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Importing 201 Agenda

I. U.S. CUSTOMS COMPLIANCE

1. 1. Regulatory Environment
   2. Reasonable Care
   3. Key Compliance Issues
   4. Common Importer Errors

II. CUSTOMS ENFORCEMENT

1. 1. Penalty Process
   2. Specific Elements Comprising the Monetary Penalties
   3. Audit Types and Triggers

III. THE FOCUSED ASSESSMENT PROCESS

1. 1. FA Process Overview
   2. Pre-Assessment Survey Process & Questionnaire
   3. Instructions for Focused Assessment Process
   4. Electronic Data Processing Questionnaire
   5. Technical Information for Pre-Assessment Survey (TIPS)
   6. Assessment Compliance Test (ACT)
   7. Risk Opinion Under Focus Assessment
   8. Compliance Improvement Plan (CIP)
   9. Focus Assessment Follow-Up Audit

IV. SPECIAL ISSUES WITHIN AN AUDIT

1. 1. Systemic Errors
   2. Timely Completion and Resolution of Issues
   3. Gray areas of HTS Classification
   4. Delay Requests to Apply for CTPAT
   5. Errors Disclosed and Prior Disclosures During an Audit
   6. Treatment of Ultimate Consignee Transactions
   7. Importer Quantification
   8. Prior Disclosure, Sampling, and Offset Practices Codified
   9. Conflict Resolution During and Audit

V. INTERNAL CONTROL

1. 1. Internal Control Summary by Component
   2. Evaluating The Control Environment, The Risk Assessment Process, Monitoring Activities
   3. Evaluating Information and Communications Process, The Control Activities
   4. Guidance for the Internal Control Interviewing Process
   5. COSO Internal Control-Integrated Framework
   6. Compliance Techniques

VI. RECORD KEEPING COMPLIANCE

1. 1. Requirements, Production, Inspection & Examination
   2. List of Records Required, to be Maintained and Produced Pursuant 19 U.S.C. § 1509 (a)(1)(A)

VII. CTPAT TRADE COMPLIANCE PROGRAM

VIII. STANDARD OPERATING PROCEDURES