Pre-Arrival Targeting
Evaluation Study

Notes

1. "High-risk" refers to any good or person representing a threat to the health, safety, security and prosperity of Canada. Threats are many and diverse. In the air, marine, highway and rail modes of transportation, targeting efforts focus on illegal immigrants/inadmissible persons, terrorism, obscenity and hate propaganda, weapons of mass destruction, contraband and smuggling. Included are also firearms and items made from endangered plant and animal species, as well as commercial fraud, and the improper entry of regulated goods. [Return to text]
2. "Travellers" is used to refer to passengers arriving in Canada by airplane, ferry, cruise ship, train or bus, as well as the crew members of a commercial vessel or aircraft. "Goods" refers to both cargo and conveyances. Goods brought in by travellers arriving in Canada by airplane, ferry, cruise ship or commercial vessel are considered under the targeting of "travellers". [Return to text]
3. The identification of a person or good to be intercepted based on pre-arrival information to be referred to secondary processing for further examination is called a watch-for, target or lookout. For the purposes of this report, all CBSA staff involved in using advance information to identify travellers and/or goods posing potential risks will be called "targeters". [Return to text]
4. In December 2003, the Government of Canada created the CBSA to integrate the front-line border management and enforcement activities of three agencies: the Customs Branch of the former Canada Customs and Revenue Agency, immigration services at ports of entry and most of the Intelligence and Enforcement programs of Citizenship and Immigration Canada, and the Import Inspection at Ports of Entry program of the Canadian Food Inspection Agency. [Return to text]
5. This figure was arrived at by adding Public Safety and Anti-Terrorism Initiative funding for the activities covered under this evaluation. [Return to text]
6. The CBSA was created in 2003 with the consolidation of the border security and intelligence functions of the former Canada Customs and Revenue Agency, Citizenship and Immigration Canada and the Canadian Food Inspection Agency. [Return to text]
7. Source: www.cbsa-asfc.gc.ca/agency-agence/who-qui-eng.html. [Return to text]
8. Source: CBSA internal statistics and CBSA Departmental Performance Report 2006-2007. [Return to text]
9. There are 24 "rail depots" with a United States crossing. Source: CBSA Internet. [Return to text]
10. Sources: Figure 1 - CBSA DPR 2006-2007; Figure 2 - www.cbsa-asfc.gc.ca/agency-agence/stats/enforce-execution-eng.html and CBSA DPR 2006-2007. Marine vessels include cargo ships, cruise ships, small pleasure craft and ferries. [Return to text]
11. The Customs Act; the Privacy Act; the Access to Information Act; the Passenger Information (Customs) Regulations; the IRPA Protection of Passenger Information Regulations; the Highway Commercial Contraband Targeting Program Manual; the Highway Commercial Contraband Targeting Course; the Air Passenger Contraband Targeting Program Manual; the Marine Commercial Contraband Targeting Program Manual; the CCRA - Customs and Trade Administration Blueprint 1998; the Risk Management, Customs Border Services, Discussion Paper 1996; the Risk Management in Customs 2000, Border Management Plan; Memorandum D1-16-1, Explanation of Section 107 of the Customs Act; Memorandum D1-16-2, Interim Administrative Guidelines for the Provision to Others, Allowing Access to Others, and Use of Customs Information; Memorandum D1-16-3, Administrative Guidelines for the Provision to Others, Allowing Access to Others and Use of Passenger Name Record (PNR) Data [Return to text]
12. Immigration and Refugee Protection Regulations:Advance passenger information 269. (1) On the request of an officer, a commercial transporter must provide on departure of their commercial vehicle from the last point of embarkation before arriving in Canada the following information in writing on each person carried:
    1. their surname, first name and initial or initials of any middle names;
    2. their date of birth;
    3. the country that issued them a passport or travel document or, if they do not have a passport or travel document, their citizenship or nationality;
    4. their gender;
    5. their passport number or, if they do not have a passport, the number on the travel document that identifies them; and
    6. their reservation record locator or file number. [Return to text]
13. The initiative started as a joint operation between the former Canada Customs and Revenue Agency and Citizenship and Immigration Canada. [Return to text]
14. Via the Airline Reservation System, the Departure Control System at the departure gate, and/or the travel agent booking system. [Return to text]
15. The collection of PNR data is governed by the IRPA Regulations 269 (2), the IRPA Protection of Passenger Information Regulations, the Passenger Information (Customs) Regulations 3 (1), and the Agreement between the Government of Canada and the European Community on the Processing of Advance Passenger Information and Passenger Name Record Data. [Return to text]
16. Prior to 2004, Vancouver, Toronto and Montréal each had a unit to review incoming international flights for dangerous persons. Between September 2002 and March 2003, Vancouver International Airport and Miami International Airport participated in a Joint Passenger Analysis Unit pilot project as part of the HRTI initiative, which contributed to the foundation of the other regional PTU/PAUs. [Return to text]
17. Of Canada's 13 international airports, 8 have targeters. Some of these PTU/PAUs may target flights for other airports as well. Of course, all CBSA-staffed airports screen all incoming travellers upon arrival at the primary inspection line (PIL), whether or not they are screened by NRAC or a PTU/PAU. [Return to text]
18. In Vancouver, during the off-season for cruise ships, responsibility for the screening of crew members on commercial vessels falls on VTUs, which are responsible year-long for screening the vessels themselves. [Return to text]
19. Phase I began on April 19, 2004, requiring marine carriers to electronically transmit marine cargo data to the CBSA 24 hours prior to loading cargo at a foreign port. Phase II began on December 12, 2005, requiring air cargo and marine shipments loaded in the United States to electronically transmit data to the CBSA prior to arrival in Canada (see Table 3). In the near future, Phase III, called "eManifest," will require the electronic transmission of advance cargo and conveyance information from carriers for all highway and rail shipments. [Return to text]
20. Specifically, action point #18 - In-transit Container Targeting at North American Seaport Initiative. [Return to text]
21. Air cargo refers to any property (freight, mail or express) that is transported by air except passenger baggage. There is currently no advance information for goods arriving by air that fall under the Courier/Low Value Shipment (LVS) Program (goods valued at less than $1,600 that are not prohibited, controlled or regulated by an Act of Parliament or regulation). However, couriered goods arriving by air with a value greater than $1,600 are considered "cargo," and must therefore meet the advance information requirement. The ACTU also targets low-value shipments (using courier companies' computer systems). [Return to text]
22. Contains information such as the International Maritime Organization number, vessel name, country of registry, type of vessel, tonnage (both gross and net), shipping line, resident agent particulars, certificate expiry dates and routing. Vessel targeter databases also contain previous vessel referrals along with any prior enforcement action and seizure information. [Return to text]
23. The required time frame for reporting varies based on the type of report to be submitted to the CBSA and the point of origin. For conveyances (the vessels themselves), carriers departing from the United States can submit the reports 24 hours prior to arrival in Canada; for all other countries, 96 hours prior to arrival is the minimum. Carriers of containerized cargo and non-authorized bulk-break cargo not loaded in the United States have to submit a report 24 hours prior to loading. Carriers of all other cargo and cargo loaded in the United States must forward a report 24 hours prior to arrival in Canada, except for empty containers coming from the United States, which can be identified to the CBSA 4 hours prior to arrival. If the voyage is less than the reporting time frame required, reports must be transmitted upon departure. [Return to text]
24. Flynn, Stephen. (2004) America the Vulnerable: How Our Government Is Failing to Protect Us from Terrorism. HarperCollins Publishers Inc., New York, NY. [Return to text]
25. See Web site: www.visabureau.com/australia/travel-visa.aspx. [Return to text]
26. The following countries participated in the survey: Australia, China, Hong Kong, Indonesia, Korea, Malaysia, Papua New Guinea, Chinese Taipei and Thailand. [Return to text]
27. Source: www.spp.gov/factsheet.asp. [Return to text]
28. Source: www.cbsa-asfc.gc.ca/agency-agence/who-qui-eng.html. [Return to text]
29. Flynn, Stephen. (2004) America the Vulnerable: How Our Government Is Failing to Protect Us from Terrorism. HarperCollins Publishers Inc., New York, NY. p. 87. [Return to text]
30. Source: www.cbc.ca/canada/story/2007/04/27/melamine-cfia.html. [Return to text]
31. Standing Committee on Public Safety and National Security, Counterfeit Goods in Canada - A Threat to Public Safety, May 2007, p. 7. [Return to text]
32. HS codes are series of 6 numbers used for international trade purposes to identify imported commodities. The WCO assigns a number for each traded commodity. The code is used primarily for determining appropriate rates of duty and for maintaining national trade statistics. Individual countries may assign additional digits beyond the 6-digit level to commodities; Canada uses a 10-digit number called the classification number.
    
    Dunnage refers to materials used in holds and containers to protect goods and packaging from moisture, contamination and mechanical damage. It may include plastic films, jute coverings, tarpaulins, wood (such as palletting and crates), rice matting, non-woven liner bags and inlets (source: www.tis-gdv.de/tis_e/misc/garnier.htm). [Return to text]
33. A number of new policies and procedures manuals have been recently developed, including the ACI Air Targeting Concept of Operations: GTA Pilot Project (May 28, 2006), the SOPs ACI Transborder Marine Procedures: Targeting and Referral of Shipments (April 24, 2007) and the SOPs ACI Marine Mode Procedures: Referral of Shipments (June 8, 2006). [Return to text]
34. Based on site visits, interviews with regional management, chiefs and superintendents, and group interviews with targeters, local knowledge may be operationally defined as an understanding of the patterns of commercial and charter traffic and trip chains, carriers and freight forwarders, importers, exporters and commodities of trade that are common or typical for the region. This understanding is augmented by a targeter's experience as a BSO, as well as living in the area that would give him/her a dynamic awareness of, but not limited to, current and historical events, the timing of cultural and community events and the likely participants in these events, the status and locations of local industries and businesses, and the activities and areas frequented by organized crime groups. [Return to text]
35. NRAC training covers items such as understanding the data, using the systems, analyzing the data, issuing lookouts and learning about data sharing protocols. [Return to text]
36. There was also some training provided for commercial air targeters and BSOs prior to the full implementation of TITAN Air, but it was generally viewed as insufficient. [Return to text]
37. The Human Resources Branch compiled a draft catalogue identifying approximately 226 training products, which are currently available and delivered by the CBSA. [Return to text]
38. A small percentage of air travellers arrive without submitting advance information to the CBSA (e.g. API is not required for small/personal aircraft). [Return to text]
39. Charter airlines differ from "scheduled air carriers" or "commercial carriers" as charters rent an entire aircraft to tour companies that purchase blocks of seats (i.e. a traveller cannot purchase a ticket directly from the airline). There are also a number of exceptions to federal aviation regulations for charters. [Return to text]
40. Memorandum D2-5-11, Administrative and operational guidelines for commercial carriers for the processing of passenger information pursuant to the requirements of the CBSA API/PNR Program, point #11, May 31, 2006. [www.cbsa-asfc.gc.ca/publications/dm-md/d2/d2-5-11-eng.html] [Return to text]
41. The zero-rated C355 was implemented in February 2004 for an introductory period of three months to serve as a warning to carriers prior to issuing the monetary penalty (C354). Now, C355 serves as a warning to new carriers. However, it is rarely issued. [Return to text]
42. The penalty will be waived if there is a reasonable explanation (e.g. a CBSA system failure or a carrier system failure) and the airline notified the CBSA in advance and made an effort to provide the information via another means. The maximum penalty per airline per flight is $3,000. [Return to text]
43. The information collected includes the following: name, gender, Amtrak guest rewards number, one contact number, credit card information (name, type, number and date of expiration), billing address and mailing address. Source: https://tickets.amtrak.com/itd/amtrak. [Return to text]
44. Marine cargo not risk-assessed between April 2005 and March 2006 was 0.16%; air cargo was a new program, with statistics only for July 2006 to May 2007, with 2.97% not screened (2.35% for July to December 2006 and 0.62% for January to May 2007). [Return to text]
45. Estimate calculated by the Evaluation Division from ISTB data. [Return to text]
46. Discussions relating to ACI Air between the CBSA and the private sector started approximately 14 months before its implementation. Stakeholders were consulted on various issues pertaining to the electronic submission of ACI and were also given five options as to how they could transmit the data to the CBSA. In addition, carriers received a list of service providers that offered either the direct service or the necessary software. Furthermore, while carriers were required to be fully compliant by submitting all reports electronically by June 2006, they were granted a one-month grace period to July 2006. [Return to text]
47. Interviewed stakeholders at HQ reported that this concession was made to address freight forwarders' concerns that the submission of ACI to carriers may provide carriers with direct access to their import and export clientele.[Return to text]
48. There is a memorandum of understanding between the Canada Revenue Agency (CRA) and the CBSA that stipulates that the CRA will continue to house, maintain and update the CBSA's electronic systems. [Return to text]
49. This mathematical model was based on theoretical assumptions as the amount of drugs and other contraband entering Canada is not known. [Return to text]
50. This new algorithm is based on the probability of a container of being "dirty." This proposed algorithm is estimated to be 24% more effective than the current TITAN algorithm, and 60% more effective than using no risk scoring at all. [Return to text]
51. Sources: interviews with CBSA stakeholders and internal audit documentation (e.g. the Audit of Information Technology Systems Under Development - Phase 2 and the ACI-EDI Reporting for Air - Internal Audit Report, July 2007). [Return to text]
52. Measuring containers is a convoluted task as there are a variety of terms used  to describe cargo shipments, such as manifest, items, shipments and containers. [Return to text]
53. Source: CBSA management using CMRS data. Figures for 2005-2006 do not include transborder marine cargo between April and June 2005. [Return to text]
54. Data supplied by the Borders Enforcement Division, Air and Highway Section. A single air cargo report can have multiple cargo manifests attached to it. [Return to text]
55. Data provided by the chiefs/superintendents of CBSA ports. [Return to text]
56. Source: Internal CBSA documents [Return to text]
57. The following areas received PSAT Initiative funding under the API/PNR program: ISTB systems including development, implementation and maintenance, the Admissibility Branch, the Comptrollership Branch, the Enforcement Branch, the Strategy and Coordination Branch, the Human Resources Branch, the Operations Branch and the Legal Services Branch, and various regions including Atlantic, Quebec, Northern Ontario, GTA, Prairies and Pacific. Under the ACI program, PSAT Initiative funding was designated for the following areas: Harmonized Commercial Targeting, HRS-ATD, and In-Transit Container Targeting (i.e. JTI targeters). [Return to text]
58. Source: Audit of IT Systems Under Development - Phase 3 and the API/PNR Risk Scoring - Internal Audit Report, July 2007, p. 6-7. [Return to text]
59. Source: Audit of IT Systems Under Development - Phase 2 and the ACI-EDI Reporting for Air - Internal Audit Report, July 2007, p. 7. [Return to text]
60. Source: Australian Customs Service Annual Report 2005-2006 and 2006-2007, www.customs.gov.au. [Return to text]
61. Sources: http://www.cbp.gov/. Digest of FY2008 Budget by Activity and FYHSP Program, found at http://www.cbp.gov/xp/cgov/newsroom/
    fact_sheets/budget/fy08_context_table.ctt/fy08_context_table.pdf. [Return to text]