FY2006 Compliance Measurement (CM) Post Summary Only (Regulatory Imports)

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Presentation transcript:

FY2006 Compliance Measurement (CM) Post Summary Only (Regulatory Imports)

FY2006 CM Plan Two Entry Summary CM Programs Revenue CM (63,262 Summary Lines) –65,000,000 SL annually/CM random sample =.0001% AD/CVD CM (6,738 Summary Lines)

Overview of Compliance Measurement (CM) Purpose of CM –Relies on thorough review of random sample; –Eliminates ineffective criteria; –Is used as risk/workload management tool. Goal of CM –Determine Accuracy of Entries within a Given Universe; –Validation of Revenue Gap; –Increase Targeting Efficiency.

CM Review - Classification; Country of Origin; Value; Duties, Taxes & Fees; Admissibility issues (Quota, FDA); Applicability of Special Program Indicators; Possible AD/CVD Merchandise.

Compliant Entry ISDA remarks associated with All ISDA compliant findings should be indicated by an “X” in the “Is summary line compliant?” field. Followed by sufficiently detailed remarks to convey level/type of review. –CBP Form 28 issued; –Internet Research; –Documents Reviewed and Validated.

Discrepant Entry Determine Scope for Possible CEAR Referral; Input findings in ISDA; If, Revenue Impact; –Refer to PTI Working Group for Possible Enforcement Criteria creation. If, no Revenue Impact; –Refer through QUICS to NIS; –Consider Local Criteria for Monitoring Future Entries for Compliance.

Flow of Information Field to HQ ISDA Input; QUICS to NIS; PTI referral form; Quarterly discrepancy report.

Flow of Information HQ to the Field Status of ISDA input quality; Feedback on Targeting Effectiveness from Enforcement Criteria; Provide necessary training.

Summary CM eliminates the need to examine everything. The goal of CM is to determine the accuracy of entries filed as well as validating focused compliance programs. Determine Universe

Summary (cont.) Determine priority areas Assess risk (Lo to Hi) Notify stakeholders of agency compliance initiatives/programs. Informed Compliance/Shared Responsibility/Reasonable Care

Summary (cont.) Implement voluntary or shared compliance programs. Implement a statistically valid CM random sample. Record findings and take action as appropriate.

Summary (cont.) Expect 3 rd part review (GAO/IG) Assess, Change, Modify, Adapt, Refine CM = Quality Control