U.S. Customs & Border Protection Enforcement Systems Branch Message Implementation Guideline for Airlines UN/EDIFACT PAXLST/CUSRES Message Sets v3.5 January 3, 2011 Document Number: 2099001-UN-IMPLEMENTATION-GUIDE-3.5 Suitable for Public Dissemination DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Executive Summary Background This document is based on the WCO/IATA/ICAO Advanced Passenger Information Guidelines, with Department of Homeland Security (DHS) additions, and contains the technical guidelines for carriers to follow in the preparation and transmission of the passenger/crew manifest data for processing by DHS. The technical guidelines are based on the DHS Consolidated User Guide (CUG) for APIS Pre-Departure and Secure Flight. A standard data format known as UN/EDIFACT – United Nations/Electronic Data Interchange for Administration, Commerce, and Trade – was adopted by the United Nations Economic Commission for Europe (UN/ECE). A version of the UN/EDIFACT “PAXLST” message set has been codified by the World Customs Organization (WCO) and the International Air Transport Association (IATA) for worldwide use by all scheduled air carriers and border control authorities. Additional PAXLST message segments, data elements, and code values have been defined by DHS as necessary to meet the requirements of U.S. regulations. Notes: 1. All examples in this document are fictional. There is no implication that any carriers operate flights with the numbers shown or fly these routes. Any resemblance to real people, their documents or itineraries, or any personal details, is strictly coincidental. Revision History Date Document ID Description of Revisions Location in Document Number 12/21/2010 2099001-UN- • Updated dates, format, and version • Entire Document Implementation Guide – 3.5 • Added “flights” • Data Elements • Edited • 6.3 Group Header (UNG) • Edited to say “crew only” • 6.10.1 LOC Example • Edited • 6.26 Group Trailer (UNE) • Inserted “for crew reporting” • 8.8.2 LOC Element Customs and Border Protection Page i DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number Definitions • Edited • 8.14 Group Trailer (UNE) • Edited • 10.14 Group Trailer (UNE) • Inserted”’” • B.4.1 DHS Response • Deleted “*” • B.5 Internet-to- • Inserted “’” Domestic (Inbound) • B.5.1 DHS Response • Deleted “*” • B.6 International-to- Domestic (Inbound) • Inserted “’” • Deleted “*” • B.6.1 DHS Response • Inserted “’” • B.7 International (Multiple Leg Flight)-to- Domest (Inbound) • Deleted “*” • B.7.1 DHS Response • Deleted “*” • B.10.1 Inbound Reporting – Transmission #1 • Deleted “*” • B.10.3 Inbound Reporting – Transmission #2 • Deleted “DHS Unsolicited Message ‘Not Cleared’” • B.10.5 Outbound Reporting – • Added “flights Transmission #3 • Clarified language about absent • B.15.1 DHS Response crew manifests • Updated appendix letter/number • Table 19 • D.1.2. APIS Crew • Added “Flight” Manifests • Edited Description of PAXLST • Coding Rules: Group 3 – Flight Itinerary • Added “Flights” to section title • D.3.5. Overflight, Customs and Border Protection Page ii DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number • Clarified example Passenger • Updated referenced table number • D.3.6. Overflight, Cargo • Updated example reference • Updated referenced table number • D.3.9. Domestic Continuance, Cargo • Updated example reference Flight, Regularly Scheduled Crew • D.3.10. Domestic Continuance, Cargo Flight, Crew Change 03/26/2009 2099001-UN- • Updated to remove “Official Use • Whole Document Implementation Only” designation Guide – 3.4 • Identified RFF Segment (Level 0) • Section 6.6 on the PAXLST as Mandatory for Secure Flight • Updated UN/EDIFACT PAXLST • Section 2 Data Items Table 3 removing PNR related data elements • Additional guidance included to • Section 6.12 clarify rules for reporting NAMES on the PAXLST NAD Segment. • Included additional guidance for • Whole Document reporting Crew/Non-Crew messages to APIS. • Included guidance for reporting • Whole document Crew overflights. • Reapplied guidance identifying • Whole document Change Flight / Non-Qualified messages supported by Secure Flight only. • Added Non-Immigrant Visa • Whole document Document • Updated the travel document type • Table 3 data element edits/rules • Updated Beginning of message - • Table 4 document name code format/values • Updated the characteristics section. • Figure 6 Customs and Border Protection Page iii DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number • Updated sample images and usage • Section 6.5.2 guidelines • Updated mandatory and optional • Section 6.6 elements • Updated reporting for overflights to • 6.10.2 include both passengers and crew. • Updated notes section • 6.12 • Updated reference values • B.7 • Updated Coding rules for group 3 - • D.1.2 flight itinerary 11/13/2009 2099001-UN- • Updated Gate Pass Request • Section B.11 Implementation example to include ‘LOC+91+USA’ Guide – 3.3 08/18/2009 2099001-UN- • Updated the following guidance • Section 1.5 Implementation under ‘Passenger / Crew Reporting’ Guide – 3.2 regarding updates to APIS data or to receive a new ESTA status • Updated Reduction In Party • Section 1.5 reference • Updated guidance for Change • Section 1.5 Passenger Data regarding submission to receive a new ESTA status. • Updated RFF+AF+ to now read • Whole document RFF+AF: • Updated Known Traveler tag to ‘CR’ • Section 2 - Table 3 • Updated guidance for BGM+745’ • Section 6.5.2 (submission of new passenger or to obtain new ESTA status) and BGM+745+CP’ (submission to obtain new ESTA status) • Updated Max Group Occurs from • Section 9 – Figure 11 ‘10’ to ‘11’ in Segment Group 3 • Gate Pass Response example • Section B.11.1 updated to include retuning the Flight Number and Airport Location code. Customs and Border Protection Page iv DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number • Updated example DHS response to • Section B.13.1 a Non-Qualified Change message (i.e. Change Flight). Removed passenger vetting results from the example. • Updated example DHS response to • Section B.14.1 Reduction in Party message. Removed passenger vetting results. • Updated example DHS response to • Section B.15.1 a Cancel Flight message. Removed passenger vetting results from example • Updated Passenger Name Record • Whole document Locator definition to read ‘Unique’ instead of ‘default’ 05/29/2009 2099001-UN- • Increase version number to align • Whole Document Implementation with Parts 1-3. Guide – 3.1 • Revised Change Itinerary reference • Section 1.5 02/23/2009 2099001-UN- • Identify BOTH Unique Passenger • Whole Document Implementation- Reference identifier AND Guide- 3.0 Passenger Name Record Locator as MANDATORY under new rules contained in the Secure Flight Final Rule (Oct 2008). • Increase version number to align • Whole Document with Parts 1-3. • Formatted the NAME example in • Section 6.12 Section 6.12, so it can be seen on the same page. 10/02/2008 2099001-UN- • Corrected sample PAXLST image. • Appendix B.3 Implementation- Guide- 2.04 07/21/2008 2099001-UN- • Introduced information concerning • Section 10, Appendix Implementation- the Visa Waiver Program and B.15, B.16 Guide- 2.03 Electronic System for Travel Authorization (ESTA) Interim Final Rule. • Included clarification concerning the • Section 1.5 submission and processing of Crew and Master Crew Lists. • Include guidance concerning the • Sections 8.2.2, 8.3.2, Customs and Border Protection Page v DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number value contained within the UNB, 8.4.2 UNG, UNH control numbers (DE’s 0020, 0048, 0062) that are echoed back to carrier on the CUSRES (PAXLST response) message. 03/31/2008 2099001-UN- • Included statement regarding need • Section 1.2 Implementation- for Air Carrier to properly code the Guide- 2.02 PAXLST message to alert DHS systems to the appropriate routing of the data to APD or Secure Flight. • Included guidance : “All passengers • Section 5 identified on a PAXLST message share the same reported itinerary.” 02/01/2008 2099001-UN- • Changed all references to ‘DHS’ • Whole Document Implementation- within the context of the PAXLST & • Appendices Guide- 2.01 CUSRES UNB/UNG header segments to read ‘USADHS’ (or USADHSTEST for Test messages). • Appendices • Removed all leading zeros from the ‘sequence numbers’ appearing in the sample EDIFACT images. • P. 15 • P. 48 • Assigned specific codes for • Table 12 individual reporting of NEXUS and • Appendix Sect. 6.21.2 SENTRI travel documents. • Appendix Sect. 10.13.2 • Included new code ‘E’ to list of optional acknowledgments from Aircraft Operator in response to • Section 8.12.2 unsolicited response message. • Remove use of FTX code value ‘AAO’ for this implementation. • Added Section 6.16 • Moved ‘Bag Tag’ reporting from segment group 4 RFF segment to • Figure 6 segment group 4 FTX segment. • Section 6 • Updates to include FTX segment in segment group 4. • Added FTX Segment to Section • Section 6.20 • Figure 6 • Changed Max Use for RFF segment on PAXLST to 9 occurs. DMR pending. • Appendix B • Section 6.5.2 • Identified message types and Customs and Border Protection Page vi DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number examples as supported by either AQQ or Secure Flight. • Appendix B.21 • Clarification note to indicate optional nature of TRN, and TSA Secure Flight (only) support for the • Section 6.6.2 message sequence number. • Appendix B.21 • Included guidance for content of TRN. • Whole document • Change ‘Unique Passenger Reference number’ to ‘Unique Passenger Reference identifier’. • Appendix B.22 • Section 6.21 • Included guidance for content of • Section 6.21.2 Unique Passenger Reference (UPR) identifier. • Removed all references to ‘United • Sections 5,6,7,8,9,10 Airlines’ in the message samples. • Appendix B • Updated example to include UPR • Appendix B.10 • Included DE 0068 and 0070 on • Sections 8.4.1, 8.4.2 UNH Segment description for CUSRES DRM response message • Included guidance limiting • Section 1.6 transmissions to DHS to include • Section 4 only one single instance of a PAXLST or CUSRES message. • Updated allowable maximum • Section 1.6 message payload length for SITA or ARInc transmissions from 32k to 64k. • Re-labeled and rewrote entire • Sections 1.4 thru 1.12 sections. • Updated CUSRES segment • Table 13 mapping discrepancies • Included guidance regarding the • Section B.21 optional use of the Common Access Reference (CAR) on the UNH segment. • Removed use of the GEI segment • Section 6.15 for identifying ‘Change Passenger’ indicator Customs and Border Protection Page vii DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Date Document ID Description of Revisions Location in Document Number • Removed reference to support of • Section 1.8 the MQ Msg ID attribute. • Corrected reference for Cancel • Appendix B.16 Flight message ‘supported by Secure Flight’. Changed to “AQQ only”. Also, updated sample images of Cancel Flight message and updated image of DHS response message. • Applied syntactical and editorial • Whole document modifications. 08/23/2007 2099001-UN- Original Document – Rewritten from • Whole Document Implementation- previous versions to incorporate Pre- Guide-1.10 Departure Final Rule specifications. Customs and Border Protection Page viii DHS Consolidated User Guide Part 4 – UN/EDIFACT Implementation Guide v3.5 03 Jan 2011 Table of Contents Executive Summary ....................................................................................................... i 1. Introduction ............................................................................................................ 1 1.1 UN/EDIFACT Message Format ................................................................................................... 1 1.2 Messaging between DHS and the Aircraft Operator ................................................................... 1 1.3 General Notes for this Guide ....................................................................................................... 2 1.4 Electronic Data Interchange (EDI) Standard Messaging - UN/EDIFACT ................................... 4 1.5 Functional Uses for the UN/EDIFACT PAXLST Message set ..................................................... 5 1.6 Data Communications ................................................................................................................. 8 1.6.1 Air Industry Networks .......................................................................................................... 8 1.6.2 Communicating Directly with DHS ...................................................................................... 8 1.7 Data Transmission Rules ............................................................................................................. 9 1.8 Data Quality ............................................................................................................................... 10 1.9 Confirmation/Acknowledgement of Transmissions.................................................................... 10 1.10 Synchronous and Asynchronous data Transmissions to DHS .................................................. 11 1.11 Synchronous Processing using Websphere MQ ....................................................................... 13 1.12 Asynchronous Processing using Websphere MQ ..................................................................... 15 1.13 Using Websphere MQ Message Priorities ................................................................................. 16 2. PAXLST Data Items .............................................................................................. 17 2.1 Control Data ............................................................................................................................... 23 2.2 International Arrival Data – Passenger Manifests ..................................................................... 29 2.3 International Departure Data – Passenger Manifests ............................................................... 33 2.4 Domestic Data – Passenger Manifests ..................................................................................... 36 2.5 Gate Pass Request .................................................................................................................... 39 2.6 Master Crew List (MCL) Data for International Only.................................................................. 41 2.7 International Arrival Data – Crew and “Non-crew” Flight Manifests .......................................... 44 2.8 International Departure Data – Crew and “Non-crew” Flight Manifests .................................... 49 2.9 International Travel Document Reporting .................................................................................. 53 3. CUSRES Data Items ............................................................................................. 56 4. Message Structure Keys ..................................................................................... 58 5. PAXLST Message Structure ................................................................................ 60 6. PAXLST Segment Examples ............................................................................... 64 6.1 Service String Advice (UNA)...................................................................................................... 64 6.1.1 UNA Example .................................................................................................................... 64 6.1.2 UNA Element Definitions .................................................................................................. 65 6.2 Interchange Header (UNB) ........................................................................................................ 66 6.2.1 UNB Example .................................................................................................................... 66 6.2.2 UNB Element Definitions .................................................................................................. 67 6.3 Group Header (UNG) ................................................................................................................. 69 6.3.1 UNG Example ................................................................................................................... 69 6.3.2 UNG Element Definitions ........................................................................................................ 70 6.4 Message Header (UNH) ............................................................................................................ 72 6.4.1 UNH Example ................................................................................................................... 72 6.4.2 UNH Element Definitions .................................................................................................. 73 6.5 Beginning of Message (BGM).................................................................................................... 75 6.5.1 BGM Example ................................................................................................................... 75 6.5.2 BGM Element Definitions .................................................................................................. 75 6.6 Reference (RFF) – Transaction Reference Number ................................................................. 78 6.6.1 RFF Example .................................................................................................................... 78 6.6.2 RFF Element Definitions ................................................................................................... 78 6.7 Name and Address (NAD) – Reporting Party ............................................................................ 80 6.7.1 NAD Example .................................................................................................................... 80 6.7.2 NAD Element Definitions .................................................................................................. 80 6.8 Communication Contact (COM) – Reporting Party Contact Information ................................... 81 Customs and Border Protection Page ix