**V1: Jan 7, 2005**

1.  **Account Management**

    a.  December 14 -- 15: Create/Maintain Independent Driver Accounts

        i.  **Trade Participants:** Steve McQueary, Robin Reynolds, Ron
            Robertson

    b.  December 16: Methods for Creating/Maintaining Account Master
        Data

        i.  **Trade Participants:** Stewart Schmidt, Bruce Haskell, Don
            Huber, Michael Ford, Bob Perkins, Michael Davenport

#####  

##### ACCOUNT MANAGEMENT

Creating and Maintaining Independent Driver Accounts: December 14, 2004

In general, the organizational impact for independent driver accounts
will be highly dependent upon the direction Customs and Border
Protection (CBP) sets for who is required to register. CBP leadership
has yet to provide a policy decision regarding the scope of who will be
required to register and to what extent participation will be voluntary.
The results of the decisions may have enormous impact on the CBP
organization, carrier accounts and drivers.

Various programs exist today for the registration of individuals.
Careful consideration needs to be taken to eliminate redundancy while at
the same time find a proper balance in leveraging existing systems. Data
from the Free and Secure Trade (FAST) program has been integrated into
the ACE Release 4 program however the process of creating and
maintaining Independent Driver accounts has not and is at the heart of
these discussions.

**Possible Definitions for Independent Drivers:**

-   Any driver may register with CBP whether they are an employee of a
    particular company or not

-   Only drivers who are not registered with FAST, Northern or Southern
    borders,

-   Only drivers who are not employees of a particular company

-   Only Drivers who work for Common Carriers

**Additional categories of commercial drivers**

-   Taxi drivers

-   Bus drivers

**Assumption**

-   Independent Drivers will not have portal access, statement made by
    the Release 5 team.

**Carrier's comments regarding issues they have with drivers registering
for FAST today**

-   Truck drivers are an independent lot and are adverse to the
    intrusion of government into their private affairs therefore many
    drivers prefer not to register for FAST.

-   Carriers find it very difficult to impossible to obtain the status
    of the FAST applications.

-   Drivers have been refused entry into a country because of FAST
    background checks even though they were allowed in the country for
    many years and had passed many regular immigration checks.

-   A large carrier expressed that they use an "approved" list of
    outside carriers that are C-TPAT. These carriers already have FAST
    drivers. This is done rather than use independent drivers.

-   Carriers are not able to use an independent an owner/operator on a
    FAST trip. The driver who owns his own truck has to apply as a FAST
    company; they can not just carry FAST cargo. Some carriers would
    like to use independent drivers to carry FAST shipments but cannot
    currently.

-   Carriers would like CBP to maintain scheduled, periodic locations
    where drivers can be interviewed for FAST. This would reduce the
    difficulty some drivers have in driving long distances to register.

-   ACE should allow drivers to register independently as is done in
    FAST today. Un-associated to a specific carrier.

**Existing FAST policy & procedures**

-   FAST driver are required to renew their applications ever 5 years

-   Drivers may be refused FAST status but are still be allowed to cross
    the border

**Existing FAST / ACE issues**

-   In ACE Release 4 there is no way to associate a FAST driver to an
    ACE Carrier Account other than to report the FAST driver in the
    manifest. A recommendation was made to enable a carrier to associate
    a FAST ID number with a crew member that the carrier enters into its
    account. This way ACE could display carrier saved details on the
    driver when using the FAST ID in a manifest. Currently no crew
    member details will display if a carrier uses Portal to file there
    manifest since the FAST driver database is not associated with a
    unique carrier.

-   How much information can carriers see to verify that they have used
    the right ID number? An option is to make disclosure a condition of
    the ACE ID, and put a privacy act note to say that the driver is
    consenting to release the information (a limited data set) when he
    consents to drive for a carrier. The Privacy Act note would have to
    display to notify anyone using FAST IDs to identify drivers on a
    Standard Manifest that they are only using the information for a
    certain purpose.

**Non-FAST related concerns**

-   A northwestern based carrier express a concern that there is a
    shortage of drivers. They are recruiting drivers from other
    countries to work for them.

**Future driver registration issues**

-   Trade expressed a concern that the volume of registering all
    non-FAST drivers would hinder trade.

-   Who would enter the data to register the driver?

-   What incentive would CBP offer to encourage driver registration?

-   Will ACE registration become mandatory for all commercial drivers?

-   Would all drivers without an ACE account be forced to secondary for
    registration? If so, this may present significant delays in
    processing for a finite period of time as the ports will become
    bottlenecked with application processing.

-   If registration is mandatory then the impact to the occasional
    un-registered drivers is significant.

-   Will registration for ACE ID#s require a background investigation
    (this will not be welcomed by drivers or carriers)

-   How will the registration process occur? Will ACE picture ID cards
    be required? Will they need to pay a fee? What are the resulting
    implications on the carrier, importer, and driver?

-   Will the resources that currently exist in the St. Albans and
    Burlington, VT, FAST application processing centers, be involved in
    the creation and maintenance of ACE account data for drivers? To
    what extent?

-   If a driver is responsible for maintaining his/her master data, will
    CBP need to validate changes?

-   How will updates to driver master data be compiled and updated to
    the system -- CBP employees located at the ports, through the
    internet, hard copy correspondence, phone based service center,
    brokers, etc. (there are a significant number of drivers in which
    the residency information, etc. may change frequently)

-   If a driver forgets or doesn't know his/her ACE ID number, how will
    they find out what it is? Call a Service Desk? Ask someone at the
    port?

-   If a duplicate account exists in the system, what information can be
    returned to resolve the duplicate (if this cannot be done easily, a
    shipment could potentially be held up which could be devastating to
    the carrier & importer)

-   Drivers (not carriers) will be responsible for creating and
    maintaining their account. Need to determine how this will be done.
    In Release 4 the carrier has primary responsibility as the driver is
    entered as part of a Carrier Account's crew list (an optional
    functional for the carriers). This is an important change b/c many
    drivers will work for more than one carrier. (This will be a
    negative impact on the drivers but a positive impact on the
    carrier). Note --some carriers such as UPS would still like to be
    able to maintain the data for their drivers. This information being
    maintained on the driver is extensively protected by the Privacy
    Act. If the driver works for the carrier, then it could be
    considered an implied authorization.

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-   For drivers that were established through the "crew list"
    functionality in Release 4, these drivers will most likely still
    need to create their own account as the crew list does not capture
    all of the information that would be needed to set up a driver's
    account. Therefore, we need to consider how these drivers will learn
    what the ACE ID \# already assigned to them is.

-   There are privacy concerns for independent drivers that may require
    CBP to issue a privacy act notice of sort. Issue -- a carrier needs
    to identify the driver on the manifest. How will the carrier know if
    the ID they are putting on the manifest is associated with the right
    driver? Maybe ACE could return the Commercial Drivers License (CDL)
    \# and name -- this would be a limited intrusion for a truly
    independent driver. For drivers employed by a carrier, it is assumed
    that the company is authorized to know the CDL and name of the
    driver.

-   If ACE registration is mandatory, brokers on the southern border may
    become heavily involved in driver registration as the profile of the
    southern driver appears to be significantly different than the
    Northern counterpart. Drivers on the southern border are more likely
    to not speak English, lower rates of computer literacy, etc. (e.g.
    many truckers on the northern border carry laptops to access the
    internet in WIFI hotspots; these apparently do not exist on the
    southern border).(positive impact on brokers, negative impact on
    drivers)

-   Some degree of concern that the US government agencies are setting
    up so many programs that it will become confusing to the drivers --
    e.g. If I have a FAST card why do I still need to carry my passport?
    Answer: Because it is an immigration requirement. CBP Subject Matter
    Experts (SMEs) indicated that this is not currently a problem.

-   How will drivers get information on their application status
    (currently this is a significant issue with FAST). The resolution
    will determine the impact on CBP, carriers, and drivers.

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-   CBP has recommended that a FAST or ACE driver applications be made
    available on-line.

-   CBP would like to have information recorded on all commercial
    drivers that cross our borders. This includes common carrier drivers
    as well as owner operators and independent drivers.

Duplicate Drivers

-   Duplicate drivers will be checked by name (first, middle, paternal
    last name, maternal last name), CDL (country, state and number), and
    physical address.

-   Since the carrier that first puts a non-FAST driver into ACE
    controls the record numerous issues arise regarding how that
    driver's information is maintained and used by other carriers.

-   If all the driver information is kept up to date by the driver in
    FAST and a carrier submits conflicting information on the manifest,
    what happens? CBP currently does not change the manifest or reject
    it, but they do annotate there if there is a difference.

**Other driver registration programs that should be considered**

PortPASS Port Passenger Accelerated Service System INSPASS: Ins
Passenger Accelerated Service System NEXUS: US-Canadian low risk
traveller program for non-commercial travellers. Frequent crossing
foreigners can use this card to access express lanes. LBCIP: Land Border
Carrier Initiative Program Laser Visa & Border Crossing: For Mexican
Citizens only. Allows a person to enter and exit the U.S. You can not
have a residence in the U.S. You should not have a U.S. issued driver's
license. Both are issued by the U.S. State Department U.S. Visit: U.S.
Visitor and Immigration Status Indicator Technology APIS: Advance
Passenger Information System TWIC: Transportation Worker ID card.
Transportation Security Administration (TSA) is monitoring all modes of
transportation. Will this effect drivers who cross the border, or is
this only for people who work at the border?

**Action Items**

-   What is CBP's current policy for busses that carry cargo, for
    example newspapers?

-   Is there a mobile processing unit for FAST applicants?

-   How much information can carriers see to verify that they have used
    a correct ID.?

-   Do Release 4 Accounts and Manifest screens accommodate for maternal
    names?

-   Who issues Laser visa & Border Crossing Cards? Is there a difference
    between the two?

-   Is there a 24/7 help desk?

-   Are there different fast cards for each border, northern & southern?
    Would a driver crossing both borders be required to have two FAST
    cards?

**Current FAST statistics**

[Location]{.underline} [Cards Issued]{.underline}

Alexandria Bay, NY 0

Blaine, WA 1180

Buffalo, NY 5845

Champlain, NY 2640

Derby Line, VT 323

Detroit, MI 7852

Highgate Springs, VT 0

Houlton, ME 1022

Pembina, ND 1353

Port Huron, MI 4674

Portal, ND 276

Sweetgrass, MT 447

NB Total 26312

Creating and Maintaining Independent Driver Accounts:

December 15, 2004

**Independent Driver Registration process:**

**Who should register?**

-   All individuals' not just United States, Canada, and Mexico citizens
    should register.

-   Drivers from Central American countries often bring car carriers to
    the United States.

-   Landed immigrants from Canada drive into the U.S. They have a stamp
    on their passport saying that they reside in Canada, they are
    permanent residents, but still claim the citizenship of their former
    country

-   Port cards are needed at certain Canadian ports. The Trade would
    like FAST cards to supersede all other cards. While FAST drivers
    must carry their proximity card to demonstrate participation in FAST
    it can not be used for ID. It gives driver access to the FAST lane
    and the front of the Secondary line.

-   FAST registered drivers would be exempt from an ACE registration
    since ACE shares FAST data.

-   Will an agent/third party be able to submit an application on behalf
    of a driver? CBP request is to consider an Internet café, service
    provider, online application, etc, so that CBP does not have to
    retype the information. This depends on the definition of 'doing
    customs business'.

**Where would commercial drivers register into ACE?**

-   Are kiosks used today for anything other than information
    dissemination? No. CBP probably does not have to do this because
    there are a lot of brokers at the border that, if policy would
    allow, would do this for drivers. CBP does not have the foundation
    in place for kiosks. This process would be new. CBP would have to
    determine where kiosks would be setup and consider hardware and
    costs associated with this.

**Will Paper form applications always be necessary?**

-   CBP would like to move towards an online process, but CBP is always
    going to have some sort of paper. For example, the paper filing
    process may be used as a system back up.

-   Currently the FAST driver registration process is paper because
    after 9/11 CBP needed something quickly, and everyone had paper.

-   There may be issues with digital signatures on an on-line (Internet)
    form.

-   Is there precedence for CBP to offer an Internet or Graphical User
    Interface (GUI) to the trade for creating data input to CBP? Customs
    & Trade Partners Against Terrorism (C-TPAT) is going down the path
    of doing a GUI form. The ability to create an in-bond form and
    bar-code has been made available via the Customs Forms Electronic
    System (CAFES). The Automated Export System's AES-Direct is an
    internet based system. ACE Release 4: eManifest Trucks is offering
    an Internet option for carriers to create manifests.

-   There may be issues with digital signatures on an on-line (Internet)
    form.

-   In Release 4 a driver is assigned an ACE ID number when the driver
    data is stored in a carries account. CBP may need some additional
    data elements to "register" drivers in the future.

-   What will be the key data elements for setting up a driver account
    in ACE be? To be determined.

-   Currently the account is set up by the Carrier, so the contact
    information is through the Carrier. If there are problems with a
    driver, CBP goes to the carrier company to find the driver.

-   Trade would like for the drivers to be independent from the
    carriers.

-   If a driver applied for FAST but did not qualify however was then
    established as an ACE Driver Account would they be willing to pay
    the same fee as is required for a FAST card?

-   There will be training issues with the trade regarding registration
    of truck, carrier & crew vs. independent drivers.

-   Issues about working for multiple companies could go away if drivers
    are registered as commercial drivers rather than being registered
    through a carrier, as is the design in ACE Release 4.

**CBP policies for checking IDs at the Border:**

-   CBP will check for photo identification & proof of citizenship
    (could be drivers license, birth certificate, or passport) at each
    and every border crossing. CBP will also check what his residency is
    every single time. Carrying the FAST ID card does not make you
    exempt from carrying these proofs of identification. FAST will just
    put you in the FAST lanes, and priority treatment in Secondary.

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-   The application ID number that is printed on the back of a FAST card
    is the number that should be used when transmitting a manifest with
    a FAST driver carrying a Standard trip.

**Physical ID:**

-   Will ACE issue a driver ID card? CBP believes that it is a definite
    possibility, but it may be a logistical nightmare, and is not sure
    what its purpose would be. It may be used like the FAST ID to show a
    photo ID before the truck approaches the booth.

**Independent driver account structure:**

To be determined

**Reporting:**

-   CBP needs to know if the person has been issued more than one ID.

**Action Items**

-   How is the FAST information attached to the existing ACE accounts
    for the driver?

> a\. For an ACE driver that gets FAST approved
>
> b\. For a Driver who loses their FAST status
>
> c\. Is it the same for EDI and Portal processes?

-   Is TSA's transportation ID cards (TWIC) going to affect commercial
    drivers who cross the land borders, or is it just for people who
    work at ports.

-   Is there any legal reason why a driver could not self-register
    online? Would CBP need to verify their information after they submit
    the data (setting up appointments).

-   Will an agent/third party be allowed to submit an application on
    behalf of a driver?

-   If a FAST ID card is lost, but they know their FAST ID number, what
    happens?

Methods for Creating and Maintaining Master Data Workshop

December 16, 2004

# Action Items for Trade

Bruce Haskell will ask Rob Duke whether sureties would use maintenance
functionality for the corporate surety power of attorney (CSPOA).

[Establish Importer Account Master Data]{.underline}

Master data is generally static data in the account and is primarily
demographic data. This is the data used to create the account in the ACE
system.

Today the form 5106 data elements can be submitted on paper or via ABI
through ACS. These methods will be needed in the future as well as the
additional method of entering data through the web portal.

-   Methods to submit account master data

    -   Paper

    -   Portal

    -   EDI

    -   Who submits the paper 5106?

    -   Importer

    -   Broker

    -   Bond filer (accompanied by the bond application)

    -   Who submits the 5106 through the portal?

    -   CBP

    -   Broker (to establish an additional business category for
        themselves or for an importer. Can also establish a new
        importer.

    -   Importer

    -   Bond filer (depending on whether the creation of an Account is
        considered Customs business)

    -   Who submits the 5106 through EDI?

    -   Broker (to establish an additional business category for
        themselves or for an importer)

    -   Importer (once established can create additional business
        categories)

    -   Bond Filer (depending on whether the creation of an Account is
        considered Customs business)

Through bond centralization, CBP is working on cleaning up the 5106
data. Going forward, we need to ensure that the data submitted is
correct and not duplicated.

Queries will be available in ACE, but parties not identified on the
transaction will not be able to query data related to that transaction.
Today a surety query will return bond information regardless of which
surety wrote the bond. This will not be allowed going forward in ACE.
Importers and brokers can still run the query.

The 5106 is also used to set up the ultimate consignee. We need to
separate that process. The data set may be different.

Recommendation: Send a Power of Attorney in at the same time of setting
up the 5106.

[Maintenance of Account Master Data for Importers]{.underline}

-   Who submits the paper 5106 changes? Today the bond rider must
    accompany name/address changes and that is why paper is submitted.

-   Importer

-   Broker

-   Bond filer

-   Who submits the 5106 through the portal?

-   CBP

-   Importer

-   Broker

-   Bond filer

    -   Bond riders

    -   New bonds

-   Who submits the 5106 through EDI?

-   Importer

-   Broker

-   Bond filer

    -   Bond riders

    -   New bonds

Currently only the Account Owner and Proxy Account Owner can edit
account master data. If the importer wants to designate someone else to
maintain the account master data, an additional role would need to be
created.

A continuous bond will be considered master data while a single
transaction bond may not because it is only relative to one particular
transaction.

[Establish Broker Account Master Data]{.underline}

-   Exam Application

    -   Paper

        -   Individual

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-   Portal

    -   Individual (via public website)

    -   Broker

    -   Importer

        -   EDI (possible but probably not cost effective)

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    -   Broker

    -   Importer

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-   License Application

    -   Paper

        -   Individual

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-   Portal (Information on the application could be submitted through
    the Portal; however, fingerprint cards and etc. would still need to
    be sent separately to CBP. CBP could record the receipt of the
    background paperwork and fingerprint card.)

    -   CBP

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    -   Individual

    -   Broker

    -   Importer

        -   EDI

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    -   Broker

    -   Importer

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-   Filer Code Application

    -   Paper

        -   Individual

        -   Broker

        -   Importer (self filer)

        -   Other (surety, software vendor, PGA, etc)

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-   Portal

    -   Importer (self filer)

    -   Licensed individual broker (via public website)

    -   Licensed corporate broker (via public website)

    -   Other (surety, software vendor, PGA, etc)

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-   Application for Broker Permit

    -   Paper

        -   Licensed individual broker

        -   Licensed corporate broker

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-   Portal

    -   Licensed individual broker (via public website)

    -   Licensed corporate broker (via public website)

[Maintenance of Account Master Data for Brokers]{.underline}

-   Exam

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-   Paper

    -   Individual (withdrawal or appeal)

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-   Portal (public website)

    -   Individual (withdrawal or appeal)

    -   CBP (record results, respond to appeal)

Allow for the ability to pay all fees at one time through one location.

-   License

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-   Paper

    -   License holder

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-   Portal

    -   License holder

    -   CBP

-   Filer code (CBP must be notified when a company is going out of
    business so there may be a status to maintain.)

-   Permit

    -   Paper

        -   Broker

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-   Portal

    -   CBP

    -   Broker

-   Employee List

    -   Paper

        -   Broker

-   Portal

    -   CBP

    -   Broker

-   EDI

    -   Broker

[Establish Surety Account Master Data]{.underline}

-   Paper

    -   Surety

    -   Surety Agent

-   Portal

    -   CBP

[Establish Surety Agent Account Master Data]{.underline}

-   Paper

    -   Surety

    -   Surety Agent

-   Portal

    -   CBP

Form 5297, CSPOA, will still be submitted to the bond desk at the local
port.

[Maintenance of Account Master Data for Sureties]{.underline}

-   Paper

    -   Surety

-   Portal

    -   CBP

    -   Surety

[Maintenance of Account Master Data for Surety Agents]{.underline}

-   Portal

    -   CBP

    -   Surety Agent

[Action Items]{.underline}

-   Will the CF 5106 be used as the way to input importer data in the
    future?

-   Split data requirements for ultimate consignee from those for the
    importer.

-   Access to another account's data prior to a merger/acquisition. In
    the event of an acquisition, the trade wants to notify someone at
    CBP they are taking over the company. The trade needs to see the
    compliance history, bonds, etc. for the company being acquired.

-   What data can be returned on a query to see if an importer and/or a
    bond exists?

-   Will the creation of an Account be considered Customs business? Will
    this apply to all Accounts?

-   Will the filer code continue to be issued to entities other than
    importers and brokers?

-   Will filer codes continue to be issued to brokers and importers or
    would we move in some other direction?

-   What data will the trade have access to in regard to exam and
    license data? Visibility into individual status for other than CBP.
    Privacy issue.

-   Will a broker be required to provide/send employee list changes to
    CBP in paper form if they are maintaining the same list in ACE?