Administrative Monetary Penalty System
C378

Contravention

Person failed to submit the prescribed pre-load/pre-arrival information relating to their cargo and/or conveyance.

Penalty

Occurrence Penalty
1st $2,000
2nd $4,000
3rd and subsequent $8,000
Penalty basis
Per instance
Retention period
12 months

Guidelines

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

This penalty is to be issued by Carrier, Postal and Courier Compliance (CPCC), Commercial Programs Directorate at Headquarters (HQ), against the party responsible for providing the required data.

The prescribed information shall be sent in accordance with the timelines, technical requirements, specifications and procedures 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. The cargo and/or conveyance data must be accepted and validated by the CBSA within the prescribed modal timeframes. In situations where the cargo and/or conveyance data is provided prior to arrival but not within the prescribed modal timeframes refer to penalty C379.

One C378 penalty will be issued per instance for each missing pre-arrival cargo record – up to 5 (five) instances – and one penalty will be issued per instance for the missing pre-arrival conveyance record (where applicable). The same penalty level will be assessed for all infractions discovered during the same examination or monitoring period.

Non-transmission of cargo reports and conveyance reports are separate instances. In a scenario where 5 or more pre-arrival cargo reports and the associated conveyance report are not transmitted, the maximum total of penalties must not exceed $12,000 for the first level, $24,000 for the second level, and $48,000 for the third and subsequent levels.

In instances where a Border Services Officer (BSO) finds a responsible party in contravention, the officer must forward this information to the Commercial Programs Directorate at HQ.

Example 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 FROB in the air or marine modes
  • A carrier does not address a reject notice within the prescribed timeframes and valid ACI is not on file (considered to be a non-transmission as per the Electronic Commerce Client Requirements Document)
  • A carrier transmits ACI after arrival at the port of entry

Exceptions/exemptions from transmitting pre-arrival information are listed in D-3.

For failure to notify CBSA of any correction see C381.

References

Regulation

Reporting of Imported Goods Regulations, section 29

D-Memo

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