary processing after collection processing.
5.1.2 Statement Entry Summaries Paid with Check/Cash-ABI/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:
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 ABI/N 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 appear on the Daily Statement Report (A04) for those entry summaries selected for immediate liquidation.
5.2.3.1 Non-ABI entry summaries will be input (ENAA/ENAX) 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:
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 ENAA/ENAX include:
5.2.5 Import Specialist Review (Both ABI and non-ABI Entry Summaries)
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:
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 (AII) 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 (AII), the filer has 2 days to transmit the AII. 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 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:
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.
5.4.1 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 ABI/N 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.
5.5.1 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 10-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 10th 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 rejected on the 5th day, it is due on the 10th day; if an entry summary is rejected on the 9th day, it is due on the 12th 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
CFR 111, and initiate appropriate penalty action. The justification(s) for any such action under those regulatory sections must obviously be well documented.
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.
6.2.1 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.
6.3.1 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.
6.4.1 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 must 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 additional monies due to CBP as a result of the reject.
Assistant Commissioner
Office of International Trade