# Presentation: 092648

## ACE Content Overview

**ACE Content Overview**

**Trade Support Network**
**June 5, 2002 **
**Paul Nicolaisen, eCP**
**Gail Raper, eCP**

## Agenda for Presentation

**Overview of Increment 1.1 ****	****	****Paul Nicolaisen**
**Overview of Increments 1.2 - 4****	****Gail Raper**

## 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**

## New Way of Viewing ACE

**The ACE Stair Step Chart has been retired**
**The 7 Release Chart is the new way of viewing ACE**

## 		Summary of ACE 				Increments and Releases

_***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

***Key***

- Requirements 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

**Notes:**
Dates include requirements gathering, design, build and deployment.

Explain that dates cover requirements gathering through final deployment.

## Overview - Methodology

**Overview - Methodology**

**ACE**
**Functionality**
**Needed**

**Increment 4 **

**Increment 3 **

- I 1.2 RSS

**Increment 1.1**
**RSS**

**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)**

- Overall
- System
- Requirements

## ACE Increment 1 (Releases 1 and 2)

**ACE**
**Database**

***Exam Findings***

***Entry Data***

***Manifest ***
***Data***

***Release Data***

***SAR Ledger $***

***Accounts Data***

***Reference Data***

**ACE**
**Database**

**Secure**
**Intranet**

**Dial-up**

**Secure**
**Internet**

**Public**
**Internet**

**Customs**
**Operational**
**Portal**

**Existing**
**ABI/AMS**
**Interfaces**

**Accounts**
**Portal**
** ****Customs**
** ****Importers**
** ****Brokers**
** ****Census**
** ****Carriers**

**Public Portal**

**ACE Increment 1 (Releases 1 and 2)**

## ACE Increment 1 Development Timeline as shown in 01/02

**Enterprise Portal & Infrastructure**

**Account Management On-line  **

**Truck Manifest**
**Primary Inspector Portal**
**Account Management Enhancements **

**Periodic Statements and Payment**** **

**Feb 2002**

**Feb 2003**

**Dec 2003**

**Aug 2003**

**Oct 2002**

**Release 1**

**Jun 2002**

**Release 2**

**Notes:**
Release 1 Delivery 1 – This will include a web-accessible portal for general user access to online information such as policies, procedures, regulations, rulings, HTS data, etc.  It will be made available to a broad audience of users across the customs enterprise.  Some of the “reference library” and on-line help data will also be made available to the trade and general public as appropriate.  The generic portal deployed in this release will also become the common entry point for other “role-specific” portals that users will be be able to use to drill down into specific work-related activities.

Release 1 Delivery 2 – The ability to create and  update account information for high volume, low risk accounts will be implemented.  Account Managers and their partners in the trade will be provided access to account-level information regarding  all import transactions and summarized activity reporting capabilities.  

Release 2 Delivery 1 – Account Management improvements will include the ability to generate periodic statements and accept periodic payments, as well as enhanced account-level reporting and on-line account maintenance.

Release 2 Delivery 2 – The focus in this release is expedited release processing.  A consolidated sign-on and user portal will be developed for inspectors which will be able to draw and update information from the myriad of existing release systems in use today (BRASS, TAPS, NCAP, etc).  This will eliminate the current need for inspectors to be logged into this many systems .  Additionally, the expedited release capabilities initially piloted in the NCAP program will be incorporated into the ACE program in this release and expanded to include many new users from the trade community.

## ACE Increment 1 Development Timeline as of 06/02

**Enterprise Portal & Infrastructure**

**Account Management On-line  **

**Account Management Enhancements**
**Periodic Statements and Payment**

**Feb 2002**

**Feb 2003**

**Dec 2003**

**Aug 2003**

**Oct 2002**

**Release 1**

**Jun 2002**

**Release 2**

**Truck Manifest and Release**
**Primary Inspector Portal**

**Notes:**
Release 1 Delivery 1 – This will include a web-accessible portal for general user access to online information such as policies, procedures, regulations, rulings, HTS data, etc.  It will be made available to a broad audience of users across the customs enterprise.  Some of the “reference library” and on-line help data will also be made available to the trade and general public as appropriate.  The generic portal deployed in this release will also become the common entry point for other “role-specific” portals that users will be be able to use to drill down into specific work-related activities.

Release 1 Delivery 2 – The ability to create and  update account information for high volume, low risk accounts will be implemented.  Account Managers and their partners in the trade will be provided access to account-level information regarding  all import transactions and summarized activity reporting capabilities.  

Release 2 Delivery 1 – Account Management improvements will include the ability to generate periodic statements and accept periodic payments, as well as enhanced account-level reporting and on-line account maintenance.

Release 2 Delivery 2 – The focus in this release is expedited release processing.  A consolidated sign-on and user portal will be developed for inspectors which will be able to draw and update information from the myriad of existing release systems in use today (BRASS, TAPS, NCAP, etc).  This will eliminate the current need for inspectors to be logged into this many systems .  Additionally, the expedited release capabilities initially piloted in the NCAP program will be incorporated into the ACE program in this release and expanded to include many new users from the trade community.

Ensure understanding of how many ports have access at Aug 03, Dec 03.  Distinguish functional capabilities from when accessible in each port.  Initial IOC.  Paul speak to who and when

## ACE Increment 1.1

**ACE Increment 1.1**
** ****Overview**

## 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

## 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

**Notes:**
Just on Customs intranet.  Trade will not have access in October.  AMs will not have access in October.  Only select HQ OIT users will have access in October.

IOC = Initial Operating Capability

Don’t say 1.1.1 – Rather, refer to as “October release”

## 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 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)**

**Notes:**
Who will have access:
40 who have been selected through FRN
AMs
Broader audience within Customs
We anticipate this being used by 2000-3000 people
3 month period
May – Exit pilot test for 40 organizations.  At that point, can and will be expanded.  Pilot test for  certification for eCP solution as valid production system:  Feb – May, 2002
Feb:  How far back can importer go to see compliance track record?

What will be included in SAL in February?

## 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

**Notes:**
“Enhanced” financial and transactional = Can be aggregated.  Moving away from transaction basis.  Accounts as opposed to transaction basis.  EXPLAIN ENHANCED.

What did Sandy mean by “enhanced” in this slide?

## Establish a Trade Account

## Each AccountEstablishes A Hierarchy

**Notes:**
Refer to demo shown on Tuesday

Refer to importer account manager as importer account owner

Explain how brokers/carriers’ role works

## Accounts Maintain Their Own Internal Information

**Notes:**
Information internal to account – managed by account

Be aware of trade’s question to be able to download data from portal

## What is the infrastructure of ACE?

**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?**

**Notes:**
Gail’s reasoning – What am I getting for my $100M

## eCP Security Architecture Concept

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

- IDS

**eCP Security Architecture Concept**

**Notes:**
Importers very concerned with protecting their data.  Robust system of firewalls.  We are just as concerned with protecting your data as with Customs data.  Would like to deliver more earlier, but have to ensure we do it right.

## 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
- Access
- 1.1.2

- Trade input
- to POC

- TSN presentations

- Base portal
- Delivery 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 Account
- Selection

- Account
-  Participants
- Selected
- and
- TSN
- Meeting

- TSN
- Meeting** **

- TSN

## 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

**Notes:**
Functional readiness
Technical readiness

## 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

## Release 1 Timeline

**Release 1 Timeline**

**Build Oct. Release 7/2 – 8/15**

**SIT/SAT**
**9/1 – 10/31**

*****
**Release delivered to Pilot Test**
**10/31**

*****
**NDC**
**10/31**

**Build February Release**
**8/6 – 12/2002**

**SIT/SAT**
**12/2002 – 02/28/2003**

*****
**Full Account and Reference Data Solution**
**Account Managers and Trade**

**03/01/30 – 05/30**

**Participation of SME & Trade**

**B**

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

*****
**SLAs Defined**

*****
**FRN**
**Results**

**B**

## ACE Increment 1.2

**ACE Increment 1.2**
** ****Overview**

## 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

**Notes:**
Releasing capabilities

When ports have access depends on when ports have access

Standard and expedited truck release for selected ports in December 03

## 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

**Notes:**
Expand Customs Reference Information
	Searchable HTS

## ACE 1.2 Transactions-RevenueSubsystem Block Diagram

**Transactions**
**Subsystem:**
**-SAR Log by**
** ****ACS Transaction**
**-Revenue Data**

**ACS**
**(System of Record)**

- Subsidiary Ledger

**Trade**:
- -ACH Credit from Riggs Bank
- -ABI Inputs

**Accounts**
**Subsystem**

**Notes:**
ACS still system of record

Blue = ACS

Yellow = ACE

Pulling ES, revenue data out of ACS and passing back to ACS

All through portal

## ACE 1.2 Transactions-ReleaseSubsystem Block Diagram

**Notes:**
G7 is not in 1.2 proposal.  Be aware of truck concerns.

GAIL:  Check on G7 with Al Jaworski

## ACE 1.2 Border Crossing Diagram

**ACE 1.2 Border Crossing Diagram**

- Truck

- Primary Booth

**Transponders**

**Proximity Reader**

## ACE 1.2 Release Process

**ACE 1.2 Release Process**

- Pre-file
- Cargo
- Data

- Transponder
- Data

- Pre-file
- Carrier
- Data

- ACS Selectivity
- Data Clearance

- eRelease
- Decision

- Matches

- Standard Release
- Decision

- No

- Yes

- Conveyance
- Crew

- BOL
- Manifest
- ABI Entry

**Image**

**Image**

- Send data to ACS

- Send data to ACS

- No Pre-file Data

**Notes:**
Will lay out schedule for trade involvement once 1.2 started/under contract.  Will follow same structure as 1.1

## ACE Increments 2 through 4

**ACE Increments 2 through 4**
** ****Overview**

## 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**

**Notes:**
Provide examples of reference information.

## 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

- IPR

- Rolex

**Notes:**
Identify with Jim Byram whether this is just importer bonds or all types of bonds.

## 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

**Notes:**
One single manifest for all modes
Moves to warehouse, not into warehouse.

## 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

**Notes:**
Only import licenses, permits, certificates

## 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

## Increment 3, Release 1 (cont)

**Expand Customs Reference Information **
- Census edits
**Full IPR Capability**
- Supporting Release
- Supporting Enforcement

## 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

## 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**

## 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

## 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**