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CBP ITDS CONOPS Trans Border Working Group

Boston

April 13, 2010

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AGENDA

Definitions of key terms

Why did CBP do a CONOPS for the Cargo Process?

How did we develop the CBP CONOPS?

What assumptions were made in the CONOPS?

What are the significant cargo process changes?

Next Steps

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Definitions

ITDS

ITDS is the group of Participating Government Agencies (PGA) involved in international trade. ITDS is the program for developing the business requirements for the agencies which will be built into ACE. There are 47 PGAs currently in ITDS.

ACE

ACE is the Automated Commercial Environment, CBP’s new system for handling trade transactions.

CONOPS

A Concept of Operations is a high level description of the business processes and needs. It is the basic building block of an IT project and constructs the operational overview, depicting how the business (customer) expects the system to respond.

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Why did CBP do the CONOPS Now?

The CBP ITDS CONOPS was prepared for several reasons:

Show commitment by CBP to fully incorporate PGAs into the future vision of ACE

Document the future vision of ACE CBP interagency cargo processing from beginning to end including Manifest, Entry and Post Entry operations

Identify and resolve key decisions Use a multi-disciplinary group that developed consensus on the

expectations of the functionality including legal and policy issues Demonstrate CBP commitment to the “Single Window” concept

for the international trade community

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How did we develop the CONOPS? Task Force under direction of Assistant Commissioner,

Office of International Trade

3-month initiative completed on December 31, 2009

Consultation with Participating Government Agencies

Briefings with and Comments by the trade community

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CBP/ACE “To-Be” Process FunctionsOverview of CBP/ACE “To-Be” Process Functions

Man

ifest

& C

onve

yanc

eEn

try &

Rel

ease

Post

Rel

ease

Manifest & Conveyance

Entry & Release

Process PGA ABI

Consumption Entry

Process In-bond

Process Warehouse

Entry

Process Foreign Trade Zone

Admission

Major Business

Processes

Sub process within a

Business Process

Starts with: · Filing Entry (ABI

or non-ABI), FTZ, In-bond.

Ends when: · Cargo released,

transfer custody of cargo has happened if applicable, or enforcement action taken

Business Process

Area

Process Drawback

Post Release

Liquidate Entry

Starts with: · File Entry

Summary· Cargo Released· 10-day clock

ends

Ends when: Liquidation becomes final

Perform Team

Review

Process Redelivery of Inadmissible

Goods

Collect Duties,

Taxes and Fees on Cargo

Process Protest for Exclusion,

Redelivery and Liquidated Entry

Validate Entry Summary/

Post Summary

Corrections

Process PGA non-ABI

Consumption Entry

Remedy Discrepancy

Process Diversion of Cargo and

Conveyance

Process Pre-Arrival Manifest

Starts with: File Manifest, Consist, BOL, PGA data and/or expedited release ID (if req.)

Conduct Screening

and Targeting (Manifest)

Process Conveyance

Arrival

Perform Conveyance Clearance

Ends when: ACE/CBP/PGA clears conveyance or conducts enforcement action

Verify Quota

Process NCA Emergency Diversion of Cargo and

Conveyance

Resolve Hold or Issue

on BOL or Conveyance

Request or Place PGA

Hold

Perform Entry

Deletion

Validate CBP/PGA Data

Perform Entry

Correction

Transfer Custody

Request for PGA User Defined

Rules for Targeting

Maintain HTS

Reference File

Request or Place

PGA Hold

Resolve Hold or Issue

Related to Release

Conduct Enforcement

Action

Process Syntax

CBP and PGA Edits

Perform Preliminary

Conveyance Entry

Process CBP Hold on USDA Regulated Commodity

Create or Update

Expedited Entry

Template

Submit Unique ID

Number for Expedited

Entry Filing

Process Request for Information

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Key Assumptions in CBP ITDS CONOPS

The following key assumptions were made: PGA data will be collected electronically

ABI will be expanded with PG Message Set to meet the data needs of PGAs

Product identification codes and unique party identification will be collected as required by the PGAs

PGAs will be responsible for promulgating their own regulations regarding the electronic submission of their specific data

PGAs may require additional information from the carrier and/or filer in accordance with their own regulations

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Process Area: Entry & Release

Sample Process flow diagram – For illustrative purposes onlyA

CE

Res

ourc

esP

GA

sC

BP

ATS

File

r Submit Consumption

Entry

End

ACE

Receive notification

HTS, Product codes, LPCs, PGA Authorizations (authorized countries, watch lists etc.)

Conduct PGA Cargo Admissibility

PGA reference

files

Maintain reference

files

Resolved

Not ResolvedConduct

Enforcement Action

Receive notifications

Close out any remaining

issues; Send notifications

Receive notifications, as needed

Fails paperless.PGA review

required.

Resolve Hold or Issue

Related to Release

Receive results of targeting; Send PGA data, per PGA ConOps

Receive data including arrival notice, results of

targeting

Validate CBP/PGA

Data

Conduct Targeting

Pass

Reject

Entryreceived

Process Syntax

CBP and PGA Edits

Create record

Send all data to ATS; Send

accept or reject to Filer

Fails paperless.No PGA review

required.

Entryrejected

NOTE: Executing the Paperless Process will depend on MOT and time parameters (EDA)

Process Paperless

Paperless release

Generally start 10 business day clock for summary after CBP release and start 30 day conditional release period for redelivery

“Fails paperless” can still be

accomplished via electronic review

PGA examination?

NO

Transfer Custody

YES

Review issues

Stop Lay Order Clock

All Releases Satisfied/

Close BOL

Request or Place

PGA Hold

Diagramed as

Separate Process

Complex Process

(not diagramed)

See PGA ConOps

This is a separate process and includes both PGA and CBP criteria

An entry that has been received electronically has been given a release

without any human intervention.Entry

accepted(includingwarnings

if applicable)

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What are the significant cargo process changes? New for Manifest and Conveyance

Processes for all modes of transport modeled on Ocean/Rail Manifest (M-1) functions and business rules

Process for placing and removing PGA Holds on manifest and conveyance

ACE will accept electronic notice of conveyance arrival

Port Change processes (Emergency and Requested) Change of filer code with retention of Manifest and Entry data

Would require broker to have National Broker Permit

Recognition of an Expedited Entry Process

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New for Entry/Release

Critical HTS flags will be maintained by PGAs

Single Release and notifications Release may be contingent upon multiple agencies but CBP retains “final

release” authority

Status notifications of agencies holding merchandise and agencies that will have further interest after CBP release will be sent by ACE to the trade

Trade community receives one ACE release notification

Carrier and Broker notified of release at the same time

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New for Entry/Release (cont.)

ISSUE (New terminology) PGAs without release authority may set an ISSUE that notifies the trade that further government

review required, such as an examination

Trade interacts directly with PGAs, unless CBP acts on behalf of a PGA

Release to PGA with ISSUE Status Notifications to notify the broker of government agencies involved beyond release

A final status notification will be sent when all agency requirements have been met

Transfer of Custody/Liability Transfer obligates importer or broker bond

Further tracking mechanism for agencies that do not effect release, such as FSIS

Offsite examination locations will have FIRMS codes

The transfer will be arrived by the facility that accepts the merchandise

PGA will acknowledge receipt at facility

Automated Entry Correction/Deletion process is correlated with Entry Summary Processing

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New for Post Release

Automation of PGA re-delivery process to track merchandise refused entry Assumption: PGAs will need to use ACE for the redelivery process to preserve

obligation on the importer’s bond

Post Summary Corrections (to be delivered with release A2.3.1b)

PGAs may send requests for information and receive the responses from the filer / importer through ACE

Revised electronic Drawback process requires passage of Drawback reform legislation

CBP will record protest decisions in ACE

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Status of CBP ITDS CONOPS

Approved by CBP’s Executive Steering Committee on January 5, 2010

Phase 2 - Continued development through July 2010.

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CBP ITDS CONOPS Phase 2 Beginning in January 2010, six PGAs will be mapped to the CBP ITDS

CONOPS to verify applicability of processes and document discovered gaps: Currently underway:

APHIS – Highly integrated with CBPAS processes

NMFS

EPA

FSIS

FDA

USCG- Key DHS partner agency

Projected – depending on approval of PGA CONOPS and resource time: CPSC

Mapping will provide assurance and lay groundwork for requirements building

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Questions?

For further information, please contact:Susan.Dyszel@dhs.gov

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