Endstate Aci

Canada Border Services Agency eManifest End State ESPN Working Group Toronto – August 16, 2007

ACI – Pre-Arrival Transmission Requirements Risk-based, automated targeting against electronic carrier and cargo information transmitted before goods arrive in Canada, in order to detect high-risk shipments containing contraband or posing a threat to health, safety, and/or national security. Part of Canada-U.S.- Mexico commitment towards collective security and economic prosperity. April 2004: mandatory electronic, pre-arrival receipt and risk assessment of cargo and conveyance information from marine carriers for goods imported from offshore and transported by marine vessels PHASE I June 2006: mandatory electronic, pre-arrival receipt and risk assessment of cargo and conveyance information from air carriers and trans-border marine carriers PHASE II Highway and rail conveyance information; Highway and rail cargo information; Freight forwarder secondary cargo information in all modes; Crew information in all modes; Importer admissibility information in all modes PHASE III - eManifest

Risk-based, automated targeting against electronic carrier and cargo information transmitted before goods arrive in Canada, in order to detect high-risk shipments containing contraband or posing a threat to health, safety, and/or national security.

Part of Canada-U.S.- Mexico commitment towards collective security and economic prosperity.

April 2004: mandatory electronic, pre-arrival receipt and risk assessment of cargo and conveyance information from marine carriers for goods imported from offshore and transported by marine vessels

June 2006: mandatory electronic, pre-arrival receipt and risk assessment of cargo and conveyance information from air carriers and trans-border marine carriers

Highway and rail conveyance information;

Highway and rail cargo information;

Freight forwarder secondary cargo information in all modes;

Crew information in all modes;

Importer admissibility information in all modes

eManifest – Link To Advance Commercial Information (ACI) Carriers will provide electronic cargo and conveyance / crew information as follows: Freight forwarders will provide electronic secondary / supplementary cargo information as follows: Importers will provide electronic admissibility information as follows: CBSA validates, risk assesses shipment, and makes admissibility or examination recommendation prior to arrival in Canada Air 4 hours prior to arrival or at departure 4 hours prior to arrival or at departure 4 hours prior to arrival or at departure Highway 1 hour prior to arrival 1 hour prior to arrival 1 hour prior to arrival Rail 2 hours prior to arrival 2 hours prior to arrival 2 hours prior to arrival Marine 24 hours prior to loading 24 hours prior to loading 24 hours prior to arrival

CBSA Freight Forwarder Importer / Broker Physical Border Prior To Arrival Arrival Warehouse Examination PIL PIL Cargo, Conveyance, Crew Entry / exam Decision ADVANCE COMMERCIAL INFORMATION Information préalable sur les expéditions commerciales Confirmation Confirmation US CBP Post Arrival Secondary Cargo Admissibility Data Confirmation 24 hours prior to loading 4 hours prior to arrival 2 hours prior to arrival 1 hour prior to arrival Confirmation of In-transits eManifest / ACI End State Web Portal Option Web Portal Option Web Portal Option Carrier Business Intelligence

eManifest End State Processes – Highway CURRENT PROCESS Before Border At Border After Border NEW PROCESS Data provided to CBSA officer as shipment reaches border CBSA Officer conducts risk assessment of information available on hand and determines whether further assessment of shipment is required Warehouse examination based on information provided and information on hand Low High Low High Low High No requirement for electronic pre-arrival data Risk assessment performed on this data Post release trade verifications At least one hour prior to arrival data transmitted to CBSA Within one hour CBSA electronically confirms receipt of data, conducts automated risk assessment of shipment and determines if further review by an officer is required Make entry / examination recommendation Low High Data to enhance ability to target, screen, and detect trends and patterns Compliance management activities will be conducted to monitor data quality, etc Automated management reports will be generated to monitor program effectiveness and results Post release trade verifications Low High Shipment / crew data confirmed, linked to previously sent risk-assessed data, decision Examination (if required) Low High

Data provided to CBSA officer as shipment reaches border

CBSA Officer conducts risk assessment of information available on hand and determines whether further assessment of shipment is required

Warehouse examination based on information provided and information on hand

No requirement for electronic pre-arrival data

Risk assessment performed on this data

Post release trade verifications

At least one hour prior to arrival data transmitted to CBSA

Within one hour CBSA electronically confirms receipt of data, conducts automated risk assessment of shipment and determines if further review by an officer is required

Make entry / examination recommendation

Data to enhance ability to target, screen, and detect trends and patterns

Compliance management activities will be conducted to monitor data quality, etc

Automated management reports will be generated to monitor program effectiveness and results

Post release trade verifications

Shipment / crew data confirmed, linked to previously sent risk-assessed data, decision

Examination (if required)

eManifest End State – IT Prerequisites and Capacity Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE Data Warehouse / Business Intelligence DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Benefits: Each line of business (i.e People or Commercial) will be able to develop, test and implement systems changes and upgrades independently, allowing CBSA to meet its business objectives and commitments, by reducing time to market. The IT Pre-Requisites for SPP will reduce the level of complexity of systems integration within CBSA. Description: Aimed at identifying and addressing issues within the current systems development process and infrastructure, including CBSA’s testing methodology and configuration, with the overall goal of improving the time to market and independence between lines of business, while maintaining service level objectives and quality expectations. There will be a significant increase in processing requirements with eManifest including upgrades to hardware, CPU, memory and data storage to support eManifest. The current model for systems development and implementation is highly integrated, hampering the delivery of new functionality. Lines of business cannot independently schedule and implement software releases.

Benefits:

Each line of business (i.e People or Commercial) will be able to develop, test and implement systems changes and upgrades independently, allowing CBSA to meet its business objectives and commitments, by reducing time to market.

The IT Pre-Requisites for SPP will reduce the level of complexity of systems integration within CBSA.

Description:

Aimed at identifying and addressing issues within the current systems development process and infrastructure, including CBSA’s testing methodology and configuration, with the overall goal of improving the time to market and independence between lines of business, while maintaining service level objectives and quality expectations.

There will be a significant increase in processing requirements with eManifest including upgrades to hardware, CPU, memory and data storage to support eManifest.

The current model for systems development and implementation is highly integrated, hampering the delivery of new functionality. Lines of business cannot independently schedule and implement software releases.

eManifest End State – Electronic Reporting Description: Entirely electronic reporting environment in which carriers, freight forwarders, brokers, and importers will electronically transmit information related to conveyances, cargo, crew and importer admissibility data. Benefits: Paperless transactions. Less time spent at physical border. CBSA can target high risk more effectively. Ensures information to / from CBSA in a timely manner. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting RISK REPORTING Data Warehouse / Business Intelligence IT Prerequisites IT

Benefits:

Paperless transactions.

Less time spent at physical border.

CBSA can target high risk more effectively.

Ensures information to / from CBSA in a timely manner.

eManifest End State – Notification System Description: The electronic confirmation of receipt of data from trade chain partners will be enhanced to include messages such as, status notifications, event reporting, requests for information, hold notices and notification to proceed to the border. Benefits: Encourages better communication between trade chain partners. CBSA provides electronic tools for those responsible for providing pre-arrival information so that the carrier will know at what point they can advance to the border . The notification system will provide a more transparent and informed border clearance process. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Data Warehouse / Business Intelligence

Benefits:

Encourages better communication between trade chain partners.

CBSA provides electronic tools for those responsible for providing pre-arrival information so that the carrier will know at what point they can advance to the border .

The notification system will provide a more transparent and informed border clearance process.

eManifest End State – Automated Risk Assessment Description: Automated risk assessment of all electronic data. eManifest risk assessment will enable examination or admissibility decisions to be made before any shipment arrives in Canada. Changes are being undertaken to: Sustain risk assessment processing within reduced timeframes; Allow for the concurrent risking of multiple records; Risk assess importer admissibility information; Enhance user screen displays; and, Ensure capability to meet sharp increase in volumes and short turnaround times that exist in highway and rail modes. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Benefits: CBSA will increase its ability to target, screen, and detect patterns and trends Pushes out borders by risk assessing information prior to arrival Aligns resources with high risk shipments –effectively facilitating entry of low risk shipments Integrates admissibility of driver/crew Data Warehouse / Business Intelligence

Description:

Automated risk assessment of all electronic data. eManifest risk assessment will enable examination or admissibility decisions to be made before any shipment arrives in Canada. Changes are being undertaken to:

Sustain risk assessment processing within reduced timeframes;

Allow for the concurrent risking of multiple records;

Risk assess importer admissibility information;

Enhance user screen displays; and,

Ensure capability to meet sharp increase in volumes and short turnaround times that exist in highway and rail modes.

Benefits:

CBSA will increase its ability to target, screen, and detect patterns and trends

Pushes out borders by risk assessing information prior to arrival

Aligns resources with high risk shipments –effectively facilitating entry of low risk shipments

Integrates admissibility of driver/crew

eManifest End State – Internet Portal Description: A secure, and widely accessible option for clients to connect with the CBSA: Clients will be able to submit electronic information to the CBSA, query and verify status of shipments. Benefits: Supports trade community’s ability to report and track shipments. Establishes the foundation for Single Window & Account based processing. A mechanism for trade chain partners to communicate with CBSA before they arrive at the border. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting RISK REPORTING Data Warehouse / Business Intelligence IT Prerequisites IT

Benefits:

Supports trade community’s ability to report and track shipments.

Establishes the foundation for Single Window & Account based processing.

A mechanism for trade chain partners to communicate with CBSA before they arrive at the border.

eManifest End State – Passage Description: An integrated system for officers working at the Primary Inspection Line (PIL) that will provide them with a streamlined, user-friendly interface for border processing that will enable more informed decisions by the Border Services Officer. Benefits: Integrates existing systems- improves processing times. Supports valuable capacity of displaying driver pictures (Picture in Booth) to confirm the identity of drivers participating in the Free and Secure Trade (FAST) Driver Registration Program. Supports enhanced usability by reducing the number of screens and passwords (single logon) thereby reducing sign in time and expediting the clearance of low-risk shipments. Interoperable with Transponders /Smart Card technologies. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Data Warehouse / Business Intelligence

Benefits:

Integrates existing systems- improves processing times.

Supports valuable capacity of displaying driver pictures (Picture in Booth) to confirm the identity of drivers participating in the Free and Secure Trade (FAST) Driver Registration Program.

Supports enhanced usability by reducing the number of screens and passwords (single logon) thereby reducing sign in time and expediting the clearance of low-risk shipments.

Interoperable with Transponders /Smart Card technologies.

eManifest End State – Data Warehouse / Business Intelligence Description: A Data Warehouse, which is a collection of CBSA information from various operational databases, will be designed to gather, store, analyze, and manage a substantial volume of information for the purpose of creating business intelligence. CBSA will use Business Intelligence to make logical and relevant risk assessment decisions from collected information. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE Data Warehouse / Business Intelligence DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Benefits: Will better position CBSA to make, more accurate and effective risk assessment decisions. Data will be housed and managed to provide the performance and flexibility needed to satisfy complex queries across the large amounts of data required for optimal risk assessment. Historical capability of Business Intelligence will allow CBSA to use data for analysis purposes, enabling effective targeting decision-making.

Description:

A Data Warehouse, which is a collection of CBSA information from various operational databases, will be designed to gather, store, analyze, and manage a substantial volume of information for the purpose of creating business intelligence.

CBSA will use Business Intelligence to make logical and relevant risk assessment decisions from collected information.

Benefits:

Will better position CBSA to make, more accurate and effective risk assessment decisions.

Data will be housed and managed to provide the performance and flexibility needed to satisfy complex queries across the large amounts of data required for optimal risk assessment.

Historical capability of Business Intelligence will allow CBSA to use data for analysis purposes, enabling effective targeting decision-making.

eManifest End State – Compliance Management and Reporting Description: CBSA requires tools and processes to measure the overall performance of clients and to ensure their compliance with CBSA requirements: Monitor client activities and relationships to determine levels of compliance and manage risk; Monitor integrity of trade data by ensuring that data rejects are low, errors are not recurring, data submitted is accurate, and data changes received are timely and are not too numerous; Produce a client’s performance history to users who are involved in compliance or risk assessment; and, Monitor program effectiveness. Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE DATA Compliance Management and Reporting IT Prerequisites IT RISK REPORTING Benefits: Program monitoring is critical to the ongoing enhancement of processes, programs and systems. Performance history will be useful for clients as a means to improve compliance. Post-release trade verifications and compliance and program monitoring will meet the CBSA provision of supporting security and safety, verifying the accuracy and compliance of client data. Data Warehouse / Business Intelligence

Description:

CBSA requires tools and processes to measure the overall performance of clients and to ensure their compliance with CBSA requirements:

Monitor client activities and relationships to determine levels of compliance and manage risk;

Monitor integrity of trade data by ensuring that data rejects are low, errors are not recurring, data submitted is accurate, and data changes received are timely and are not too numerous;

Produce a client’s performance history to users who are involved in compliance or risk assessment; and,

Monitor program effectiveness.

Benefits:

Program monitoring is critical to the ongoing enhancement of processes, programs and systems.

Performance history will be useful for clients as a means to improve compliance.

Post-release trade verifications and compliance and program monitoring will meet the CBSA provision of supporting security and safety, verifying the accuracy and compliance of client data.

DRAFT eManifest Deployment

Electronic Reporting Notification System Automated Risk Assessment Passage Internet Portal PASSAGE Data Warehouse DATA Business Intelligence and Reporting IT Prerequisites IT RISK REPORTING In Transit Freight Forwarder Highway Importer Rail Marine / Air Crew Integrated PIL Front Counter/Secondary Data Warehouse Advanced Analytics Spring 2008 Fall 2009 Spring 2011 eManifest - Proposed Deployment Plan Transponders 2008 2007 2006 2009 2010 2011

Deployment 1 Overview

EDI Highway Carrier Reporting Intransit Highway Pilot Internet Portal Passage Key Features of Deployment 1

EDI Highway Carrier Reporting

Intransit Highway Pilot

Internet Portal

Passage

EDI Data Elements August 16, 2007 DRAFT EDI Highway Reporting Deployment 1

Overview Method of Communicating with CBSA CBSA Internet Portal Process Flow Data Elements – Current Status Data Elements Tomorrow – Summary EDI Highway Cargo Report A8A (309) Key Design Issues

Method of Communicating with CBSA

CBSA Internet Portal

Process Flow

Data Elements – Current Status

Data Elements Tomorrow – Summary

EDI Highway Cargo Report A8A (309)

Key Design Issues

Method of Communicating with CBSA The Trade community has multiple ways of transmitting electronic data: ANSI X.12 (American National Standards Institute) UN/EDIFACT (United Nations / Electronic Data Interchange For Administration, Commerce and Transport ) EDI Mapping Standards

ANSI X.12 (American National Standards Institute)

UN/EDIFACT (United Nations / Electronic Data Interchange For Administration, Commerce and Transport )

Requirements are being developed in consultation with CBSA sponsor branches and external stakeholders. Carriers Builds on existing EDI Highway Datasets Freight forwarders Builds on existing EDI Supplementary data reported in Marine mode Importers Builds on EDI PARS data sets Data Elements – Current Status

Requirements are being developed in consultation with CBSA sponsor branches and external stakeholders.

Carriers

Builds on existing EDI Highway Datasets

Freight forwarders

Builds on existing EDI Supplementary data reported in Marine mode

Importers

Builds on EDI PARS data sets

Highway Cargo Report A8A (309)- Canadian EDI Highway MAP

Carrier prepares electronic cargo reports Carrier prepares electronic conveyance & crew report Carrier/service provider transmits data to the CBSA Importer/Broker submits EDI Data CBSA acknowledges receipt of information and sends notification Carrier approaches the border Driver presents bar-coded lead sheet to BSO Cargo is arrived, PARS flips to released Release notification sent to trade partners Process Flow

Carrier prepares electronic cargo reports

Carrier prepares electronic conveyance & crew report

Carrier/service provider transmits data to the CBSA

Importer/Broker submits EDI Data

CBSA acknowledges receipt of information and sends notification

Carrier approaches the border

Driver presents bar-coded lead sheet to BSO

Cargo is arrived, PARS flips to released

Release notification sent to trade partners

Process Flow

Additional Highway Data Elements - Cargo

Additional Highway Elements - Conveyance

Additional Highway Data Elements - Crew

Level of Harmonization Timing / Notification Broker Download/Secondary Notify Party Intermodal movements – flying trucks Key Design Discussion Points

Level of Harmonization

Timing / Notification

Broker Download/Secondary Notify Party

Intermodal movements – flying trucks

EDI Data Elements August 16, 2007 DRAFT Internet Portal

Overview Portal Deployment One Internet Portal Registration Submitting Trade Data Maintaining User Information in the Internet Portal Notices to Internet Portal Users Client Support for the Internet Portal Internet Portal Benefits and Impacts Internet Portal Future Builds

Portal Deployment One

Internet Portal Registration

Submitting Trade Data

Maintaining User Information in the Internet Portal

Notices to Internet Portal Users

Client Support for the Internet Portal

Internet Portal

Benefits and Impacts

Internet Portal Future Builds

Internet Portal Registration Users of the Internet portal will follow a three step registration process to gain access to the portal. Step 1 CBSA will authenticate the applicant. Users will need to be give their authentication logon id before they can complete the Internet Portal Registration process.

Users of the Internet portal will follow a three step registration process to gain access to the portal.

Step 1

CBSA will authenticate the applicant.

Users will need to be give their authentication logon id before they can complete the Internet Portal Registration process.

Internet Portal Registration Step 2 Upon receiving an log in identification, the account owner will need to enter some personal information as; Name, DOB, Business e-mail address, Business Phone #, Fax # etc. The account owner will then need to enter information such as; Company Name, Company Address, Business Type, Client Identifier (ex. carrier code), etc. Once the information is transmitted to CBSA access to the portal will be determined.

Step 2

Upon receiving an log in identification, the account owner will need to enter some personal information as; Name, DOB, Business e-mail address, Business Phone #, Fax # etc.

The account owner will then need to enter information such as; Company Name, Company Address, Business Type, Client Identifier (ex. carrier code), etc.

Once the information is transmitted to CBSA access to the portal will be determined.

Internet Portal Registration Step 3 To be provided full access to the Internet portal, the account owner must complete testing with client support. Testing will include: submitting a manifest, submitting a change, and then deleting a manifest When testing is complete, the account owner will have full access to Portal functions

Step 3

To be provided full access to the Internet portal, the account owner must complete testing with client support.

Testing will include: submitting a manifest, submitting a change, and then deleting a manifest

When testing is complete, the account owner will have full access to Portal functions

Steps for Submitting Trade Data In line with the proposed eManifest deployment plan, the Portal will allow carriers to submit the following types of trade documents within the prescribed time frames: Complete Manifest (cargo + conveyance at once) Highway Cargo Highway Conveyance (including Crew) Data elements for reporting will be the same as reported by EDI filers. There will be a function to allow un-submitted (draft) documents to be saved for continuing later.

In line with the proposed eManifest deployment plan, the Portal will allow carriers to submit the following types of trade documents within the prescribed time frames:

Complete Manifest (cargo + conveyance at once)

Highway Cargo

Highway Conveyance (including Crew)

Data elements for reporting will be the same as reported by EDI filers.

There will be a function to allow un-submitted (draft) documents to be saved for continuing later.

Submitting Overview

Maintaining User Information in the Internet Portal Within each Portal account there will be the ability for users to: Add and maintain the following types of Lookups Equipment, Crew, Conveyance, Commodity and Party Read, print and delete System Messages sent from the CBSA in their ‘System Message’ box. Have access to a links page

Within each Portal account there will be the ability for users to:

Add and maintain the following types of Lookups

Equipment, Crew, Conveyance, Commodity and Party

Read, print and delete System Messages sent from the CBSA in their ‘System Message’ box.

Have access to a links page

The Internet portal will provide a 2-step notification process for submitted data. The first notification will be an acknowledgement that will confirm to the user that the CBSA system has received their submission. The second notification will be a status report. 1 st Notification 2 nd Notification Accept Reject Acquit CBSA has received your submission

The Internet portal will provide a 2-step notification process for submitted data.

The first notification will be an acknowledgement that will confirm to the user that the CBSA system has received their submission.

The second notification will be a status report.

Client Support for the Internet Portal Internet portal users will be able to contact the client support office via telephone Users will also have 2 online help features; A general help feature that the user can access regardless of where they are in the portal. Each field will have a question mark at the end of it where the user can click on it to get help filling out that certain field.

Internet portal users will be able to contact the client support office via telephone

Users will also have 2 online help features;

A general help feature that the user can access regardless of where they are in the portal.

Each field will have a question mark at the end of it where the user can click on it to get help filling out that certain field.

Internet Portal Key Benefits of Deployment One The CBSA Internet portal will provide access for Highway carriers to voluntarily submit eManifests and manage account date Key Impacts Demonstrates commitment to move to a paperless environment. An option for all carriers, including small and medium sized companies, to submit electronic trade data to CBSA. Develop the framework and infrastructure for next iteration of eManifest

Key Benefits of Deployment One

The CBSA Internet portal will provide access for Highway carriers to voluntarily submit eManifests and manage account date

Key Impacts

Demonstrates commitment to move to a paperless environment.

An option for all carriers, including small and medium sized companies, to submit electronic trade data to CBSA.

Develop the framework and infrastructure for next iteration of eManifest

Internet Portal Future Builds Queries and Reports Submitting Secondary Cargo information Importer Admissibility Reporting Reporting in other modes

Queries and Reports

Submitting Secondary Cargo information

Importer Admissibility Reporting

Reporting in other modes

EDI Data Elements August 16, 2007 DRAFT Highway Passage Deployment One

Background What is Highway Passage? New tools for Border Services Officers to facilitate processing goods and people at Ports of Entry. Passage includes the following components, which will be deployed in multiple phases: First Point of Arrival Processing Front Counter Processing Secondary Processing Inland Arrival Processing Management Reporting

What is Highway Passage?

New tools for Border Services Officers to facilitate processing goods and people at Ports of Entry.

Passage includes the following components, which will be deployed in multiple phases:

First Point of Arrival Processing

Front Counter Processing

Secondary Processing

Inland Arrival Processing

Management Reporting