E656 – Customs Self Assessment Program Carrier Application – Part II

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The Customs Self Assessment (CSA) program is a progressive new trade option that offers approved carriers the benefits of a streamlined clearance option for CSA eligible goods.

Do you qualify for the CSA program?

You may qualify for the CSA program if you:

How do you apply to the CSA program?

Approval to use the CSA program requires you to successfully complete a two part application process:

You are required to provide documentation that accurate cargo reporting exists and that the appropriate audit trails and linkages are in place to support the CSA clearance process.


Applications must be completed by an authorized officer of your company and forwarded to the CSA/FAST Carrier Compliance Unit, located at the address provided at the end of this application. If you do not complete all sections, the application may be returned to you.

This part of the application includes:

Section A - Applicant Identification
Section B - Books and Records
Section C - Certification of Part II

If you need more space to answer a question, attach a separate sheet of paper cross-referenced to the corresponding question.

More Information

If you need more information about the CSA program, or would like help completing the application, please visit our website at www.cbsa-asfc.gc.ca

The CBSA reserves the right to request additional information for the purposes of this application process.

Note: As part of the CSA application process, the carrier must demonstrate that their business systems are able to provide accurate controls and maintain appropriate audit trails. This includes internal controls and links from the initial order through to final billing. In addition to current procedures, there are additional requirements that must be met specifically related to the CSA program. It is recommended that you review questions 11-14(b) before proceeding to ensure that you will be able to meet those requirements.

Section A - Applicant Identification

Name of Legal Entity

Language of Correspondence

Company Operating Name

Business Number

Carrier Code

Number of years that this applicant has transported goods into Canada

Business address (Street no., P.O. box no. and/or RR no.)


Province or state


Postal or zip code

Telephone number

Fax number

Mailing address (if different from above) (Street no., P.O. Box no. and/or RR no.)


Province or state


Postal or zip code

Telephone number

Fax number

Please provide a copy of your Articles of Incorporation (or the first page from your company minute book), including a copy of the nomination of each officer with their title.

Trading, operating, or partnership name(s)

CSA contact Name (last name)

First name


Email address

CSA Contact mailing address (if different from above) (Street no., P.O. Box no. and/or RR no.)


Province or state


Postal or zip code

Telephone number

Fax number

Fiscal year end date

Address and location of where your books and records are retained

What border crossings do you normally use? (Attach list if you require more space)

Please list all other company carrier codes and names associated with your company, not previously identified

Carrier code

Carrier name(s)

Is your company a division (separate legal entity) of a parent company?

Have any related divisions made application to the CSA program?

Do you contract owner operators?

Indentify the number of owner operators you intend to use to transport CSA goods into Canada.

Section B - Books and Records

Are the same dispatch procedures used for all clients (contracts)?

If No please complete a separate application for each dispatch procedure used.

Dispatch System

1. (a) What type of system is used to control the movement of shipments? (check one)

(b) If automated, please provide the name of the dispatch software used.

(c) If manual, please describe what records are retained, and how loads are booked and dispatched.

(d) Do you share your dispatch system with any other division or carrier? (check one)

(e) Do you have more than one dispatch location?

If yes, how many?


2. How is/will eManifest data be transmitted to the CBSA? (select ail that apply)

Control Number

Note: The control number must be assigned by the carrier applicant prior to dispatch and must be used to identify the shipment. If you use different control systems for different clients or terminals, please answer the questions for each client or terminal.

3. (a) What is your Control Number (PRO Number, Trip Number, Order Number, etc.), who issues the control number and when in the process is it generated?

(b) Is the Control Number assigned in a sequential manner with all numbers accounted for (including deleted, voided or cancelled numbers)?

4. Do all documents, pertaining to each shipment, reference this Control Number?

5. Is the Control Number system generated?

If not, how is it generated and recorded?

6. (a) Are there any prefixes or suffixes that indicate special circumstances (i.e. multiple pickup/drop-off etc.)

(b) If yes, please indicate the circumstances in which prefixes or suffixes are used and what they mean.

7. Does your Control Number ever repeat?

If so, how frequently?


8. How are shipment orders received (by phone, fax, email, scheduled runs, contracts, sales etc.)?

9. Please describe how are shipments linked from sales through to billing? Please demonstrate the linkages between Sales, Dispatch, Process, Delivery and Billing by providing screen prints from load booking through to billing for automated systems, and a detailed description of the linkages for manual systems.

10. How long do you retain all documents (paper or scanned images) related to a Canada-bound shipment?

Note: It is the CSA approved importer that determines which goods are eligible for the CSA service option. Not all shipments for a CSA approved customer contain eligible CSA goods or are consigned to a CSA eligible consignee. Therefore, at time of the order, the CSA carrier must be able to differentiate between shipments that will be reported using the CSA service option and those that will be reported under another service option (e.g. PARS)

11. How will you identify an approved CSA importer/customer in your system? Attach as screen print of your customer profile screen. If you have a manual system, how will you identify an approved importer/customer?

12. (a) How will you be advised, at the time of order entry, that a shipment is eligible for CSA?

(b) When you have been advised that a shipment is eligible for CSA, how will you permanently identify the shipment in your system? Attach a screen print from your system or a copy of your paper record showing the CSA indicator.

(c) Can the CSA indicator be removed if the shipment is reported to the CBSA using a non-CSA service option?

(d) If you answered yes to question 12(c), who has authority to remove the CSA indicator?

13. How will dispatch identify approved CDRP or FAST registered drivers? If automated, please provide a screen print of the driver profile screen.

Note: It is the carrier's responsibility to ensure CDRP or FAST registered driver presents the following required information in approved barcode format:

The carrier code and importer number barcodes must be provided to the CBSA for testing prior to CSA approval. Please see barcode specifications found in D23-2-1, appendix B https://www.cbsa-asfc.gc.ca/publications/dm-md/d23/d23-2-1-eng.html

14. (a) How will the CDRP or FAST registered driver be made aware that a shipment is eligible for CSA?

(b) How will the CDRP or FAST registered driver receive the approved CSA barcodes?

15. Is the status of the shipment updated in the dispatch system at specific points during the trip (i.e. pick-up, enroute, delivery etc.)?

If so, what statuses are used, and when/how are they updated?

Note: Section 20(2) of the Customs Act, Transportation of Goods Regulations SOR/86-1064, paragraph 5, and D3-1-8 paragraphs 43, the following requirement must be met:

16. (a) What are the steps that will be taken to check your records to identify any of these shipments (Attach screen prints or copies of documentation to illustrate)?

(b) How often will these steps be taken?

(c) How will you advise CBSA of the details of these shipments when identified?

17. Proof of delivery must be maintained for goods that have been "Authorized to deliver".What will the proof of delivery be for CSA shipments and how will it be filed?

18. Once the shipment is delivered, how is the paperwork submitted (trip envelope, etc) and how is it reference to the Control Number?

19. When the documentation pertaining to a shipment is returned by the driver, is there a designated person who is responsible to ensure that all required documents (e.g. proof of report and proof of delivery documents) have been provided?

20. What is your procedure for tracing missing proof of report and proof of delivery documents?

21. How are brokered loads identified in your system?

22. (a) If you broker loads to other carriers how do you know that the shipment has been delivered and what documentation do you receive from the delivering carrier?

(b) Do other carriers have permission via Letter of Authority to report goods to the CBSA using your carrier code?

23. Please describe your company's manual or automated billing system. Please include the name of the billing/accounting software.

24. Are the Invoice Number and Control Number the same?

If different, how is the Control Number referenced on the invoice?

Sample Documents and Reports

Note: As per the Accounting for Imported Goods and the Payment of Duties Regulations, paragraph 10.5, 10.6 and Schedule 3 (CSA Carrier Information) and D23-2-1, paragraph 39 and 40, the following requirement must be met:

25. CSA approved carriers will be required to be able to provide detailed listings of all shipments for a specified period of time. Attach a list or printout of at least 100 sequential shipments, (including Canada-bound, US-bound and domestic). There should be no gaps in the sequential control numbers in this listing, and any gaps identified must be explained. This list or printout must include but is not limited to:

26. CSA approved carriers must be able to provide detailed listings of all Canada-bound shipments for a specified period of time. Attach a list or printout for a 1-month period beginning with the 1st Canada-bound shipment identified on the all-inclusive shipment listing provided in question 25. These shipments must have originated outside of Canada and been delivered to a consignee in Canada. This list should be in the form of a report either generated directly from your system or prepared manually. The list must include, but is not limited to, the information below:

27. For the 1st shipment listed on the Canada-bound Shipment Listing provided in question 26 provide a copy of all supporting documents and/or screen prints. Supporting documents may include but are not limited to bill of lading, waybill, invoice, CBSA control document, dispatch record, proof of release.

Note: As per the Accounting for Imported Goods and the Payment of Duties Regulations, paragraph 10.5, 10.6 and Schedule 3 (CSA Carrier Information) and D23-2-1, paragraphs 42, 43 and 44 the following requirement must be met: CSA carrier is required to have a CSA indicator in their dispatch system and be able to generate an accurate report of all CSA reported shipments.

28. (a) CSA approved carriers are required to be able to provide a detailed list showing all shipments that were reported using the CSA service option, for a specified period of time. If an automated system is used, you must substantiate that you can extract an accurate CSA list. Applicants running an automated system are required to create a CSA "test" shipment. Attach screen prints or copies of documentation to illustrate.

(b) Once you have created the CSA "test" shipment you must be able to generate a report either directly from your system or prepared manually. The list must include the same information as listed above in question 26, as well as the CSA indicator column.


The following questions relate to your company's internal controls and CBSA reporting procedures regarding shipment discrepancies discovered after crossing the border. Although this may not be a regular occurrence, you must have procedures in place discrepancies. Your procedures must adhere to the requirements outlined in CBSA Memorandum D3-1-1, Policy Respecting the Importation and Transportation of Goods, which may be viewed at http://www.cbsa-asfc.gc.ca/publications/dm-md/d3/d3-1-1-eng.html.

29. Overages, shortages and/or damaged freight.

(a) What process do company personnel follow when they become aware of overages, shortages and/or damaged freight? List the responsibilities of the drivers, shippers/receivers, dispatchers and other company personnel involved.

(b) How is the discrepancy identified within the audit trail for your delivery and billing systems?

(c) If an overage is found at the time of delivery on a shipment that has been reported to CBSA, what are your procedures for reporting the excess freight to CBSA, and who is responsible to make the report to the CBSA?

(d) If an overage or shortage is found prior to the shipment being reported to CBSA, what are your reporting procedures?

30. Lost, astray and refused freight.

(a) What are the procedures, in the event that cargo is on board and there is neither a shipper nor consignee as a point of contact? (i.e. goods that were not intended to be onboard the conveyance reported to the CBSA for which there are no shipping documents)

(b) In the case of international shipments, what are the procedures for reporting these goods to CBSA? List the responsibilities of the driver, shipper/ receiver, dispatcher and other company personnel involved.

(c) In the event that international freight is refused by the consignee in Canada, how would it be identified within the audit trail for that shipment?

(d) What are your procedures for reporting its new destination to CBSA?

Note: As per the Accounting for Imported Goods and the Payment of Duties Regulations, paragraph 10.8 and Schedule 3, paragraph 41; D23-2-1 paragraph 37 (e), the following requirements must be met: CSA approved carriers must maintain owner operator, warehouse and terminal Trade Chain Partner lists which may be requested at any time to present for verification.

31. (a) Maintain a listing (see below for format details) of the owner/operators who meet this definition, including the following information:

(b) What is the approximate frequency regarding turnover with the identified owner/operators?

Section C - Certification of Part II

It is a contravention of section 8 of the Customs Act to knowingly omit information or give false information in this application. You must inform the CBSA of any changes to the information you have provided in this application.

Please forward the completed application to the CSA application office listed below.

CSA Application Office
Canada Border Services Agency
Manager, CSA/FAST Carrier Compliance Unit
55 Bay Street North, 6th floor
Hamilton, ON
L8R 3P7

As an authorized officer of the applicant company, I certify that the information given on this form and in any attached document is, to the best of my knowledge, true and complete.

The completion of this application does not constitute authority to act as a CSA carrier. You will officially become a CSA approved carrier only after you have successfully completed the three part application process as outlined on page 1.

It is recommended that you do not make any CSA specific changes to your business systems until you have received confirmation of your part II submission from the CBSA.

The following is optional. You should only fill it out if you want to have your company's name posted on the Internet as a CSA carrier.

If the company I represent is approved as a CSA carrier, I authorize the Canada Border services Agency (CBSA) to post the company's name on their corporate website to identify this applicant as a CSA - approved carrier.

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