1

ACE Content Overview

Trade Support Network

June 5, 2002

Paul Nicolaisen, eCP

Gail Raper, eCP

2

Agenda for Presentation

Overview of Increment 1.1 Paul Nicolaisen

Overview of Increments 1.2 - 4 Gail Raper

3

Agenda for Overview of Increment 1

New Way of Viewing ACE

Summary of ACE Increments and Releases

Overview of Methodology

ACE Increment 1– What has changed since January?– Why?

ACE Notional Deployment Timeline

4

New Way of Viewing ACE

The ACE Stair Step Chart has been retired

The 7 Release Chart is the new way of viewing ACE• PRC (Problem Resolution Cycle)• Enforce Evaluation Teams• SEACATS Interface

Sea AMS Integration Track 1 Full Live Entry Mail Entry / Processing

ACS Mail Entry Integration

Air AMS Integration Carrier Review Verifications

PVMQ Verifications Premise Verifications

• FTZ Admission / Processing• In-Bond Processing• Designated Exam Site for Remote Filing• Balance of Import Declaration Entry - Types/Processing (TIBS,

Trade Fair, Perm Exhibits, Duty Deferral, Govt and General Order)• Links to AES

• Drawback Entries / Processing• Bankruptcy Processing

• Warehouse Withdrawals - Entry / Processing• Courier Account Processing• Line Release Integration• Electronic Bond Filing• Consolidated Informal Entry / Processing

• Corrections to Import Declarations• Voluntary Tenders• Prior Disclosures• Non Revenue Changes• IRS Interface• Electronic Protest Filing / Processing• Debit Voucher Processing

ITDS Integration (Fish & Wildlife) Liquidation Processing

Import Declaration Acceptance (Warehouse, Rewarehouse, FTZ) LIMS Interface (Lab Analysis+Accreditation)

ITDS Integration (Agriculture) Track 1 Manual Input

• Enforce Filter• Anti Dumping / CVD Entry• Extracts to Sureties

Violation Billing Enforce Evaluation Team Support

Reconciliation

Track 2 + 3 Truck RAMIS Interface

• Tracks 2 + 3 Air• Account Business Categories• Links to ACS/AMS Air Manifest• Quota Entry/Processing• Collections, Refunds, Deposits & Adjustments

• Track 2 + 3 Sea and Rail• Daily National Statement Processing• Account Management Activity• ITDS Integration (FDA)• Links to ACS/AMS Sea and Rail Manifests

• ITDS Integration (DOT, INS)• Track 4 Air, Sea, and Rail• Plus NCAP Refinements• Links to ACS/AMS Air, Sea, and Rail Manifests

• Account Services Enhancements.• Account Contact Log

• Entry Summary / Data Review• Periodic Payment / Statement

INCREMENT ONE

Internal Common User Interface: ACE 5

External Common Interface: ACE 2

ACE 3

ACE 4

ACE 6

ACE 7

ACE 8

ACE 1

ACE 0.4

ACE 0.3

ACE 9

ACE 10

ACE 11

ACE 12

ACE 13

ACE 14

ACE 15

ACE 16

ACE 17

ACEFunctional

Groups

Customs ModernizationMaster Plan (January 23, 2001)

Increment 1

Increment 2

Increment 3

Increment 4

1.1 1.2

2.1 2.2

3.23.1

4.1

5

Release 1 – 1.1

Release 1 – 4.1

Release 2 – 1.2

Release 1 – 2.1

Increment 1

8/01 – 10/04*

• Full Conveyance Tracking• Full Cargo Tracking • Full Account Revenue

Functions• Full Risk Management

Release 2 – 2.2

Increment 2

2/02 – 1/05

Increment 3

11/02 – 8/05

Increment 4

8/03 – 9/05

• Consolidated Interface for Inspectors• Automated Truck Manifest• e-Release for Trucks• Enhanced Account Management• Initial Account Revenue• Risk Management: Record inspection findings and perform analysis

• Accounts for all Trade types (except Exporters) • Enhanced Account Management: Hierarchies• Enhanced Account Revenue• Bond Management: eBond & Bond Query• Remaining Truck Release Processes• Initiate IPR Database• Enhanced Risk Mgmt: Targeting & Selectivity DB,

and Lab findings

• Integrated Manifest for all modes of Transportation• e-Release (and Standard Release) for all modes • Integrated process for Import Transactions • Initial Cargo Tracking (In-Bond, FTZ & Warehouse) • Initial Conveyance Tracking• License, Permit, Certification Database• Enhanced Account Revenue• Enhanced Risk Mgmt: Initial Compliance Assessment

• Automated Entry Summary (including Importer Activity Summary Statement, and Reconciliation)

• Automated Liquidation• Automated Protest

Management

• Enhanced Account Revenue

• Enhanced Risk Mgmt: Electronic Team Review Findings

• Trade Statistics & Reports

• Account Management: Exporters• Full Export Processing• Multi-modal Manifest• Automated Mail Release • Automated Drawback

Release 1 – 3.1

• Automated Quota & Visa Mgmt• Automated AD/CVD• Bond Sufficiency• Enhanced Customs Reference Information• Full IPR Capability

Release 2 – 3.2

Summary of ACE Increments and Releases

KeyRequirements Complete; TO4 Under Contract

Requirements Complete; Subject to Negotiation

Requirements Under Development

Baseline Program Plan

• ACE Infrastructure • Secure Web Portal• Account-based access for

USCS & 40 Importers• Initial Account Database• ACE Reference Files (HTS)

Source: Increment Allocation Matrix V.2.2. April 18, 2002; *Task Order 4 Contract

6

Overview - Methodology

ACEFunctionality

Needed

Increment 4 Increment 3

I 1.2 RSS

Increment 1.1RSS

Detailed Requirements

For Increment 1.1

Increment 2 RSS

Detailed Requirements

For Increment 2.1

Increment 1.2 RSS

Detailed Requirements

For Increment 1.2

Requirements Specification Set (RSS)

Gather Existing Data Capture “As-Is” Processes Develop “To-Be”” Processes Conduct Focus Groups

• SMEs• PGA• Trade• eCP

ACE SRD

System Requirements Document (SRD)

I1I2

I3I4

Increment AllocationOverallSystem

RequirementsDesiredBusinessResults

7

ACEACEDatabaseDatabase

Exam FindingsExam Findings

Entry DataEntry Data

Manifest Manifest DataData

Release DataRelease Data

SAR Ledger $SAR Ledger $

Accounts DataAccounts Data

Reference DataReference Data

ACEACEDatabaseDatabase

SecureIntranet

Dial-up

SecureInternet

PublicInternet

CustomsOperational

Portal

ExistingABI/AMSInterfaces

AccountsPortal• Customs• Importers• Brokers• Census• Carriers

Public Portal

ACS

ACE Increment 1 (Releases 1 and 2)

8

ACE Increment 1 Development Timeline as shown in 01/02

Enterprise Portal & Infrastructure

Account Management On-line

Truck ManifestPrimary Inspector PortalAccount Management Enhancements

Periodic Statements and Payment

Feb 2002 Feb 2003

Dec 2003Aug 2003

Oct 2002

Release 1

Jun 2002

Release 2

9

ACE Increment 1 Development Timeline as of 06/02

Enterprise Portal & Infrastructure

Account Management On-line

Account Management EnhancementsPeriodic Statements and Payment

Feb 2002 Feb 2003

Dec 2003Aug 2003

Oct 2002

Release 1

Jun 2002

Release 2

Truck Manifest and ReleasePrimary Inspector Portal

10

ACE Increment 1.1

Overview

11

Increment 1, Release 1

ACE Infrastructure– Provides a secure foundation for delivering ACE functionality– Achieve security certification to facilitate widening the user base

Implement a Secure Web Portal– Used by Customs and Trade– Provides access to all available ACE information (based on assigned

privileges and the data content pulled from ACS)

Create Accounts for Importers and their Designees– Account profiles, and significant activity logs– Limited to approximately 40 Importers (selected by Customs)– Skeletal accounts for brokers and carriers associated with those 40

accounts

Initiate an Account Information database– Contains all ACE account information– Contains some ACS-based compliance information

Initiate the ACE reference information database– Contains HTS reference file

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

12

ACE 1.1 Requirements in Sub-releases

ACE Sub-Release in October 02• Initial ACE Infrastructure Established

ACE Systems & Network Mgt Initial Operating Capability (IOC) ACE Security Functionality IOC ACE Logging IOC

• Enterprise Portal Established On-line Help IOC

• Selected Customs Reference Files Implemented for Web Access Harmonized Tariff information (partial) Port Codes

• Initial Alert Structure

13

ACE Sub-Release in February 03 ACE Infrastructure Enhanced

– ACE Systems & Network Mgt Enhanced– ACE Security Functionality Enhanced– ACE Logging & Auditing Supported Enhanced

Account Management Functions Implemented– Web-based Account Application

Trade Users from 40 Organizations Customs Users

– Account Creation & Validation Create relationships with brokers and carriers Brokers and carriers confirm the relationship Trade account owners can manage/change access

privileges of users within their account– Account Compliance & Action History– Account Significant Activities Log

ACE 1.1 Requirements (Cont)

14

ACE 1.1 Requirements (Cont)

Web-based Reference Files Enhanced

Enhanced financial and transaction data

Enterprise Portal On-Line Help Enhanced– On-line Training for Portal Users IOC

15

Establish a Trade Account

Account Application

Customs Validation

Account Established

16

Each AccountEstablishes A Hierarchy

Customs Account Managers

Importer Account Owners

Brokers, Carriers

17

Accounts Maintain Their Own Internal Information

Telnet - sunnyFile Disc onnec t Ed it Setting Network He lp

Te lne t - V AXFile Disc onnec t Ed it Setting Network He lp

Te lne t - sunnyFile Disc onnec t Ed it Setting Network He lp

Ping - IBMFile Host Op tions Help

64 b ytes from p s2 (100.100.100.5) :ic m p _seq = 91,

----p s2 PING Sta tistic ----92 p a c ke ts tra nsm itted , 92 p a c ke ts rec e ived ,0%round -trip (m s) m in/a ug /m a x = 0/0/20[< /hom e/zui> ]< /hom e/zui>

64 b yte s rec e ive d , ic m p _64 b yte s rec e ive d , ic m p _

18

USCS Infrastructure

Systems and Network Infrastructure reliability and quality of service

Protect against

intruders while

allowing roles-based

access

Protect and manage data to ensure it is available; DR Planning

Software Distribution and Remote

administration

Storage Management

Configuration and Operations Management

Performance and Availability Management

Security Management

What is the infrastructure of ACE?

19

Trade

PGA Users

CustomsEmployees

Partners' SystemsNetwork

Internet

GovernmentNetwork

CustomsIntranet

Firewall

HTTP, HTTPS

HTTP, HTTPS

HTTP, HTTPS

External System Interface

WebSeal

WebSeal

WebSeal

Portal Server

Portal Server

Portal Server

User AuthenticationAuthorization

SSO

User AuthenticationAuthorization

SSO

User AuthenticationAuthorization

SSO

AuthorizationAuthenticationh

ACE Backend

NetSeal

IDS

IDS

IDS

IDS

IDS

IDS IDS

IDS

IDSIDS

IDS IDS

IDS

eCP Security Architecture Concept

20

Release 1: Trade Involvement

02-ECP-0605

Release 1

April May Mar June July Aug Sept Oct Nov Dec Jan Feb

2002 2003

Account Portal Access1.1.2

Trade input to POC

TSN presentations

Base portalDelivery 1.1.1

Requirements & Process Decomp.

Functional Workshops *

* Requirements, process and COTS gap baselines. Focus on UI, reports, queries and data.

TURIC Presentation

Business Readiness

Technical Readiness

SAT

Pilot Deployment

FRN for AccountSelection

Account Participants

SelectedandTSN

Meeting

TSNMeeting

TSN

21

Trade Participation in ACE 1.1 Design(July 2002)

General Approach to Trade Participation in ACE 1.1 Design Efforts– Trade invited to participate in special functional design workshops

most-likely conducted in late-June through mid-July 2002 May address multiple functions within a single workshop

– Possibility of future workshops as needs dictate– Each workshop will cover specific function involving Trade– Coordinate through TSN Accounts Committee– Objective is to keep Trade’s interest and situation in view– eCP desires broad range of participation– However, generally limited to 10 representatives

5 Importers 3 Brokers 2 Carriers

22

Trade Participation in ACE 1.1 Design(July 2002)

Current listing of suggested functional workshops – Account Creation/Account Management

Company Application/Enrollment Process Individual User Application/Registration Process Identification and Responsibilities of Trade Account Owner

– Business Partner Relationships Creation of Relationship Limitations and Management of user authorizations

– Trade Portal/User Interface Basic layout, navigation, and personalization

– Account Compliance Action Plan Collaborative planning with Customs Account Manager Managed Accounts Only

– Significant Activities Log Document/Correspondence Attachment and Retrieval

– Reports and Queries

5 Importers 3 Brokers 2 Carriers

23

Release 1 TimelineMay June July Aug Sep Oct Nov Dec Jan Feb Mar Apr May

1 Continued Participation of SME & Trade

Build Oct. Release 7/2 – 8/15

SIT/SAT9/1 – 10/31

*Release delivered

to Pilot Test10/31

*NDC10/31

Build February Release8/6 – 12/2002

SIT/SAT12/2002 – 02/28/2003

*Full Account and Reference Data

Solution

Account Managers and

Trade 03/01/30 – 05/30Participation of SME & Trade

B

−Portal Framework & Infrastructure−Release to OIT at NDC−Pilot Test & ORR−Intranet only

*SLAs

Defined

*FRN

Results

B

B

B

Operational Readiness Review−Functional Readiness

−Technical Readiness

Reference DataRequirements Decomp Workshops 5/20 – 5/31Design Workshops

6/3 – 6/76/10 – 6/146/17 – 6/216/24 – 6/287/1 – 7/57/7 – 7/127/15 – 7/20

Interim Design Review Oct 7/2Design Gap Analysis Oct 7/4 – 8/5Design Feb Release 7/2 – 8/5CDR 8/16

1

1

11

1

B

B

Operational Readiness Review−Functional Readiness

−Technical Readiness

24

ACE Increment 1.2

Overview

25

Increment 1, Release 2(Aug 03 – Oct 04)

Provide a primary Inspector portal– Access to all required data / tools via consolidated interface at primary

– Interface at secondary to record inspection findings

Initiating the integrated manifest– Implement an automated truck manifest system

Implement the e-Release for the truck mode– Using pre-filing information to provide the opportunity for faster release at

the primary booth

Initiate a transaction database– Contains all ACE import transaction data

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

26

Increment 1, Release 2 (cont)

Initial Account Revenue functions for selected accounts– Statement generation– Periodic payment (via ACH Credit)– Initiate subsidiary A/R ledger

Enhanced Account Management – Notifications and alerts provided to the Account Manager/Account Owner– Enhanced Significant Activity Log Capabilities

Iterative Search Archival of log items

Expand Customs Reference Information – Rules and regulations (initial)– Rulings and decisions (initial)

“Tracer”– Initial enforcement capabilities to record inspection results

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

27

ACE 1.2 Transactions-RevenueSubsystem Block Diagram

TransactionsSubsystem:-SAR Log by

ACS Transaction-Revenue Data

ACS(System of Record)

Revenue Data:

-Accounts Receivable

-Payments

Subsidiary Ledger

Pre-file data from Entry Summary

Trade:

-ACH Credit from Riggs Bank

-ABI Inputs

AccountsSubsystemTrade:

-Status Queries

-Statements

28

ACE 1.2 Transactions-ReleaseSubsystem Block Diagram

TransactionsSubsystem

ACS(System of Record)

Cargo Data Formats:

-CUSCAR

-Web/XML

-X.12

-Barcodes/Transponders

Release Data:

-Release/Arrival

-Override/Exams

-Selectivity results

Automated Manifest

Pre-file data from Entry filers

ABI Inputs

Trade:

-Status Queries

-Notifications Queries to/from:

-FMCSA

-TECS

29

ACE 1.2 Border Crossing Diagram

Truck

Primary Booth

Transponders

Proximity Reader

30

ACE 1.2 Release Process

Pre-fileCargoData

TransponderData

Pre-fileCarrierData

ACS SelectivityData Clearance

eReleaseDecisionMatches

Standard ReleaseDecision

No

Yes

Conveyance

Crew

BOL

Manifest

ABI Entry

Image

Image

Send data to ACS

Send data to ACS

No Pre-file Data

31

ACE Increments 2 through 4

Overview

32

Increment 2, Release 1(Nov 03 – Mar 04)

Create full accounts for brokers, carriers, sureties, Participating Government Agencies (PGAs) and others

Enhanced Account Revenue – Daily statements including ACH Debit

Implement Remaining Release processes for Air, Rail, and Sea modes of transport

Expand Customs reference information

Initiate single database for Selectivity & Targeting criteria

Link to lab findings electronically

Communication of results related to informed and enforced compliance

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

33

Increment 2, Release 1 (cont)

Initiate Intellectual Property Rights (IPR) database– Automation of the Customs recordation process (e.g., trademarks,

copyrights)

Bond Administration – Receiving the electronic bond – Adding the information to the account profile– Bond query capability

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

IPR

Rolex

34

Increment 2, Release 2 (Sept 04 – Jan 05)

Integrated manifest– Not multi-modal, single manifest type for all modes

ACE release processes for remaining modes of transportation (excluding mail and courier)

Integrated process for all import transaction data

Initial Cargo Tracking (In-Bond, FTZ, & Warehouse)– Electronic reporting by Trade– Initial database to provide data on cargo entry and exit dates

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

35

Increment 2, Release 2 (cont)

Initial Conveyance Tracking– Automated monitoring of in-bond conveyances (based on

estimated time of arrival)

Expand Customs Reference Information

Administer Licenses, Permits, and Certificates– Initiate databases

Extended Account Revenue– Automated Violation Billing

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

36

Increment 3, Release 1(Feb 05 – June 05)

Automated Anti-Dumping/Countervailing Duty (AD/CVD)– Coordination with Commerce– Automated tracking of entry summaries associated with AD/CVD– Automated notification of information related to AD/CVD cases– Business rules for handling the entry summary for the AD/CVD

Automated Quota & Visa Management– Validating Visas– Tracking and updating Quota usage

Bond Management– Determine Bond Sufficiency

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

37

Increment 3, Release 1 (cont)

Expand Customs Reference Information – Census edits

Full IPR Capability– Supporting Release– Supporting Enforcement

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

38

Increment 3, Release 2(May 05 – Aug 05)

Automated Census interface – Entry Summary feed for statistics

Generate Trade Statistics and Reports– Supporting Customs, Trade and PGAs

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

Compliant Goods

Non-Compliant Goods

Account Action Plan

39

Increment 3, Release 2 (cont)

Automated Entry Summary Processing– Automated Entry Summary (e.g., Importer Activity Summary Statement)

– Automated Reconciliation

Automated Liquidation– Change and No Change liquidation

Automated Protest Management– Electronic protest forms and coordination

Enhanced Account Revenue

Record Team Review (Entry Summary) Findings electronically

Compliance Assessment & Prior Disclosure

Initiate electronic Suspension and/or Extension

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

40

Increment 4, Single Release(July 05 – Sept 05)

Account Management– Accounts for Exporters

Full Export Processing– Including coordination with appropriate PGAs – Electronic close-out of in-bond, FTZ and Warehouse entries

Multi-modal Manifest– Providing the manifest for multiple modes of transportation for the

same cargo

ACE Release Processing – Mail– Courier

Automated Drawback Processing– e.g., Automated linking of import and export transactions

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1

41

Increment 4, Single Release (cont)

Full Cargo Tracking– Automated close-out of In-Bond, FTZ and Warehouse cargo

Full Conveyance Tracking– Automated monitoring and reporting on location of conveyances

Full Account Revenue Functions– Remaining Revenue functionality (Drawback, exports, etc.)– Account Financial Statistics and CFO Reporting

Completed Customs reference information

Full Compliance Assessment

Incr 1

Incr 2

Incr 3

Incr 4

1.1 1.2

2.1 2.2

3.23.1

4.1