Guidance on Recordkeeping in the Automated Commercial

RECORDKEEPING IN ACE

January 28, 2016

Summary: As a matter of policy, CBP will not request an entry filer to produce the data (formerly

contained in CBP Forms 7501, 3461, 214 or 7512) that the filer previously transmitted to and was

retained by CBP unless CBP has a need for such records. If CBP needs such records, the filer may re-

transmit or otherwise provide the data electronically or reproduce the entry/entry summary data using an

ACE report.

Limitations: The following CBP recordkeeping guidance is for entries/entry summaries and FTZ

admissions filed in ACE. Note that supporting documentation that was used to create the data

transmitted to CBP must be maintained by the filer and is not covered by this recordkeeping guidance

regardless of whether the entry or FTZ admission was filed in ACE or ACS. Moreover, original

documents must be retained by the entry filer and produced to CBP upon demand even if a digital copy of

the original document was previously transmitted electronically to CBP. This guidance does not apply to

or impact in any way the recordkeeping requirements or entry/entry summary production requirements of

the United States Court of International Trade.

Background: In the ACE environment, the data required for CBP Form 7501, CBP Form 3461 in the

Simplified Entry (Cargo Release) process, CBP Form 214 in the FTZ admission process, and CBP Form

7512 for Transportation Entries is transmitted electronically in discrete data sets, not in paper form, i.e.,

the data previously contained in these forms is now transmitted to CBP via ABI. Once transmitted and

accepted by CBP, that data is stored by CBP. The filer’s electronic transmission of that data through ABI

fulfills the filer’s entry and FTZ admissions obligation for these particular data sets. However, the filer

must maintain, as is currently required, the underlying backup or supporting information from which the

submitted information is derived.

Requests for Data: As a matter of policy, CBP will not request entry and FTZ data previously transmitted

to and retained by CBP, unless CBP has a need for such records. If CBP needs such records, the filer

may re-transmit or otherwise provide the data electronically or reproduce the entry/entry summary data

using an ACE report. Note that entry data and information previously presented to and retained by CBP

is not subject to a recordkeeping penalty for non-production if such data or information is subsequently

requested.

Versions: Filers must retain all versions of entries, entry summaries and FTZ admissions submitted to

CBP in order to comply with their recordkeeping requirements. All versions are received and processed

by CBP, regardless of status. Consequently, all versions submitted to CBP must be retained by the

filer. As a policy matter, CBP will not require the production of the non-final version of a data submission

unless it is necessary for analytical, statistical, investigative or other purposes.

Accessibility: How a broker/filer provides copies of the transmissions to the importer of record is a

business decision between the importer and the broker/filer. However, as entry summary information is

accessible via the ACE Portal, an ACE Portal report, as for example, ESM-7008, would be an acceptable

format for that purpose. CBP plans on continuously expanding and improving ACE reports functionality

that will assist a filer in responding to a request for records.