Agresión escolar (bullying)

When working with broker accounts, it is important to keep in mind that a

broker’s “performance” is evaluated by focusing on two specifi c areas: the compliance measurement (CM) rate and the broker compliance data.

1. Compliance Measurment “CM”Rate

A broker’s CM rate is obtained partially from Customs Automated Port Profi ling System (CAPPS). CAPPS contains data on the compliance or non-compliance of lines, which are designated by ACS as stratifi ed compliance lines. These stratifi ed compliance lines make up a statistically valid sample of the total population of lines, which are extracted, from ACS after summary review with “discrepant” or “non-discrepant” fi ndings.

Once the review period has been determined, CAPPS can be accessed to determine a fi ler’s CM rate. This CM rate should be used as a performance indicator that will be shared with the broker. It is important to keep in mind that some of the indicators may point to issues outside the broker’s realm of control, i.e. country of origin marking. The analysis of a low compliance rate may reveal that the problem is with the importer and not with the broker.

The Entry Summary Findings Analysis System (ESFAS) is also a useful tool when developing an account profi le. This module contains ISDA fi ndings, which originate with import or entry specialists. Entry summary fi ndings are useful to detect patterns of discrepancies, such as repetitive misclassifi cation of the same merchandise.

Again, a low compliance rate is not necessarily indicative of broker/Customs issues, but perhaps broker/client issues. Researching “discrepancies” and sharing the results of this research with the broker will help both Customs and the broker understand what types of errors are being made, when they are being made, and what type of action plan can be implemented to prevent these errors from occurring in the future.

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A low compliance rate should act as a fl ag to let Customs know that research should be done to determine why the rate is low.

2. Broker Compliance Indicators

The implementation of the Port Activity Tracking System (PATS) is a great asset to local ports when compiling broker compliance data. Broker compliance data consists, among other things, of the issuance of entry summary rejection data, CF 28 (Request for Information), CF 29 (Notice of Action), and CF 4647 (Marking Notice) issuances.

The collection and analysis of this data will help us show the broker how many entry summaries were rejected and for what reasons, and how my CF 28’s, CF 29’s and CF 4647’s were sent and why. Again, it is important to remember that high numbers in these areas do not necessarily indicate that there is a problem with the broker.

These are compliance indicators, not necessarily broker oriented problems. A goal in gathering and analyzing this data is to provide the broker with specifi c data regarding their day-to-day interactions with Customs.

Ports, which do not currently have PATS, will have to utilize whatever internal databases/tracking systems they have to monitor broker compliance indicators. As an indicator, the number of CF 28’s issued to a broker does not necessarily imply negative connotations. While a high number of CF 28’s may appear to be a cause for concern, it is important to remember that CF 28’s are routinely issued on stratifi ed compliance entries and on some American Goods Returned entries over a certain value, simply to request more information.

The same can be said of the number of CF 29’s issued. For instance, a CF 29 is issued as the result of a positive NAFTA determination, tells the broker that Customs agrees with the NAFTA claims. This is just one example of when the issuance of a CF 29 to a broker does not have a negative implication.

Marking Notices (CF 4647’s) are issued for marking issues, which are usually out of the broker’s control. Brokers cannot be held accountable for issues which are out of the realm of their control, so the number of CF 4647’s issued should be used as a general indicator, not a measurement of broker compliance.

Meetings should be held between the Customs broker account team and the broker to discuss and review this data and determine if these indicators are at the appropriate level for that broker. Through this open dialogue, patterns can be detected which would lead to issues which could be resolved that may reduce the numbers. An example of this would be an Import Specialist issuing numerous CF 28 Requests for Information for the same shipper/importer/commodity. Simply opening the lines of communication could lead to a better understanding of what Customs or the broker is seeking.

3. ACS Dataqueries

The St. Albans/A.N. Deringer Broker Account Prototype and the National Scripting Team have developed ACS dataqueries to gather data on a specifi c broker. The list of dataqueries follows:

Dataquery Title Type of Records Data Retrieved

NST.PROFILE01 ACTIVE Breakdown of entry types for fi ler

(includes number of entries and total entry values)

NST.PROFILE01a ARCHIVED Same as PROFILE01

NST.PROFILE02 ACTIVE Breakdown of tariff numbers

imported by fi ler (includes number of lines and total line value)

NST.PROFILE02a ARCHIVED Same as PROFILE02

NST.PROFILE03 ACTIVE Top importers by fi ler (includes

total line count and total line value)

NST.PROFILE03a ARCHIVED Same as PROFILE03

NST.PROFILE04 ACTIVE Breakdown of tariff numbers for

top importer from PROFILE03 (includes total line count and total line value)

NST.PROFILE04a ARCHIVED Same as PROFILE04

NST.PROFILE05 ALL List of non-Bullseye entries with

single entry bonds

NST.PROFILE06 ALL List of unresolved entries

NST.PROFILE07 ACTIVE List of rejected entries (not ABI

system rejects)

NST.PROFILE07a ARCHIVED Same as PROFILE07

NST.PROFILE08 ALL List of no-fi le entries

NST.PROFILE09 ALL List of not or partially-paid entries

NST.PROFILE10 ACTIVE List of Liq. Dam. Entries

NST.PROFILE10a ARCHIVED Same as PROFILE10

NST.PROFILE11 RELEASE List of cancelled entries

NST.PROFILE11a SUMMARY Same as PROFILE11

NST.PROFILE12 ALL List of entries with open bills

NST.PROFILE13 ALL List of entries with debit vouchers

NST.PROFILE14 ACTIVE Breakdown of statement statistics

NST.PROFILE14a ARCHIVED Same as PROFILE14

NST.PROFILE15 ACTIVE Breakdown of paperless statistics

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These dataqueries are accessed through ACS dataquery and have been set up so all the user has to do is replace the fi ler code and the date range for each dataquery.

This list of dataqueries is intended to be used to gather data when preparing the broker profi le. Some of the dataqueries are run to simply identify the environment (PROFILE01 — PROFILE05 and PROFILE14 — PROFILE15), and the remaining dataqueries are run to provide performance indicators (PROFILE06 — PROFILE13).

The performance indicators gathered from the dataqueries will provide the broker account team with information that should also be shared at meetings with the broker. It is

important for the broker to see what data Customs has collected. Prepare reports using all of this data to bring to the meetings and review with the broker. If necessary, review each unresolved entry, each rejected entry, no-fi le entry, not-paid entry, liquidated damage case, cancelled entry, open bill, and debit voucher with the broker. These indicators are the ones that can be worked with immediately to provide an instant increase in compliance.

Customs has been collecting compliance data for years, telling brokers about their

compliance, or non-compliance, and expecting it to improve. Customs is now sharing this data that we have been collecting in the hopes that improved communication will result in higher compliance. The analysis and discussion of this data will help determine where responsibility for the discrepancies lies (with the broker or their client) and will help to open the lines of communication and make both Customs and the broker more aware at what data the other is looking.