Administrative Monetary Penalty System
Contravention C378

Guidelines

Non-compliance occurs when the responsible party fails to provide the required pre-arrival or pre-load data.

The Commercial Program Directorate at Headquarters (HQ) is responsible for issuing this penalty against the party responsible for providing the required data.

The prescribed information must be sent in accordance with the timelines, technical requirements and specifications for electronic means, as set out in the Reporting of Imported Goods Regulations and the applicable Electronic Commerce Client Requirements Document (ECCRD).

This penalty applies when the required pre-arrival/pre-load information has not been submitted before arrival or loading, as applicable. Cargo and/or conveyance data must be accepted and validated by the CBSA within the prescribed timeframes for the relevant mode of transportation. If pre-arrival data is provided before arrival but outside of the prescribed timeframe, refer to penalty C379.

If the pre-load information is provided before loading, but outside of the prescribed timeframe, refer to penalty C379. In the event of a missing pre-arrival or pre-load cargo record, one C378 penalty will be issue for each instance. The same penalty level will be applied to all infractions identified during the same examination or monitoring period.

Cargo reports and conveyance reports are separate instances, and failure to transmit those reports are also separate. Where 5 or more pre-arrival/pre-load cargo reports and their associated conveyance reports are not transmitted, the maximum penalty amount will not exceed $12,000 for a first level infraction, $24,000 for a second level infraction, and $48,000 for any subsequent infraction.

Where an officer identifies a responsible party in contravention, they must forward this information to HQ via a Notice of Non-compliance (NoNC).

Penalties for this violation must be assessed by HQ.

The following are examples of non-compliance under C378:

• A carrier failed to transmit an electronic pre-arrival conveyance report
• A carrier failed to transmit an electronic pre-arrival cargo report
• A carrier failed to transmit an electronic pre-arrival Bay Plan in the marine mode
• A freight forwarder failed to transmit an electronic pre-arrival house bill and/or house bill close message, regardless of whether or not a paper house bill was submitted prior to arrival
• A freight forwarder failed to transmit an electronic pre-arrival supplementary cargo report for freight remaining on board (FROB) in the air or marine modes
• A carrier does not address a reject notice within the prescribed timeframe, and valid ACI is not on file (this is considered to be a non-transmission, as per the ECCRD )
• A carrier transmits ACI after arrival at the port of entry

The exceptions/exemptions from transmitting pre-arrival information are listed in D-3 memoranda.

For failing to notify the CBSA of any corrections, refer to contravention C381.

References

Regulation

Reporting of Imported Goods Regulations, section 29

D-Memo

• D3-1-1, Policy Respecting the Importation and Transportation of Goods
• D3-2-1, Air Pre-arrival and Reporting Requirements
• D3-3-1, Freight Forwarder Pre-Arrival and Reporting Requirements
• D3-4-2, Highway Pre-arrival and Reporting Requirements
• D3-5-1, Marine Pre-load/Pre-arrival and Reporting Requirements
• D3-6-6, Rail Pre-arrival and Reporting Requirements