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Reducing Risk Through Internal Training: Measurement tools to assess training success WESCCON October 16, 2004

Sandler & Travis Trade Advisory Services, Inc. Reducing Risk Through Internal Training: Measurement tools to assess training success WESCCON October 16, 2004. What Areas Need to be Measured?. Internal Training Programs Procedures & Internal Controls Employee Performance & Expertise

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Reducing Risk Through Internal Training: Measurement tools to assess training success WESCCON October 16, 2004

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  1. Sandler & Travis Trade Advisory Services, Inc. Reducing Risk Through Internal Training:Measurement tools to assess training successWESCCON October 16, 2004

  2. What Areas Need to be Measured? • Internal Training Programs • Procedures & Internal Controls • Employee Performance & Expertise • Management Oversight

  3. Who Will Measure? • Company (Internal) • Customs & Border Protection • Customers

  4. Sandler & Travis Trade Advisory Services, Inc. Company:Internal Compliance Management

  5. Internal Training Programs • Subject Matter Curriculum: • Various levels (competencies) for personnel • Continuing education requirement • Effectiveness: • Testing on subject matter • Job security and advancement dependent upon completion and passing of courses • Attendance Lists • Review of Internal Procedures

  6. Procedures & Internal Controls • Testing of documented processes • Internal (or external) audit of key areas • Entry preparation • Classification & Preference Programs • Valuation • Recordkeeping • Financial obligations • Corporate responsibilities • Desk level procedures

  7. Employee Performance & Expertise • Knowledge of Compliance Areas • Commiserate with position • Completion of training courses (internal and external) • Competency (performance) • Random sampling of entries • Audit of key areas • Adherence to procedures • Account Relations • Speak to their accounts regarding customer service levels

  8. Management Oversight • Document review of competencies and weaknesses (internal audits; personnel growth) • Implementation of improvement plans

  9. Sandler & Travis Trade Advisory Services, Inc. Customs & Border Protection (CBP) Oversight

  10. CBP Oversight • Broker Audits • Corporate obligations • Transaction review • Procedures testing • Training programs • Client Focused Assessments • Relationship defined • Review of client SOP • Testing of compliance area expertise where client uses broker as their “expert” for reasonable care • Entry preparation

  11. Sandler & Travis Trade Advisory Services, Inc. Your Customers

  12. The Customer! • Relationship – Entry filer or compliance partner? • Do they rely on your company to be their “experts” in classification, valuation and preference programs? • Do you regularly review these areas of compliance with your customers? • During their Focused Assessment, will they hold the broker responsible for the accuracy of their entries? • Ultimately, the customer will decide how effective your internal processes and training programs are!!! • Definitive success measurement: $$$

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