API UAE Project UAE General Civil Aviation Authority. Carrier Portal User Manual

Transcription

1 API UAE Project UAE General Civil Aviation Authority Carrier Portal User Manual June 2015

2 Copyright Notice SITA 2015 All rights reserved. Any use, republication or redistribution of content in this document is expressly prohibited without the prior written consent of SITA. The SITA name, the SITA logo and the following marks are trademarks, service marks or registered trademarks owned by the SITA group of companies around the world: Affinity, AirlineConnect, AirportConnect, AirportVision, Airport Management Solutions, CUTE, DesktopConnect, Maestro, WorldTracer. Legal Notices The relevant legal notices applicable to this document can be found in the Terms and Conditions between the UAE General Civil Aviation Authority and SITA Information Networking Computing B.V. Document Versioning Date Author Version Change Reference 01 Jul 2013 Tony Murillo 1.0 Initial release for Airlines only. 05 Mar 2014 Tony Murillo 2.0 Final release. 20 Mar 2014 Christopher Smith 3.0 Update document to include CTA 31 Mar 2014 Tony Murillo 3.1 Update Appd C Air Batch file upload formats 12 May 2014 Tony Murillo 3.3 Update Ch 7 - Automated Batch Upload 27 Jun 2014 Christopher Smith 3.4 Removed CTA reference to Sea formats 14 Jul 2014 Anthony Bavcevich 3.5 Revision of sections 10 Dec 2014 Bharat Rampal 3.6 Update for the new version of CP 15 May 2015 Bharat Rampal 3.7 Updated based on feedback from AB on v3.6 Figure 1: Change record and references for each document version June 2015 Page 2 of 157

3 Table of Contents 1. Introduction Background and Overview Document Control Scope of this Document Functionality of the Carrier Portal Overview Design Overview High-level Functionality Access Control User Management and Timeouts User Functions User Functions Open New Schedule Individual APP Check-in Transaction Individual APP Cancellation Transaction Submit Batch APP/CTA Transactions Enquiry on Submitted Batches Flight Close Information for Carriers Change Password Carrier Administrator Functions Carrier Administrator Functions Overview Add New Carrier User Account Modify Carrier User Account List Carrier Users Audit Log CTA Application Functions Submit Individual CTA Application Enquire on the status of an individual CTA application Submit Batch of CTA Applications Enquire on the status of batch CTA applications Automated Batch Upload Functions Introduction FTPS Attachment HTTPS APP Batch File Format CTA Batch File Format Appendix A Glossary of Terms Appendix B Conditions of Use Appendix C APP Batch File Formats Override Response June 2015 Page 3 of 157

4 Appendix D Error Messages Appendix E Support Appendix F CTA Batch File Formats Air Batch Files Air Batch Files - Examples June 2015 Page 4 of 157

5 1. Introduction 1.1 Background and Overview This document is intended to be a user guide for the Carrier Portal, which is a component of the API UAE Project as provided to UAE General Civil Aviation Authority (GCAA) by SITA INC. It describes in full how the Carrier Portal operates and the functions provided within it. 1.2 Document Control This volume is prepared and will be maintained by SITA on behalf of GCAA. Control of its release is the responsibility of GCAA. 1.3 Scope of this Document This document provides a detailed description of the functionality supported by the Carrier Portal. The Carrier Portal supports two user groups: API UAE team as system administrators Carriers as end users to submit data. June 2015 Page 5 of 157

6 2. Functionality of the Carrier Portal Overview 2.1 Design Overview The Carrier Portal forms part of the pre-clearance business processes. Its main purpose is to provide the airlines and other carriers with an alternative method of submitting APP transactions and CTA applications to the API UAE system. It is intended for use by small airlines and other aviation companies that do not have Departure Control Systems that are fully integrated with APP and by cruise and bus companies. It is also intended for submission of APP transactions for crew and for the submission of individual and batch CTA applications this latter function is intended for both small and major air carriers Background Each major airline carrying out APP transactions is connected through its Departure Control System (DCS) to the Government Gateway (GG) which operates as a hub, passing on the transactions to the APP System. Airlines submit check-in requests to the APP System for passengers on flights, and in return they receive boarding directives. This arrangement handles the great majority of people travelling to or from the United Arab Emirates by scheduled air services, but there are important classes of travellers who are not covered. Including: Air crew (since crew do not go through a check-in at the airport) Passengers flying with carriers without connectivity to the SITA network Passengers on unscheduled flights with small carriers Passengers and crew on international bus services Passengers and crew on international shipping services. The Carrier Portal makes it possible for carriers to submit APP transactions for these groups over the internet, both manually and using an auto-batch processing feature. Additionally, the Carrier Portal also provides airlines with an alternative to the CTA interface for the submission of CTA applications. Finally, the Carrier Portal provides a facility for uploading batches automatically; to reduce the time spent connecting to the website and to allow the implementation of a completely June 2015 Page 6 of 157

7 automated solution. This process avoids the need to log in to the website and navigate through the menus, by providing a transfer mechanism for receiving batches on the portal. This facility can be integrated into the carrier s crew rostering system to make the process of submitting crew APP transactions and CTA applications seamless to the end user. In summary, the Carrier Portal provides a number of enhancements over the CTA CTI interface. Including: Submission of applications in batch file format both manually and automatically Validation of the data submitted in CTA applications Reporting of upload status and application CTA application result June 2015 Page 7 of 157

8 2.1.2 Language Options The Carrier Portal will allow users to operate with either Arabic or English screen prompts, help text and error messages. Each page in the Carrier Portal will be available in either Arabic or English formats. Users will be able to toggle between the two language formats via an option on the menu bar. Following a language toggle, the current page will be re-displayed in the new language format. The language option will affect the displayed labels and messages within the Carrier Portal, and the right-to-left or left-to-right ordering of screen items. The default language upon login to the Carrier Portal will depend on the user's browser locale setting, i.e. if the user's browser locale setting is set to Arabic, then the Carrier Portal will be displayed in Arabic. Data received from carriers or entered by users will be shown as is, without transliteration or translation. Data capture of service data and personal data will be in Latin characters. June 2015 Page 8 of 157

9 2.2 High-level Functionality Classes of User The Carrier Portal will be accessed only by authorised carriers. Carrier users will be staff members working for airlines, general aviation companies, bus and shipping companies involved in the checking-in of passengers or the rostering and administration of crew members. Carrier Users will be of two classes: Carrier Administrators Carrier Normal Users. UAE Government administrators will have full control over the registration, management and monitoring of carriers for access to the Carrier Portal and of Carrier Administrators for those carriers. They will not use the Carrier Portal to perform this role; they will use functions on the User Portal. A facility on the Carrier Portal will allow a new carrier to register a request to use the Carrier Portal. They will supply details of the carrier company and for the Carrier Administrator within the company, and the UAE Government administrators will be able to review and approve the registration on the User Portal. Carrier administrators will be able to register Carrier Normal Users for access to the Carrier Portal, for their own company only. Any registration submitted by a Carrier Administrator will need to be approved by an UAE Government administrator before it can be used. Management of passwords for Carrier Users on the Carrier Portal, in terms of expiry, active life, and re-use, will be subject to the security requirements defined by the UAE Government. Both Carrier Administrators and Carrier Normal Users will be able to perform all the Carrier Portal functions related to the submission of Traveller and service data to the APP System. The carrier company code and the user account code will be included in APP messages sent to the AP (and hence to the UAE government), to allow identification of the originator of all transactions. The carrier companies will be divided into two categories: those that have a 2/3-character IATA carrier code, and those that do not. Broadly speaking, those with a carrier code are expected to have scheduled flights with flight numbers recorded in the Official Airline Guide (OAG). June 2015 Page 9 of 157

10 When UAE Government administrators approve the company code for a carrier company, they will need to apply this categorisation. For an airline with an assigned IATA carrier code (2 or 3 characters), the assigned company code must be that carrier code. For the other carriers, administrators may allocate any suitable code Overview of Carrier User Functions A Carrier Administrator will have access to the following major functions once they have been approved: Add New Carrier Normal User Account List and Modify Carrier Normal User Account List Carrier Users Audit Log Open New Service, Update Service, Close Service, and Submit APP transactions through Service Management and Individual APP Transactions major function Add New Service (*) List and Modify Services (*) Submit Batch of APP Transactions Enquire on Submitted APP Batches Information for Carriers Individual CTA Application (**) Visa/CTA Status Enquiry (**) Submit batch of CTA Applications (**) Enquiry on submitted CTA batches (**) Change Password (*)- Only available to General Aviation, Sea and Land Carrier Administrators (**)- Only available to Air and General Aviation users Carrier Administrators will be able to register the details of a new Carrier Normal User. The new user account will be set initially to a status of Provisional and can be used to access the Carrier Portal only after an UAE Government administrator has reviewed the account and altered the status from provisional to active. Carrier Administrators will be able to view the details of Carrier Normal Users registered for their carrier company and update the information on those users. They will not be able to view or update information on Carrier Administrators. The update option will allow the Carrier Administrator to: Change personal details (name, phone, fax, ) June 2015 Page 10 of 157

11 Reset a user password Change the account expiry date Make the account active or inactive. Carrier Administrators will be required to review the Carrier Normal User accounts from time to time to ensure there are no active accounts for people who should no longer have access to the system. At the same time, account expiry dates should be extended for each valid user. The account expiry date and the Active/Inactive status will provide the means for controlling access to the system when a Carrier Normal User is no longer submitting data for a carrier. When a person leaves, the Carrier Administrator should change the user s status from active to inactive. If this does not happen, then, as a back-stop, the account expiry date will prevent access to the system. For this reason, the account expiry date will not be more than 12 months in advance. In addition, the account will be marked as disabled if it is inactive for a configurable period of time determined by GCAA's security requirements. Carrier Administrators will be able to view logs of the operations performed by Carrier Users in their own company. They will also be able to maintain information on services (other than scheduled air services) operated by their own company. Both Carrier Administrators and Normal Users of carriers registered for submission of APP data will have access to Service Management and Individual APP Transaction major function through which they can: Open New Service Update Service Close Service Submit an individual APP check-in transaction Submit an individual APP cancellation transaction In addition, carrier administrator and normal carrier user will have access to the following major functions: Submit a batch of APP transactions Enquire on status of submitted APP batches and retrieve results Submit a service close request. Carrier Administrators and Normal Users of General Aviation, Sea and Land companies will also be able to carry out the following Crew Service administration functions: Add New Service List and Modify Services June 2015 Page 11 of 157

12 Carrier Administrators and Normal Users of the Air and GA companies will also be able to carry out the following Crew Travel Authority CTA functions: Submit an individual CTA application Enquire on the status of a CTA application Submit a batch of CTA applications either manually or via the auto-batch-upload function Enquire on the status of submitted batches and retrieve the results of the associated applications Batch process The individual check-in and cancellation transactions will simulate the functionality available to check-in staff using terminals connected to the Government Gateway through the SITA network. The facility of submitting transactions in batches will be provided for Carrier Users to enable a more efficient way of submitting transactions. Batch files will be transferred to the Carrier Portal using https file transfer. The transfer will operate as follows: The Carrier User will log on to the secure site, choose the option to submit a batch file and then use a standard dialog box to select the file to send. The file will be sent in an https request to the application server. Since the entire session will be conducted using secure https, transmission of the file is protected by SSL encryption. When the file reaches the server the user gets an immediate acknowledgement of receipt. The file will be stored and recorded in a batch register against the user. Batch files will be processed in the order of receipt. The results will be stored in a file of the same type as the input batch, and the register will be updated when the process is complete. Upon completion of processing of a batch, an will be sent to the user that submitted the batch. In addition, the user will be able to perform an enquiry on the status of the submitted batches. Any batches that are completed will be hyperlinked as being ready for viewing or downloading. Viewing and downloading may include unsuccessful transactions only, successful transactions only or all transactions. The display will be automatically refreshed to show the most recent status. Downloading of response files will use SSL-protected https file transfer. The Carrier Portal will provide a facility for uploading batches automatically; to reduce the time spent connecting to the website and to allow the implementation of a completely automated solution. This process will avoid the need to log in to the website and navigate through the menus, by providing a transfer mechanism for receiving batches on the portal. This facility can be integrated into the carrier s crew rostering system to make the process of submitting crew APP transactions seamless to the end user. June 2015 Page 12 of 157

13 2.3 Access Control Carrier Users will access the system by clicking on a link on the UAE Government portal. A session will start in a new browser window and will display the Carrier Portal Home Page. The home page will provide users with general information on the Carrier Portal and a link to the secure site. The user will click on this link to begin. A secure session will start in a new browser window and user log-in will be required. All subsequent processing will occur within the secure browser window. The Carrier User Menu will display a list of functions available to the specific user. The functions available will depend upon: Whether the user is a Carrier Administrator or a Carrier Normal User The type of carrier. Functions for each carrier type and each class of Carrier User are shown in Figure 2. Function Schedule Airlines Unscheduled Airlines General Aviation Bus, Ship APP APP APP APP Carrier Administrator Functions: Add New Carrier User Y Y Y Y List and Modify Carrier Users Y Y Y Y List Carrier Users Audit Log Y Y Y Y APP Functions: Add New Service Y Y Y List and Modify Services (including Cancel) Y Y Y Individual APP Check-in Y Y Y Y Individual APP Cancellation Y Y Y Y Submit Batch of APP Transactions Y Y Y Y Enquire on Submitted APP Batches Y Y Y Y Service Close Y Y Y Y General Functions: Information for carriers Y Y Y Y Change Password Y Y Y Y Select carrier for Administrative Tasks Y 1 Y 1 Exit Y Y Y Y CTA Functions: Individual CTA application Y Y Y N June 2015 Page 13 of 157

14 Function Schedule Airlines Unscheduled Airlines General Aviation Bus, Ship Enquire on Status of CTA application Y Y Y N Submit Batch of CTA applications Y Y Y N Enquire on Submitted CTA Batches Y Y Y N 1 Only available to administrators on an exception basis. Figure 2: Carrier User Function Availability June 2015 Page 14 of 157

15 2.3.1 Log-in Log into the Carrier Portal Company users access the system by entering the Carrier Portal internet address in their browser. To log in to the Carrier Portal: 1. Enter the following web address in your browser: This URL displays the Carrier Portal Login page and user login is required. All subsequent processing occurs within the secure browser window. Figure 3 Carrier Portal Login Page June 2015 Page 15 of 157

16 Figure 4 Carrier Portal User Conditions and Responsibilities If you are logging in to the system for the first time, you must initially read and accept the terms and responsibilities for Company users. Indicate that you agree to the conditions and responsibilities by clicking on the I accept button. If you have already accepted the conditions and responsibilities, a record of this acceptance already exists on the system server and the Carrier Portal Functions screen is displayed. NOTE: Asterisk (*) sign after a title denotes a Mandatory input field - e.g. Carrier Code* Figure 5 Carrier Portal Login Screen June 2015 Page 16 of 157

17 2. Enter the following information in the applicable fields: Dialog Field Name Carrier Code User ID Password Description Enter the carrier code for your airline, general aviation, bus and shipping company. If your Air Company has an IATA code, use this. Alternately, use your code as supplied by administrator. This must be entered. Enter your User ID as supplied by administrator. This must be entered. Enter your current password. If logging in to the system for the first time, this will be as supplied to you by administrator and must be changed when you have logged on. This must be entered. Figure 6 Log in to Carrier Portal User passwords expire after a configured number of days (typically 30 days). The user is required to change the password on the next login after that time. See also Change Password below. If you enter an incorrect Carrier Code, User ID or Password, the following responses may be displayed after all checks are performed on the local database: Error Message Description Please enter Company code and You have not supplied a carrier code User ID or User ID. Invalid Company code or User ID You have not supplied a valid carrier code or user ID. Invalid User name or Password You not entered a valid user name or password. Figure 7 Login Failure Error Messages If login fails, unless you have exceeded the maximum number of allowed attempts, you are given the option to login again by pressing the Login button or to Exit secure site and return to the Carrier Portal landing page. If you log in successfully to the Carrier Portal, the APP Function Menu is displayed. The system displays the functions depending on the user type (administrator or normal). June 2015 Page 17 of 157

18 Menu - Administrator User Figure 8 Administrator User Function Menu Menu - Carrier User Figure 9 Normal Carrier User Function Menu June 2015 Page 18 of 157

19 Change Password If your password has expired or has been reset by an administrator, for example in the case of it being forgotten, you are required to change it at first login. 3. If your password needs to be changed, the following screen will be displayed when you login: Figure 10 Change Password 4. Enter the new password: Dialog Field Name Please enter the old password Please enter a new password Description The old password is required as a security measure. The new password must conform to the security standards defined in the Password Management section below. This must be entered. June 2015 Page 19 of 157

20 Dialog Field Name Now re-enter to confirm Description Must agree with the password entered above. This must be entered. Figure 11 Change Your Password To complete the Change Password process, press the Submit button. Alternately, press the Cancel button to exit the Carrier Portal without changing your password. If you change your password successfully, the APP Function menu is displayed. 2.4 User Management and Timeouts Registration The Registration process will allow a new carrier to register details of their company, and of the administrator who will manage users within the company Registration page The Registration page will be located on the public pages of the Carrier Portal application. Figure 12: Register Carrier screen June 2015 Page 20 of 157

21 Figure 13 lists the elements shown on the screen and their purpose. Field/Button Data Type Description Carrier Type Input Field Drop down list of carrier types which may be: Air General aviation Ship/Cruise Vessel Bus/Coach. Mandatory. Carrier Code Input Field Carrier company code. Length: three alphanumeric characters. Mandatory. Carrier Name Input Field Carrier company name. Length 30 alphanumeric characters. Mandatory. Data Capture Input Field Data capture type that will be used by the carrier company. Options available are: Individual APP - for carrying out individual APP transactions APP Batch - for carrying out batch APP transactions Individual CTA - for carrying out individual CTA transactions CTA Batch - for carrying out batch CTA transactions API Batch - for carrying out batch API transactions At least one option must be selected. [Next] Button Proceeds to the Register Administrator screen. Figure 13: Register Carrier screen fields June 2015 Page 21 of 157

22 Nominate Carrier Administrator screen Figure 14 shows the screen that will be used to collect the Carrier Administrator details. Figure 14: Register Carrier Administrator screen Field/Button Data Type Description and Validation Family Name Given Names Telephone Contact Facsimile Number Address Input Field Length 40 Input Field Length 40 Input Field Length 50 Input Field Length 50 Input Field Length 50 Family name of the user. Mandatory Given name of the user. Mandatory User s telephone number. Mandatory User s facsimile number Optional User s address. Mandatory [Register] Button Validates the details and performs the registration. [Clear] Button Clear the screen input fields. [Back] Button Returns the user to the previous page. Figure 15: Register Carrier Administrator field definition When the user clicks on the Register button, the system will create a carrier company and a Carrier Administrator record, both with a Provisional status, and will the UAE Government Administrators, requesting them to vet and approve the new carrier registration. June 2015 Page 22 of 157

23 The User Portal document describes the actions taken by the UAE Government Administrators to approve the carrier. Following a successful approval, the Carrier Administrator will be sent a one-time use password which will enable them to login to the Carrier Portal, where they will be required to enter a new password Password Management The policies and procedures controlling the management of passwords follow the rules and guidelines provided by the Government of UAE. This document sets out a number of rules, which mandate that all passwords used to gain access to the Carrier Portal must comply with the following: Must be at least nine characters Must include at least one uppercase alphabetic character Must include at least one digit Must include at least one lowercase alphabetic character Must include at least one non-alphanumeric (special) character Must be different from the previous 10 passwords used Must not be too similar to the most recent previous password Must not be changed by the account owner more than once in any 24 hour period Must expire after 90 days. Additionally, the system also prevents users creating passwords that are longer than 12 characters. The following table provides examples of non-compliant passwords and the rule with which they are not compliant: Invalid password example Password PasswordPassword Description of rule broken Password too short: must be at least 9 characters Password must contain at least 1 digit Password must contain at least 1 upper case letter Password12 Password must contain at least one punctuation character, for example _, $, ^ etc Figure 16 Examples of Non-Compliant Passwords June 2015 Page 23 of 157

24 2.4.3 Automatic User Timeout When you are logged in to the Carrier Portal, if no system activity occurs for a configurable period (currently set to 15 minutes), you are automatically logged out of the system. This is a security feature that is intended to reduce the risk of unauthorised access. In such a case, the login screen is displayed. You must re-establish the session by logging in again. June 2015 Page 24 of 157

25 3. User Functions 3.1 User Functions The following functions are available to Carrier Portal users, both administrators and normal users. These are shown in the following figure: Carrier Portal User menu Open New Service Individual APP Check-in Individual APP Cancellation Submit Batch APP/CTA Transactions Enquiry on Submitted APP/CTA Batches Service Close Description This function enables users to open new service (flight) so that APP Check-in data can be submitted. This function enables users to submit individual check-in transactions for passengers and/or crew. To go to this function, click the Service Management and Individual APP Transactions button in the User Menu. This function enables users to submit individual cancellation transactions for passengers and/or crew. To go to this function, click the Service Management and Individual APP Transactions button in the User Menu. This function enables users to submit a number of APP check-in or cancellation transactions, either inbound or outbound and CTA applications, as a batch. To go to this function, click the Submit Batch APP/CTA Transactions button in the User Menu. This function enables users to check the status of previously submitted APP and CTA batches. To go to this function, click the Enquire on Submitted APP/CTA Batches button in the User Menu. This function enables users to initiate a flight close request. To go to this function, click the Service Management and Individual APP Transactions button in the User Menu. June 2015 Page 25 of 157

26 Carrier Portal User menu Information for Carriers Change Password Exit Description This function enables users to display information on the Carrier Portal and provides options to download documentations. To go to this function, click the Information for Carriers button in the User Menu. This function enables users to change their password. To go to this function, click the Change Password button in the User Menu. Ends the Carrier Portal session. Figure 17 APP Function Menu Each function is discussed in more detail in the following sections. June 2015 Page 26 of 157

27 3.2 Open New Schedule Before the carrier user can submit APP data, the schedule (flight) must be opened. To go to this function: From the CP User Menu screen, click on the Service Management and Individual APP Transactions button. Click Open New Schedule" Figure 18: Open New Schedule 1 June 2015 Page 27 of 157

28 Figure 19: Open New Schedule 2 You can also access this screen straight from the CP User Menu screen by clicking on the Open New Schedule button on the User Menu screen. Use this screen to add the details for the flight that you are about to process. Fill in the required fields as follow and then click Open. Field Name Direction Description and Validation The Direction of the flight for which data is to be captured. You must enter one of the following: I: Inbound O: Outbound The Direction selected will impact the processing of subsequent data fields. June 2015 Page 28 of 157

29 Field Name Flight Number Description and Validation The Flight Number. You must enter a valid value in this field. For an airline with a two letter IATA code, this is the full flight number, e.g. QF121. For a general aviation company, this is the aircraft registration number. For Land and Sea carriers, this is the Bus or Vessel registration number used when the user added new service using Add New Service function. Departure Port The location from which the international flight is departing. You must enter a value in this field. Standard three character IATA Port Code. For Land and Sea Carriers, this is the five character UN Location Code. Departure Date The departure date from the Departure Port. You must enter a value in this field. Departure Time The scheduled departure time for the flight. You must enter a value in this field. Arrival Port The final port for the international flight. You must enter a value in this field. Standard three character IATA Port Code. For Land and Sea Carriers, this is the five character UN Location Code. Arrival Date The arrival date at the Arrival Port. You must enter a value in this field. June 2015 Page 29 of 157

30 Field Name Arrival Time Description and Validation The arrival time at the Arrival Port. You must enter a value in this field. Trans-border Port The IATA airport code at which the service will cross the border of the United Arab Emirates. For Land and Sea Carriers, this is the five character UN Location Code. Trans-border Date The scheduled arrival date at Trans-border Port for Inbound service, or scheduled departure date from Trans-border Port for Outbound service. Only required if Trans-border Port is provided. Trans-border Time The scheduled arrival time at Trans-border Port for Inbound service, or scheduled departure time from Trans-border Port for Outbound service. Only required if Trans-border Port is provided. Last Foreign Port The last IATA airport code before the service will cross the border of the United Arab Emirates. For Land and Sea Carriers, this is the five character UN Location Code. Figure 20: Flight Details Fields June 2015 Page 30 of 157

31 Figure 21: New Service Opened NOTE: For General Aviation, Land, and Sea carriers, the user needs to Add New Service first. This function along with another function, List and Modify Services will be displayed for General Aviation, Land and Sea carrier both Administrator and Normal users as separate options in the Main Menu Page as illustrated below. June 2015 Page 31 of 157

32 Figure 22: GA, Land, and Sea Add New Service Click Add New Service Figure 23: GA Add New Service Fill in the required fields and then click Create June 2015 Page 32 of 157

33 Fill in the required fields and then click Create Figure 24: Land Carrier Add New Service Figure 25: Sea Carrier Add New Service 3.3 Individual APP Check-in Transaction The Individual APP Check-in Transaction function enables a user to transmit APP data for individual crew members, both operating and positioning, and for passengers. The following flowchart illustrates the Individual APP Check-in Transaction process. June 2015 Page 33 of 157

34 Exit Exit Exit Exit Submit Try Again Exit Figure 26 Individual APP Check-in Transaction June 2015 Page 34 of 157

35 To process an individual APP transaction for a traveller, perform the following: 1. From the CP User Menu screen, click on the Service Management and Individual APP Transactions button. The schedule search screen enables the user to find if the required schedule has been set-up from previous check-in. Enter details using the search Schedules (Flights) screen below: Figure 27 Carrier Portal Search Schedule June 2015 Page 35 of 157

36 2. If the schedule number being searched has already been opened, the details of the schedule will be displayed at the bottom of the screen: Figure 28 Carrier Portal Search Schedule Result Choose the appropriate schedule by clicking-on the radio button on the left side of the details then click the Manifest button. If there is no search result displayed for the required schedule. The user can create a new schedule by pressing the Open New Schedule button as described in the previous section. To cancel an existing check-in, choose the appropriate traveller by clicking on the radio button on the left and click Cancel button at the bottom of the screen. This will send a check-in cancellation request to AP. The system displays the Manifest Screen and displays a list of Check-in records for that flight if available. Otherwise, it displays No Records Found. June 2015 Page 36 of 157

37 Figure 29 Carrier Portal Search Schedule Result 3. Click New Check-in Complete the traveller information screen. When you have completed all fields as required, click on the Submit button. Upon selecting the desired service from previous screen, the Travel Document details screen is displayed. June 2015 Page 37 of 157

38 Figure 30 APP Check-in Transaction Passenger Details Figure 31 Travel Document Details screen June 2015 Page 38 of 157

39 The Travel Document Details screen collects the travel document details for a single person, either passenger or crew. For each person, the system constructs a complete APP transaction by adding the previously entered flight details to the person details. June 2015 Page 39 of 157

40 4. Complete the fields as follows: Field Name Traveler Type Document Type Description and Validation Traveler type: Passenger, Operating Crew, or Position Crew. The type of travel document. Valid values are: P: Passport O: Other Travel Document N: No Document Nationality Nationality as indicated on the travel document. You must enter a value in this field. May be typed directly or selected from the dropdown list. If you type in the Nationality, the drop-down list is automatically populated with the entered Nationality. Document Number Document Expiry Date Document Number of the travel document. You must enter a value in this field, unless the person has no travel document. The date on which the travel document will expire as indicated on the travel document. This is an optional field. Issuing State Issuing State as indicated on the travel document. Mandatory if Document Type is set to O and the traveler is a passenger. May be typed directly or selected from the dropdown list. If you type in the Issuing State, the drop-down list is automatically populated with the entered Issuing State. Family Name Family name or surname of person as indicated on the travel document. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. June 2015 Page 40 of 157

41 Field Name Given Names Description and Validation Given names of person as indicated on the travel document. Individual names must be separated by a blank. If the given names are not known, a hyphen may be entered. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces are allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. Date of Birth The date of birth of the person as indicated on the travel document. Must be a valid date. The entered date must be less than or equal to current date and no more than 120 years old. If the day of the month is not known, the day may be replaced by two hyphens. In addition, if the month is not known, the month may be replaced by three hyphens. Sex Gender of person as indicated on the travel document. Country of Birth Country of birth of the person as indicated on the travel document. May be typed directly or selected from the dropdown list. If you type in the Country of Birth, the drop-down list is automatically populated with the entered Country of Birth. Reservation System Code Reservation reference number as supplied by the carrier. This is an optional field. Record Locator Reference number. This is an optional field. June 2015 Page 41 of 157

42 Field Name Type of Arrival Description and Validation Type of Arrival is only requested if the user selected P for Passenger Type in the Crew/Passenger Type and Flight screen. The following options are available in the dropdown list: Normal Arrival in UAE: The passenger is leaving the aircraft and entering UAE. Transit on same aircraft out of UAE: The passenger is departing on the same aircraft and is not entering UAE. Transfer to other flight out of UAE: The passenger is departing on another flight, and is not entering UAE. For Land and Sea Carriers, this will be Normal Arrival in UAE. Figure 32 Travel Document Details 5. When you have completed entering the data, click on the Submit button to complete the check-in of the current passenger and proceed to the next passenger on the current flight. Alternatively, click on the Cancel button to return to the Flight Details screen. If you proceed with the check-in transaction, there are four possible categories of response options depending on the how the request is processed. These responses are as follows: AP Validation Error If, when you press the Submit button, the validation of the message on the AP fails, for example if it contains an invalid UAE travel document number, the AP will send a 6XXX series error message indicating why the validation failed. Select the Submit button after correcting the invalidly entered data. Alternately, click on the Menu button to return to the APP Function Menu APP Communications Error If you receive an APP communications error while checking-in a passenger, you should wait a certain amount of time and then ascertain whether the system problem is likely to be resolved in time to complete the check-in through APP. If this cannot be accomplished, you should revert to your back-up manual check-in process. June 2015 Page 42 of 157

43 3.3.3 Insufficient Data If you do not enter sufficient data for the AP to process the APP check-in transaction, the system returns an appropriate error message. In response, the Carrier Portal displays the Insufficient Data screen, which prompts you to return to the previous screen and complete the required data fields. Figure 33 Check-in Transaction Response Insufficient Data Normal Response If the check-in transaction attempt contains the complete and correct data and the system is able to successfully communicate with the AP, you will receive a boarding directive in response. The boarding response will depend on the current business rule configuration, but can be summarised as follows: OK TO Board June 2015 Page 43 of 157

44 In the case that the system receives a positive message, the Carrier Portal will display a screen showing the flight and person details together with directive OK TO BOARD. Figure 34 Check-in Transaction Response OK TO BOARD You may board the person and then either check-in another person by clicking on the Back button or return to the APP Function Menu by selecting the Menu button. Board if Documents OK In the case that the system receives a message with a status indicating a positive response conditional upon travel document inspection, the Carrier Portal will display a screen showing the flight and person details together with directive BOARD IF DOCS OK. June 2015 Page 44 of 157

45 Figure 35 Check-in Transaction Response BOARD IF DOCS OK You may board the person, if their travel document is in order, as set out by the Travel Information Manual (TIM) guidelines, and then either check-in another person by clicking on the Back button or return to the APP Function Menu by selecting the Menu button. If the travel document is not in order and the traveller is not able to travel to UAE, you must submit a cancellation transaction to cancel the APP record. See section 3.4 Individual APP Cancellation Transaction for details on cancellations. Do Not Board In the case that the system receives a message with a negative response, the Carrier Portal will display a screen showing the flight and person details together with directive DO NOT BOARD. In this case you should not allow the person to board the flight. June 2015 Page 45 of 157

46 Figure 36 Check-in Transaction Response DO NOT BOARD Depending on the configuration of the business rules for the system, the directive may be either overridable or not. If overridable, you may be able to perform an airline A override. When you have completed processing this check-in transaction you may either check-in another person by clicking on the Back button or return to the APP Function Menu by selecting the Menu button. See the section below on Overrides. Note: In the initial phase of the UAE APP implementation, this directive is operationally disabled by business rule configuration. Only when or if the business rules are updated, in subsequent implementations, will air users receive this directive. Contact UAE Government In the case that the system receives a message with a conditional negative response, the Carrier Portal will display a screen showing the flight and person details together with directive CONTACT UAE Government. June 2015 Page 46 of 157

47 Figure 37 Check-in Transaction Response CONTACT UAE Government In response to this message, you should deny the person boarding until you have contacted the UAE Government and requested that they check on the check-in transaction in question. You can either contact the UAE Government Operations centre and ask for authority to override the directive while this screen is on display and, if authority is given, submit the override, or you can Exit and then repeat the transaction after you have contacted the UAE Government and been given authority to override. If the UAE Government authorises you to override the directive, the carrier user needs to re check-in the passenger and then click on the G Override button. The system will generate a message with the appropriate status and the Carrier Portal will display the following result: June 2015 Page 47 of 157

48 Figure 38: Re Check-in Figure 39: G Override June 2015 Page 48 of 157

49 Figure 40 Check-in Transaction Response OVERRIDE ACCEPTED Alternatively, if you attempt to override a directive for which authorisation has not been granted, you will receive the following message: Figure 41 Check-in Transaction Response Override not authorised June 2015 Page 49 of 157

50 From this screen, you can either attempt to override the directive again the movement may since have been authorised to be overridden by selecting the Try again button, or return to the APP Function Menu by selecting the Menu button. 6. When you have completed processing this check-in transaction, you may either check-in another person by clicking on the Another button or return to the APP Function Menu by selecting the Menu button Overrides Overrides are used when an earlier APP transaction for a person has resulted in a Contact UAE Government or DO NOT BOARD directive. G Override (Government Override): A G Override may be used when the airline contacted the UAE Government which made a decision to override a negative directive. When you click the G Override button, this message is processed as before, and, in the absence of any errors, will give rise to a response message with a status indicating a successful override. The following figure provides a summary list of all the messages which may be sent in response to a check-in request and a description of what you should do in response to this message: Message Group APP Communications Error AP Error Insufficient Data Normal Response - Positive Directive and Description Error. An attempt was made to send a message to the AP, but no connection was able to be made. Revert to manual process. Error. An attempt was made to send a message to the AP and that was successful. However, no response was received back within the configured timeout period. Try again (within operations guidelines). Error. An attempt was made to send a message to the AP and that was successful. However, the message contained an error: the type indicated by the value of the 6 series error code. Insufficient Data. If the AP does not receive all the data it requires for the check-in transaction it will return an 8516 message and an Insufficient Data directive. Complete the data. OK to Board. Allow to travel. Board if Docs OK. Allow to travel if travel document is OK. Override accepted. Allow to travel. June 2015 Page 50 of 157

51 Message Group Normal Response - Negative Directive and Description Do not Board. Do not allow to travel. Contact Government. Contact UAE government operations centre. Figure 42 Check-in Transaction Response Message code summary 3.4 Individual APP Cancellation Transaction The Individual APP Cancellation Transaction enables you to cancel a previously submitted APP Transaction. Transactions should always be cancelled in situations where an APP check-in was completed with incorrect data or where an APP transaction was completed for a passenger or crew member who subsequently did not board the flight. You may cancel an APP transaction by entering the same data as you submitted in the initial APP Check-in transaction. The data supplied must be identical for the cancellation to be successful. The operation of the Inbound and Outbound Cancellation transactions is the same, with some small data variations, and so they are both described in this section. The data variations are noted where applicable. The following figure shows an overview of the Individual APP Cancel Transaction Process: June 2015 Page 51 of 157

52 Figure 43 Individual APP Cancellation Transaction flow To process an individual APP cancellation transaction, perform the following: 1. From the CP User Menu screen, click on the Service (Flight) Management and Individual APP Transactions button Use this screen to search a schedule and cancel a check-in transaction from the selected schedule. The APP Cancellation Search Schedule (Flight) Details screen is displayed: June 2015 Page 52 of 157

53 Figure 44 Search Flight screen 2. Complete fields as follows: Field Name Direction Description and Validation The Direction of the flight for which data is to be captured. Valid values are: Inbound Outbound All Flight Number The Flight Number. For an airline with a two letter IATA code, this is the full flight number, e.g. QF64. For a general aviation company, this is the aircraft registration number. June 2015 Page 53 of 157

54 Field Name Service Status Departure Port Description and Validation Indicator if the service has been Open or Closed or Any. If you choose the status Any, the system displays both Open and Closed services. The location from which the international flight is departing. Standard three character IATA Port Code. Departure Date Range The scheduled date for the start and end of a date range of Service departures to be searched can be entered here OR the pop-up calendar can be used to populate these fields. These fields can be used to search for a specific date of departure. Departure Time Range Arrival Port The time for the start/end of a time range of Service departures to be searched can be entered here. The final port for the international flight. Standard three character IATA Port Code. Arrival Date Range The scheduled date for the start and end of a date range of Service arrivals to be searched can be entered here OR the pop-up calendar can be used to populate these fields. These fields can be used to search for a specific date of arrival. Arrival Time Range The time for the start/end of a time range of Service arrivals to be searched can be entered here. Figure 45 Search Flight screen fields June 2015 Page 54 of 157

55 Figure 46 Flight search result screen Choose the appropriate flight to which the desired transaction to cancel belongs to by clicking the radio button next to the flight number then click Manifest button. The details collected on this screen apply to all subsequent crew or passengers submitted on the following Travel Document Details screen until the flight details are changed. In other words, when you are cancelling APP transactions for a number of crew or passengers on the same flight, you need only enter the flight details once. Note: The prompts on this screen differ according to whether the flight is Inbound or Outbound, so that the user does not need to remember which fields are required. 3. Select the transaction to cancel by clicking the radio button in front of the record then press the Cancel Check-in button. The Passport Details screen is displayed. The Passport Details screen collects the travel document details for a single person, either passenger or crew. For each person, the system constructs a complete APP cancellation transaction by adding the previously entered flight details to the person details. June 2015 Page 55 of 157

56 Figure 47 Individual APP Cancellation Transaction Passport Details Field Name Traveler Type Description and Validation The Traveller Type indicator as to: P - Passenger C - Operating Crew X - Positioning Crew Family Name Given Names Date of Birth Board Status Family name or surname of person as indicated on the travel document. Given names of person as indicated on the travel document. The date of birth of the person as indicated on the travel document. The directive given to this traveler. June 2015 Page 56 of 157

57 Field Name Document Type Description and Validation The type of travel document. Valid values are: P: Passport O: Other Travel Document N: No Document Document Number Document Number of the travel document. Figure 48 Transaction Cancellation Service Manifest 4. Click on the Back button to return to the Traveler Type and Flight screen. The following categories of responses may be received: AP Validation Error If, when you press the Cancel Check-in button, the validation of the (cancellation) message on the AP fails, for example if it contains an invalid travel document number, and the system is setup to validate this data, the AP will send a 6XXX series error message indicating why the validation failed. Select the Back button to return to the previous screen and correct the invalidly entered data. Alternately, click on the Menu button to return to the APP Function Menu APP Communications Error If you receive an APP communications error while trying to cancel a check-in transaction, you should wait a certain amount of time and then ascertain whether the system problem is likely to be resolved in time to complete the check-in through APP. If this cannot be accomplished, you should revert to your back-up manual check-in process. If the system cannot establish a communications link to the AP, it behaves as if it had received a connection error message June 2015 Page 57 of 157

58 3.4.3 No Record If the system cannot find matching APP check-in transactions, the AP returns a message with a not found status. The screen displays the response message NO RECORD indicating that the system cannot find a matching APP check-in transaction to cancel. Figure 49 Check-in Transaction Response NO RECORD Cancelled If the system successfully locates the check-in transaction record to be cancelled, the AP returns a message indicating the cancelled status. The screen displays all the details of the passenger or crew member and the response message CANCELLED indicating that the system was able to successfully cancel the check-in transaction. June 2015 Page 58 of 157

59 Figure 50 Check-in Transaction Response CANCELLED You may attempt to cancel another transaction by clicking on the Back button. June 2015 Page 59 of 157

60 3.5 Submit Batch APP/CTA Transactions The Submit Batch APP/CTA Transactions function enables you to submit a number of APP or CTA Transactions in one operation by supplying a file containing the check-in data for a group of passengers or crew in case of APP and applicant data for CTA. Batch Transactions may be provided in either of the following file formats: Microsoft Excel spreadsheet file. These files must have an extension of.xls or xlsx Comma Separated Value (CSV) file, equivalent to a Microsoft Excel spreadsheet file. These files must have an extension of.csv. The following figure demonstrates the overall process for submitting batch transactions for both APP and CTA: Figure 51 Submit Batch APP/CTA Transactions Process To submit a batch transactions perform the following: 1. From the Function Menu screen, click on the Submit Batch APP/CTA Transactions button. The Submit Batch Transactions screen is displayed: June 2015 Page 60 of 157

61 Figure 52 Submit Batch Transactions screen 2. Complete the following fields: Field Name Your Batch Reference Description and Validation A description entered by you to identify the batch file This field is optional. You may enter any number or character combination. Select Batch File The file path location of the batch file. You may enter the file path directly or use the Browse button to locate the required csv, xls or xlsx batch file. Figure 53 Submit Batch of APP Transactions 3. When you have completed the above fields, to proceed with the batch file submission, click on the Submit button. Alternatively, click on the Menu button to return to the APP Function Menu without uploading the selected batch file. June 2015 Page 61 of 157

62 If you proceed to upload the batch file, the application first validates whether the attached file is a csv, xls or xlsx format file. If the file is does not have a csv, xls or xlsx file extension, the application remains on the submission screen and displays the following message: File extension must be.xls,.xlsx or.csv. If the file extension of the attached file is compliant, the application sends the file from your PC to the APP server. When the file is received, the system will display a result screen with a status message and the following information: Heading Batch Type Description Identifies the Batch File as containing APP transactions Your Reference The description that you entered at the time of submission for identification of the batch submission Batch Reference File Type Records A sequential unique reference number generated by the system to identify the batch submission The format of the submitted file: csv, xls or xlsx The number of APP check-in transactions submitted in the attached file Figure 54 Submit Batch of APP Transactions results The status messages are summarised as follows: Message File uploaded Spreadsheet file cannot be opened Unrecognised batch file format Description Indicates that the file was in the correct format and was successfully uploaded to the Carrier Portal server Indicates that the file that you are attempting to submit cannot currently be opened by the application Indicates that the file can be opened by the application but its format does not conform with the APP transaction batch file specification Figure 55 Submit Batch of APP Transactions submission status messages Note: This screen indicates only that a batch file has been received. It does not mean that all transactions have been successfully processed. June 2015 Page 62 of 157

63 As part of the batch submission workflow, you must check that all the individual records have been successfully processed for the batch. To do this, use the Enquiry on Submitted APP/CTA Batches, described in the following section. 3.6 Enquiry on Submitted Batches The Batch Enquiry enables you to manage the batch files that you have previously submitted. The following figure demonstrates the overall process for enquiring on APP and CTA batch file submissions: Menu Display all users Menu Menu Menu Figure 56 Enquire on Submitted Batches process To enquire on previously submitted APP and CTA batches, perform the following: 1. From the Function Menu screen, click on the Enquire on Submitted APP/CTA Batches button. The Batch Enquiry screen is displayed. June 2015 Page 63 of 157

64 Figure 57 APP Batch Enquiry screen 2. Complete the following fields: Field Name Batch Type User Batch Reference Batch ID User ID Batch Status Submit Method Date Range Description and Validation Type of batch: APP CTA The description entered by the user to identify the batch file. Unique reference number generated by the system to identify the batch file. Code used to identify the user. A partial User ID may be entered for the search. Status of the batch: Receiving Received Processing Processing Complete Method used to submit the batch file: Carrier Portal (file upload on Carrier Portal) /FTP (file ed or sent via FTP) The start and end of a date range to be searched can be entered here or the pop-up calendar can be used to populate these fields by clicking on the field. These fields can be used to search for batch files submitted within a specific date range June 2015 Page 64 of 157

65 Figure 58 Search Batches 3. When you have completed the above fields click on Search button to search for a batch or click Search button without entering any criteria to view all batches. Figure 59 Batch Search result June 2015 Page 65 of 157

66 3.6.1 View Individual Transactions Submitted in a Batch File To determine the status of each of the APP transactions submitted in a batch file, perform the following: 1. From the Batch Enquiry screen, click on the hyperlinked Batch ID of the batch submission for which you wish to view the individual transaction details. Click Batch ID hyperlink to view details of the submitted file Figure 60 APP Batch Enquiry screen view individual transactions The APP Batch Detail Enquiry screen is displayed: June 2015 Page 66 of 157

67 Figure 61 APP Batch Detail Enquiry screen The APP Batch Detail Enquiry screen displays the batch transactions, together with the system response to each one. By default, the screen displays only the unsuccessful transactions. Using the radio buttons and the Select button located on the top of the screen you can select one of the following statuses to be displayed: Radio button status All Successful Unsuccessful Records displayed Displays both successful and unsuccessful transactions Displays only the successful transactions Displays only the unsuccessful transactions Figure 62 APP Batch Detail Enquiry select display status The following details are displayed for each individual APP transaction within the batch file: Field Name No. Doc Type Description and Validation Serial number of the transaction. Document Type submitted in the transaction. June 2015 Page 67 of 157

68 Field Name Document Number Date of Expiry Issuing State Family Name Given Name(s) Nationality Date of Birth Sex Description and Validation Travel Document number submitted in the transaction. Date of Expiry submitted in the transaction. Issuing State submitted in the transaction. Family Name submitted in the transaction. Given Names submitted in the transaction. Nationality submitted in the transaction. Date of Birth submitted in the transaction. Sex code submitted in the transaction. Country of Birth Country of Birth submitted in the transaction. Override Response Override submitted in the transaction, if any. Response for the transaction. This will be an error detected by the Carrier Portal, an error returned from the AP or a boarding directive returned from the AP. [Download] [Back] [Print] [Previous] Will initiate the download of batch records currently being displayed on the screen. Takes the user back to the Batch Search for Batch Transaction & Search Results screen. Prints the current screen. Displays the previous set of Search Results retrieved that match the selection criteria entered. Only available on the second and subsequent set of results. [Next] Displays the next set of Search Results retrieved if more than 15 records are found matching the search criteria. Only available from the first to the penultimate set of results. Figure 63- Enquire on APP Batch detail data fields June 2015 Page 68 of 157

69 To download a copy of the submitted batch that includes the system responses, perform the following: 1. Click on the Download button. The system displays the Batch Response Download screen. This shows the selected submitted batch reference details and hyperlinks for either downloading or opening the response batch spreadsheet. Figure 64: Download Batch Response The system opens the selected response file in Excel or CSV, depending on the original format of the submitted transaction list. Note: The downloaded batch will include only those transactions that are currently displayed, i.e. Unsuccessful, Successful or All depending on the radio button status. You can use a downloaded unsuccessful transactions file to correct and resubmit any unsuccessful transactions. The results of the resubmission should then again be checked through the APP Batch Enquiry screen. June 2015 Page 69 of 157

70 3.7 Flight Close The Flight Close function allows you to request the generation of a manifest message for a flight, indicating that it is closed. There are two functions, one for inbound flights and one for outbound. The generation of the requested manifest message is performed on the Application Processor and will be transmitted to the appropriate government system in the required format without further involvement from you. A manifest request may be generated by directly selecting the Flight Close menu item or alternatively by selecting the Close Service button after checking-in the last passenger on a flight. The following figure illustrates the overall Flight Close process. Exit Figure 65 Flight Close Request process To generate a Flight Close, perform the following: 1. From the APP Function Menu screen, click the Service (Flight) Management and Individual APP Transactions. The system displays the List Services screen. June 2015 Page 70 of 157

71 2. Enter the flight service details then click the Search button. The search results will be displayed as follows: Figure 66 Flight Close Transaction screen 3. Choose the flight to close by clicking the corresponding radio button on the screen. 4. Click on the Close button to send the request. Alternatively, click the Back button to return to the APP Function Menu screen. Upon submission the application commences processing the request. You may receive one of the following responses: APP Communications Error If there is no network communication, you can either attempt to perform another request by clicking on the Back button, or alternatively click on the Menu button to return to the APP Function Menu screen. June 2015 Page 71 of 157

72 3.7.2 Request Accepted and Queued If the system is able to successfully submit the Flight Close to the AP and there are expected movements for the submitted flight, the Flight Close is placed in the queue and the following screen is displayed: Figure 67 Flight Close Accepted and Queued The only option you have from this screen is to click the Back button and return to the APP Function Menu No Movements Found If the system is able to successfully submit the Flight Close to the AP but finds that there are no expected movements for the submitted flight, the following screen is displayed: June 2015 Page 72 of 157

73 Figure 68 Flight Close No Movements Found If you receive this response, you can either amend the flight data and re-submit the request or alternatively click on the Menu button to return to the APP Function Menu screen. June 2015 Page 73 of 157

74 3.8 Information for Carriers This function enables you to choose a variety of information on the API UAE System and the ability to download documentation on carrier obligations with respect to the APP System and technical information on the APP System. The information may include: Static information such as Carrier Mandates, Decree, Documents Circulars User Guides Contact forms News provided by UAE Government CSV, XLS and XLSX templates provided by SITA. To display the list of documents relevant to the carriers, do the following: 1. From the Information for Carriers screen, click on the hyperlinked title for which you wish to view the specific document. 3.9 Change Password This function enables you to select a new password. Please refer to Change Password section for more details. June 2015 Page 74 of 157

75 4. Carrier Administrator Functions 4.1 Carrier Administrator Functions Overview In addition to the functions available for carrier administrators as normal users, the following functions are available to Carrier Portal administrators only. These are shown in the following table: Note: Almost all Carrier User Functions (from previous chapter) can be used by Carrier Administrators with the addition of Add new carrier user, List and modify carrier user and List Carrier Users Audit Log. This chapter will only discuss these three additional functions. Carrier Portal Administrator menu Add new carrier user List and Modify carrier users List Carrier Users Audit Log Description This function enables administrators to add a new carrier user. This function enables administrators to maintain a carrier user. This function enables administrators to view the audit log screen. Figure 69 Carrier Administrators Function June 2015 Page 75 of 157

76 4.2 Add New Carrier User Account Carrier Administrators are able to add new Carrier User accounts to the system. To do this: 1. Select the Add New Carrier Company user function from the menu screen. The Add New Carrier User Account screen is displayed. Figure 70 Add New Carrier User Account Screen 2. Enter the following information in the applicable fields: Dialog Field Name Family Name Given Names Password Description The Family name of the user. This must be entered. The Given names of the user. This must be entered. Enter a password for the Carrier Company User. The password must comply with the password rules as specified by the Government of UAE. The user must update the supplied password at first login. This must be entered. June 2015 Page 76 of 157

77 Dialog Field Name Telephone Contact Facsimile Number Address Account Expiry date Status Login Type Description Enter the telephone contact for the user. This must be entered. Enter the facsimile number of the user. Enter a valid for the user. This must be entered. Specify the account expiry date for the user. The default value is one year from the date of account creation. This is the maximum allowable date. Status of the account will be set to Provisional. Specify whether the user account is to be a normal or batch upload user account. Figure 71 Carrier User fields 3. To complete the Add New Carrier User Account, press the Create button. If successful, the screen is updated with a message showing the successful creation of the new account. You can then either return to the main menu by clicking the Menu button, or add another new carrier user account by clicking the Add Another button. 4.3 Modify Carrier User Account Carrier Administrator Users are able to modify the account details of existing Carrier user accounts. To do this: 1. Select the Modify Carrier User Account function from the menu screen. The Modify Carrier User Account screen is displayed. June 2015 Page 77 of 157

78 Figure 72 Modify Carrier User Account 2. Search for the user account that you wish to modify. You can search by User ID, Family Name, or any other editable field. The search function supports partial matching. June 2015 Page 78 of 157

79 Figure 73: Users List 3. Click on the User ID for the account that you want to modify. The account details for the selected user will be displayed. June 2015 Page 79 of 157

80 Figure 74 Modify Carrier User Account 4. Update the fields as required as described in Figure 71 Carrier User fields above. 5. Click Update to confirm the changes. Alternatively, select Back to return to the account search to return to the menu screen. In both these cases, all changes made to the user account are lost. June 2015 Page 80 of 157

81 4.4 List Carrier Users Audit Log The List Carrier Users Audit Log function will be available to Carrier Administrators only. This facility will enable the user to view audit logs of system activities for a particular Carrier User or for all Carrier Users from a specified date. Some examples of what events will be logged for Carrier Users: Carrier User Account created or edited by a Carrier Administrator Carrier User accepts conditions of use Successful log-in by Carrier User Unsuccessful log-in by Carrier User Password change by Carrier User. The following figure illustrates the List Carrier Users Audit Log process. Figure 75- List Carrier Users Audit Log Process June 2015 Page 81 of 157

82 1. From the APP Function Menu screen, click on the List Carrier Users Audit Log button. This screen will be displayed to search for audit log records: Figure 76- List Carrier Users Audit Log Search screen 2. Complete the following fields: Dialog Field Name From date To date For User ID Description Enter the Transaction date from which audit log entries will be displayed. Mandatory. Enter the Transaction date to which audit log entries will be displayed. Mandatory. Enter specific User ID for searching. Figure 77- List Carrier Users Audit Log Search fields June 2015 Page 82 of 157

83 3. When you have completed the above fields, to proceed with the User Audit Log, click on the Search button. Alternatively, click on the Back button to return to the APP Function Menu without doing a search function. This screen will display audit log records that match the search criteria: Figure 78- List Carrier Users Audit Log Search Results screen Dialog Field Name Date/Time User ID Action Description The date and time the auditable event occurred. The User ID of the user who actioned the auditable event. The description of the auditable event that occurred. Figure 79 List Carrier Users Audit Log Search results field June 2015 Page 83 of 157

84 5. CTA Application Functions The CTA subsystem provides an alternative method for applicants to submit applications for CTAs through an Internet-based service. This allows users anywhere to lodge an application for a CTA and enquire on the status of this application. Air crew operating into UAE who are not UAE passport holders must hold a Crew Travel Authority (CTA) or a visa. The airlines could apply for CTAs using the normal ETAS facilities but, in practice, crew are typically processed through systems separate from the airline reservations and passenger check-in systems. Users have access to the following CTA specific functions: Submit individual CTA application for a crew member Enquire on CTA application status for a crew member Submit a batch of CTA applications Enquire on status of submitted CTA batches and retrieve results. 5.1 Submit Individual CTA Application The Individual CTA application function enables a user to submit an application for individual crew member, both operating and positioning crew, to the CTA sub-system. Figure 80- Submit Individual CTA application process June 2015 Page 84 of 157

85 To submit an individual CTA application, perform the following: 1. From the CP User Menu screen, click on the Individual CTA Application button. The system displays the first data entry screen for the Individual CTA Application process. This screen has the following appearance: 2. Complete the fields as follows: Figure 81 Individual CTA Application Screen 1 Field Name Description and Validation Passport Number Passport number as indicated on the passport title page. Mandatory. Only letters and digits allowed. Any embedded spaces are removed. Validation of format against nationality is NOT done on the website. This is done by the AP when the application is submitted. June 2015 Page 85 of 157

86 Field Name Nationality Description and Validation Nationality as indicated on the travel document. You must enter a value in this field. May be typed directly or selected from the dropdown list. If you type in the Nationality, the drop-down list is automatically populated with the entered Nationality. Date of Birth The date of birth of the person as indicated on the travel document. Must be a valid date. The entered date must lie in the range from 1 January 1901 to the current date. If the day of the month is not known, the day may be replaced by two hyphens. In addition, if the month is not known, the month may be replaced by three hyphens. Family Name Family name or surname of person as indicated on the travel document. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. Given Names Given names of person as indicated on the travel document. Individual names must be separated by a blank. If the given names are not known, a hyphen may be entered. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces are allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. Sex Gender of person as indicated on the travel document. Country of Birth Country of birth of the person as indicated on the travel document. May be typed directly or selected from the dropdown list. If you type in the Country of Birth, the drop-down list is automatically populated with the entered Country of Birth. June 2015 Page 86 of 157

87 Field Name Passport Expiry Date Description and Validation The expiry date of the passport as indicated on the passport title page. Mandatory. Must be a valid date. Must lie in the future. Further validation is done by the AP when the application is submitted. Issuing State Issuing state for the travel document as specified on the front cover of the passport and on the passport title page. Mandatory. If the user types in the Issuing State, the drop-down list is automatically populated with the entered Issuing State. Date of Issue Date of issue of the travel document as specified on the passport title page. Mandatory. Issuing Authority Issuing authority of the travel document as specified on the passport title page. Mandatory. Figure 82 Individual CTA Application Screen 1 data field descriptions 3. When you have entered the data, click on the Next button. Alternatively, click on the Clear button to reset the entered data. When you click the Next button the system will validate the entered data. If it is complete and passes validation, the system displays the confirmation screen. If the entered data is not complete or valid, the system will display an appropriate error message. The confirmation screen (screen 2) has the following appearance: June 2015 Page 87 of 157

88 These fields are visible only. Figure 83 Individual CTA Application Screen 2 4. If the information displayed on this screen is correct, click the Submit button, the application is submitted. To correct the data, click on the Back button, you are returned to the first screen. When you successfully submit the CTA application, the system sends that application to the Application Processor (AP). If the system does not receive a response from the AP within a configurable time, you will receive a timeout error message. If the system receives a response from the AP the following outcomes are possible: Error A Type 9-1 message has been received. The Error screen is displayed with an error message or messages corresponding to the error code(s) in the AP response. These are as readable and informative as possible. You are given the option to try again. If you select Yes, the system returns to Application 1, with the previously entered data filled in. If you select No, the window closes and you are returned to the Air User Menu Cannot Process A Type 4-1 message has been received, with a status of This indicates that the AP is unable to uniquely identify the applicant within its existing database and so cannot process the application. June 2015 Page 88 of 157

89 Display the Cannot Process screen with a suitably worded message, requesting the applicant to contact UAE Government. There is one processing button on the Cannot Process screen, Close. When user selects Press, the window closes and the user is returned to the Air User Menu Alert A Type 4-1 message has been received, with a status of This indicates that the AP has identified a possible Alert match within its existing database and so cannot process the application. The system displays the Alert screen with a suitably worded message, requesting that the applicant contacts the UAE Government Contact Centre. You are given the option to Submit another CTA application. If you select Yes, the system goes to Application 1. If you select No, the window closes and the user is returned to the Air User Menu CTA Issued A Type 4-1 message has been received, with a status of A screen is displayed informing the user that a CTA has been issued. Figure 84 Individual CTA Application CTA Issued The user is given the option to Submit another CTA application. June 2015 Page 89 of 157

90 5.2 Enquire on the status of an individual CTA application The enquire on the status of a CTA application enables users to determine if a crew member has a valid visa or CTA for travel to the UAE. The user enters part of the data supplied with their application. The terms and conditions of any associated visa or CTA is displayed. Figure 85- Enquire on the status of a CTA application process To enquire on a CTA application, perform the following: 1. From the CP User Menu screen, click on the Visa/CTA Status Enquiry button. The system displays a data entry screen in which you enter the application details for which you require to know the status. This screen has the following appearance: June 2015 Page 90 of 157

91 2. Complete the fields as follows: Figure 86- Enquire on the status of a CTA application screen Field Name Description and Validation Passport Number Passport number as indicated on the passport title page. Mandatory. Only letters and digits allowed. Any embedded spaces are removed. Validation of format against nationality is NOT done on the website. This is done by the AP when the application is submitted. Nationality Nationality as indicated on the travel document. You must enter a value in this field. May be typed directly or selected from the dropdown list. If you type in the Nationality, the drop-down list is automatically populated with the entered Nationality. June 2015 Page 91 of 157

92 Field Name Date of Birth Description and Validation The date of birth of the person as indicated on the travel document. Must be a valid date. The entered date must lie in the range from 1 January 1901 to the current date. If the day of the month is not known, the day may be replaced by two hyphens. In addition, if the month is not known, the month may be replaced by three hyphens. Family Name Family name or surname of person as indicated on the travel document. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. Given Names Given names of person as indicated on the travel document. Individual names must be separated by a blank. If the given names are not known, a hyphen may be entered. You must enter a value in this field. Only letters, hyphens, apostrophes and spaces are allowed. The name must start and end with a letter. You cannot enter combinations of hyphens and apostrophes. Sex Gender of person as indicated on the travel document. Figure 87- Enquire on the status of a CTA application field descriptions 3. Click on the Next button to initiate the enquiry process. The system will display one of the following response screens: Error A Type 9-1 message has been received. The Error screen is displayed with an error message or messages corresponding to the error code(s) in the AP response. These are as readable and informative as possible. You are given the option to try again. June 2015 Page 92 of 157

93 No CTA Issued A Type 3-1 message has been received and the data indicates that there is no valid Visa or CTA in effect. The user is given the option to perform another enquiry CTA in Effect A Type 3-1 message has been received and the data indicates that there is a valid Visa or CTA in effect. If you select Back, the window closes and you are returned to the Air User Menu. 5.3 Submit Batch of CTA Applications Process to submit a CTA batch is similar to that for APP batches documented in section 3.5 Submit Batch of APP Check-in Transactions. 5.4 Enquire on the status of batch CTA applications The enquire on the status of batch CTA applications function enables users to assess the status of CTA applications submitted via batch file. The enquiry enables you to assess the status of the batch file itself and the vetting result of each application within the batch file. To enquire on previously submitted APP batches, perform the following: 1. From the Function Menu screen, click on the Enquiry on Submitted APP/CTA Batches button. The Batch Enquiry screen is displayed. June 2015 Page 93 of 157

94 Figure 88 APP Batch Enquiry screen 2. Complete the following fields: Field Name Batch Type User Batch Reference Batch ID User ID Batch Status Submit Method Date Range Description and Validation Type of batch: CTA The description entered by the user to identify the batch file. Unique reference number generated by the system to identify the batch file. Code used to identify the user. A partial User ID may be entered for the search. Status of the batch: Receiving Received Processing Processing Complete Method used to submit the batch file: Carrier Portal (file upload on Carrier Portal) /FTP (file ed or sent via FTP) The start and end of a date range to be searched can be entered here or the pop-up calendar can be used to populate these fields by clicking on the field. These fields can be used to search for batch files submitted within a specific date range Figure 89 Search Batches June 2015 Page 94 of 157

95 3. When you have completed the above fields click on Search button to search for a batch or click Search button without entering any criteria to view all batches. Figure 90 Batch Search result June 2015 Page 95 of 157

96 5.4.1 View Individual Transactions Submitted in a Batch File To determine the status of each of the CTA transactions submitted in a batch file, perform the following: 4. From the Batch Enquiry screen, click on the hyperlinked Batch ID of the batch submission for which you wish to view the individual transaction details. Click Batch ID hyperlink to view details of the submitted file Figure 91 Batch Enquiry screen view individual transactions The Batch Detail Enquiry screen is displayed: June 2015 Page 96 of 157

97 Figure 92 Batch Detail Enquiry screen The Batch Detail Enquiry screen displays the batch transactions, together with the system response to each one. By default, the screen displays only the unsuccessful transactions. Using the radio buttons and the Select button located on the top of the screen you can select one of the following statuses to be displayed: Radio button status All Successful Unsuccessful Records displayed Displays both successful and unsuccessful transactions Displays only the successful transactions Displays only the unsuccessful transactions Figure 93 Batch Detail Enquiry select display status The following details are displayed for each individual CTA application within the batch file: Field Name No. Description and Validation Serial number of the transaction. June 2015 Page 97 of 157

98 Field Name Passport Number Nationality Family Name Given Name(s) Date of Birth Sex Country of Birth Passport Expiry Date Response [Download] [Back] [Print] [Previous ] [Next] Description and Validation Applicant s Passport Number Nationality of applicant s passport Family name or surname of applicant Given names of applicant The date of birth of the applicant Sex of applicant. M-Male F-Female Country of birth of the applicant. The expiry date of applicant s passport Response for the transaction. This will be an error detected by the Carrier Portal, an error returned from the AP or application outcome returned from the AP. Will initiate the download of batch records currently being displayed on the screen. Takes the user back to the Batch Search for Batch Transaction & Search Results screen. Prints the current screen. Displays the previous set of Search Results retrieved that match the selection criteria entered. Only available on the second and subsequent set of results. Displays the next set of Search Results retrieved if more than 15 records are found matching the search criteria. Only available from the first to the penultimate set of results. Figure 94- Enquire on CTA Batch detail data fields To download a copy of the submitted batch that includes the system responses, perform the following: 5. Click on the Download button. The system displays the Batch Response Download screen. This shows the selected submitted batch reference details and hyperlinks for either downloading or opening the response batch spreadsheet. June 2015 Page 98 of 157

99 Figure 95: Download Batch Response The system opens the selected response file in Excel or CSV, depending on the original format of the submitted transaction list. Note: The downloaded batch will include only those transactions that are currently displayed, i.e. Unsuccessful, Successful or All depending on the radio button status. You can use a downloaded unsuccessful transactions file to correct and resubmit any unsuccessful transactions. The results of the resubmission should then again be checked through the Batch Enquiry screen. June 2015 Page 99 of 157

100 6. Automated Batch Upload Functions 6.1 Introduction There are other ways to allow users to submit batches in a more automated fashion, without logging in to the Carrier Portal website. This chapter describes the facility to receive batches through different transmission protocols. 6.2 FTPS Carrier operators can create batch files of APP check-in data and upload them using a FTPs client program (e.g. WinSCP 1 ) into a designated server location which has been set up for that particular carrier. For example for British Airways (BA), there will be a FTPs server location which will be setup and shared only by BA carrier operators for uploading batch files. The file format for automatic batch upload will be the same as what is used in the normal UCP batch upload process (i.e. - csv, xls and xlsx file). How to upload a file using SFTP Protocol: 1. Create a batch file and save it in the local system. Make sure the file structure and format are valid. 2. Run WinSCP (or similar FTPs client program) and login to the remote UCP using the User ID/password which was provided to the carrier during registration. Also indicate SFTP as the File Protocol for the session. 3. Copy the batch file (using drag and drop method) from the local system into the remote server transfer directory - e. g..../transfer/ftps/ba/data. 1 WinSCP is an open source free FTP client program for Windows. Its main function is for secure file transfer between local and remote computer. Download website is June 2015 Page 100 of 157

101 4. Once the file has been copied, it will be picked up automatically and processed by the autobatch process which is running on the remote server. 5. After processing is complete, an containing the summary of results will be sent to the carrier. June 2015 Page 101 of 157

102 6.3 Attachment Carrier operators can create batch files of APP check-in data and send them via attachment. Upon registration to use the facility, UAE-GCAA will assign a dedicated account to the carrier for receiving batches. For example, XYZ airline will have an address of xyz@carriers.apiuae.ae. The file format for automatic batch upload will be the same as what is used in the normal UCP batch process i.e. csv, xls and xlsx. For transmission security, this file must be encrypted (using Gpg4win**) before attaching to the . Therefore the encrypted file to be attached must have a.gpg extension. How to upload a file as an attachment: 1. Create a batch file and save it in your local system. Make sure the file structure and format are valid. 2. Encrypt the batch file by running Kleopatra (Gpg4win 2 ) and use the digital certificate provided by UAE-GCAA. 3. Click on File Sign/Encrypt Files menu. 2 Gpg4win (Kleopatra) is a file encryption software for most versions of Microsoft Windows, which uses GnuPG public-key cryptography for data encryption and digital signatures. It enables users to securely transport s and files with the help of encryption and digital signatures. Usage of Gpg4win and its included software are free of charge for all commercial and non-commercial purposes. Download website is June 2015 Page 102 of 157

103 4. Locate and open the batch file to encrypt. 5. Choose Encrypt radio button on the next screen and click the Next button. June 2015 Page 103 of 157

104 6. Highlight the Digital Certificate provided during registration. 7. Click the Encrypt button at the bottom of the screen. June 2015 Page 104 of 157

105 8. Upon successful process, the result will be displayed on the screen, click Finish. 9. In Windows Explorer, the encrypted file (with a file extension of.gpg ) will be created on the same directory as the batch file. 10. Send an to the dedicated account with the encrypted (.gpg) file as attachment. 11. Once the has been received by the server, it will be processed automatically by the auto-batch system. June 2015 Page 105 of 157

106 12. After processing is complete, an containing the summary of results will be sent to the carrier. 6.4 HTTPS The current version of Carrier Portal does not support this facility. The HTTPS facility has been replaced by FTPs and Attachment methods. Carriers are advised to use these facilities which are more secure and reliable. 6.5 APP Batch File Format This section describes the batch file format for APP Transactions for Carrier Users. The batch data may be provided in either of the following formats: Microsoft Excel spreadsheet file. These files must have an extension of xls or xlsx. Comma Separated Value (CSV) file. These files must have an extension of csv. In this document the file formats are described in terms of the spreadsheet format. There will be no restriction on batch file names, apart from the extension requirements defined above. The file name will not be used to identify the batch. It will be identified by a reference provided by the user when the batch is submitted. APP Transaction Batch Structure This file format may be used for APP Check-in and Cancellation transactions, for Operating Crew, Positioning Crew or Passengers. A single file may contain any number of sub-batches; each sub-batch consists of the data for: A single flight by an airline company Either check-in or cancellation transactions One of: Operating Crew, Positioning Crew or Passengers. Each sub-batch will consist of a header section and a body section. The header section will define the flight, transaction type and Traveller type (Operating Crew, Positioning Crew or Passenger). The body section will contain one row of data for each Traveller. June 2015 Page 106 of 157

107 The sequence of rows in the file will be as follows: Heading rows preceding the transaction data. These may be column headings or other documentation inserted by the user who created the spreadsheet. These rows will be ignored A row containing ***HEADER in the first cell will indicate the beginning of the header section of a sub-batch. The header section will consist of rows each containing a data label in the first cell and a data value in the second cell. These rows may occur in any order A row containing ***START in the first cell will indicate the beginning of the body section of the sub-batch The body section will consist of a single row of APP Transaction data for each Crew member or Passenger, with the individual fields conforming to the rules for an Air transaction. A row containing ***END in the first cell will indicate the end of data for a sub-batch Subsequent occurrences of the rows from ***HEADER to ***END will contain data for other subbatches Any further documentation rows inserted by the user following the final ***END will be ignored by the system Blank rows anywhere in the spreadsheet will be ignored. Batch file example This data is in CSV format using Version 2 Batch file format. The conversion inserts trailing commas for trailing null fields. These commas are not mandatory and files that are not generated by Microsoft Excel need not include them. Document Number,Nationality,Document Type,Issuing State,Family Name,Given Names,Date of Birth,Sex,Country of Birth,Expiry Date,Travel Type,Override,Response ***VERSION 2,,,,,,,,,,,, ***HEADER,,,,,,,,,,,, *TYPE,P,,,,,,,,,,, *DIRECTION,I,,,,,,,,,,, *FLIGHT,SV1064,,,,,,,,,,, *DEP PORT,DXB,,,,,,,,,,, *DEP DATE,20-Oct-10,,,,,,,,,,, *DEP TIME,0800,,,,,,,,,,, *ARR PORT,RUH,,,,,,,,,,, *ARR DATE,20-Oct-10,,,,,,,,,,, *ARR TIME,0930,,,,,,,,,,, *TB PORT,,,,,,,,,,,, *TB DATE,,,,,,,,,,,, *TB TIME,,,,,,,,,,,,,,,,,,,,,,,, ***START,,,,,,,,,,,, ,GBR,P,,BROWN,ARTHUR JOHN,10-Jun-1960,M,GBR,15-Jul-2012,T,, ,USA,P,,CLARK,BILLY ADAM,15-Apr-1981,M,USA,15-Aug-2012,X,, ,GBO,P,GBR,EDWARDS,DAVID ROBERT,5-Apr-54,M,,,N,, E ,AUS,P,,FOSTER,EVAN,5-May-56,M,,,N,, June 2015 Page 107 of 157

108 CA ,KOR,O,GBR,SONG,JENNY,16-Apr-44,F,,,N,G, ***END,,,,,,,,,,,, Example APP Transaction (Airline) Batch Version 2 (CSV format) 6.6 CTA Batch File Format This section describes the batch file format for CTA Batch Files for Carrier Users. The batch data may be provided in either of the following formats: Microsoft Excel spreadsheet file. These files must have an extension of xls and xlsx Comma Separated Value (CSV) file. These files must have an extension of csv In this document the file formats are described in terms of the spreadsheet format. There will be no restriction on batch file names, apart from the extension requirements defined above. The file name will not be used to identify the batch. It will be identified by a reference provided by the user when the batch is submitted. CTA Application Batch Structure Crew Transaction File Excel Spreadsheet Format The sequence of rows in the Microsoft Excel spreadsheet is as follows: Heading rows preceding the application data for individual crew members. These may be column headings or documentation inserted by the user who created the spreadsheet. A row containing ***START in the first cell indicates that the following rows contain application data. This row will also contain V3 in the second cell to indicate that the following data conforms to this specification rather than the earlier format. CTA application data formatted as a single row for each applicant, with the individual fields conforming to the previously stipulated rules. The end of data for individual applications is denoted by a line containing only ***END in the first cell. Any further documentation rows inserted by the user following the ***END are ignored by the web site processes. Blank rows anywhere in the spreadsheet are ignored. CTA Application Result File Excel Spreadsheet Format The file structure is the same as for the CTA Application File with the response for each application inserted in column 12. June 2015 Page 108 of 157

109 Detailed examples of the specific structures of the various CTA batch formats are provided in Appendix F CTA Batch File Formats. June 2015 Page 109 of 157

110 API UAE Project UAE General Civil Aviation Authority Carrier Portal User Manual Appendices June 2015 Page 110 of 157

111 Appendix A Glossary of Terms Term Description Alert More strictly Alerted Referral. This denotes a passenger who has one or more hits that have been qualified-in against him or her. An alert typically results in interception of the passenger. ARAS typically sends notifications (SMS, , and in later phases a message to the Primary Line system) to warn the Intervention team(s) of the need to take action. See also hit and referral. API APP ARAS AQQ AQQ Gateway Arrival Port ARS Blacklist Boarding Directive Booking Record Advance Passenger Information. A term that can mean specifically APIS or, more generally, a set of techniques (including APIS and APP) to declare information on passengers prior to their arrival in a country. Advance Passenger Processing is a standard for flight and document data declaration in real-time. It has strong similarities with APIS in terms of what traveller and flight data the government receives. The key difference is timing. APP takes place as a real-time interactive transaction during check-in. This enables the government to check databases of passports, visas and alerts, and according to government-dictated business rules, deny or allow boarding. In contrast, APIS is inherently a batch process (normally done post-departure). Advance Risk Assessment System. The integrated border (iborder) management system that SITA proposes to deliver and operate for GCAA. APIS Quick Query. A form of interactive, real-time APIS defined by the US Customs and Border Protection agency which is similar in concept to APP. The United States as of February 2008 mandated that airlines must supply pre-departure advance passenger information so that the US can prevent high-risk suspects from flying. SITA offers APP AQQ conversion services to airlines enabling the airline to standardise on APP. The airline sends one APP transaction and SITA converts and forwards the information to all governments with a legitimate interest in the data. SITA transmits the information in the appropriate format for each government (be it AQQ or APP) and collates the responses (APP, AQQ) to return a single consolidated response to the airline. Port code submitted in an APP check-in request that indicates where the person disembarks from the service. For air carriers this will be the airport code. For surface carriers this will be the UN/LOCODE of the location. Airline Reservation System (also known as CRS or Res). This is the inventory system used by an airline to record passenger reservations. The watchlist used by ARAS to provide APP boarding directives. A directive returned by APP to the carrier in response to a check-in request. Boarding directives are generally classified as positive indicating that the traveller is able to travel on the service or negative indicating that there is a problem and the traveller is not able to travel on the service. Equivalent to PNR. June 2015 Page 111 of 157

112 Term Carrier Check-in Check-in Port Code Share Communications Gateway Crew Travel Authority (CTA) DCS Departure Port DNRD EES Escalation Electronic Travel Authority (ETA) Expected Port e-visa FFP Flight Close Flight Manifest FOP Description Denotes a company that transports passengers and/or goods. A carrier can be a: Scheduled airline airlines can be of different types, including passenger, charter and cargo General aviation private aircraft and small charters shipping cruise or ferry companies Bus or coach companies that transport people by bus or coach Cruiseline companies that transport people by sea. The event of assigning a physical seat on a flight to a passenger. This event usually occurs close to the actual take-off of the flight and involves the passenger handing over their luggage to the carrier for transport to their destination. Also see DCS. Port code submitted in an APP check-in request, which indicates where the person is checking-in for a service. For air carriers this will be the airport code. For surface carriers this will be the UN/LOCODE of the location. An agreement between airlines to sell space on each other's flights. The flights will have both the operating carrier's flight number and the code sharing flight number. The operating carrier or airline uses the aircraft and the code sharing carrier sells space on the aircraft. Original name for the SITA Industry Hub for APP now called Government Gateway. Electronic travel authority used by airline carriers for crew. Departure Control System the system used by carriers to check travellers on to services. Port code submitted in an APP check-in request, which indicates where the person will board the service. For air carriers this will be the airport code. For surface carriers this will be the UN/LOCODE of the location. Department of Naturalization and Residency Dubai. Entry/Exit System the Primary Line system of the UAE. System action that automatically forwards an alert to the next level of command (if any), if the original set of recipients have not viewed it within a pre-determined period. An electronically stored authority for travel to the UAE that will be used in lieu of a visa for certain travellers. Port code submitted in an APP check-in request, which indicates where the person is expected to cross the primary line to either enter or leave UAE. For air carriers this will be the airport code. For surface carriers this will be the UN/LOCODE of the location. The sub-system within the ARAS that is used to process specific traveller visas types. Frequent Flyer Programme A service offered by many airlines to reward customer loyalty. Typically, airline customers enrolled in the programme accrue points corresponding to the distance flown on that airline. Accrued points (also known as frequent flyer miles) can be redeemed for free air travel; for other goods or services; or for increased benefits, such as airport lounge access or priority bookings. A request sent by the carrier to the APP system indicating that the check-in process is complete and the flight is about to commence its journey. List of all passengers on a flight and their biographical data (Equivalent to APIS). Form Of Payment The method used to pay for a booking together with details of this method, contained within a PNR. June 2015 Page 112 of 157

113 Term GCAA GDS Go-show Hit iapi, iapis IATA iborders ICAO Match MOI Movement Record MQ / MQ Series MRZ No-show Description UAE General Civil Aviation Authority. Global Distribution System primarily Amadeus, Apollo, Galileo, Sabre and Worldspan. GDSs are the predominant method of distribution for scheduled air flights. They are a major distribution channel for car and hotel bookings especially for business travellers. Term used for a traveller who has no reservation (PNR record) but who turns up at the airport, buys a ticket at the airport and checks on to a flight. In this case, the traveller has an API and DCS record, but no PNR. Evaluation by ARAS that a given person flying a particular journey may pose a risk (risk score exceeds configured thresholds). Hits are generated by two mechanisms: through checking against the watchlist(s) and by PNR Profiling against the passenger data. Hits are then qualified either manually or automatically. Only hits that are qualified-in are acted upon. See also referral and alert. Interactive API a generic term for real-time Advance Passenger Information incorporating APP and AQQ. iapi allows the government to issue a boarding directive and to check the quality of the submitted data. International Air Transport Association International Air Transport Association (IATA), established in 1945, is a trade association serving airlines, passengers, shippers, travel agents, and governments. The association promotes safety, standardisation in forms (baggage checks, tickets, weigh bills), and aids in establishing international airfares. iborders is the name of SITA s border management product portfolio encompassing Border Management solutions ranging from the electronic application and issuing of Visas through to Advance Passenger Processing (APP) systems, risk assessment and visualisation tools and biometric identity management. International Civil Aviation Organization (ICAO), an agency of the United Nations, codifies the principles and techniques of international air navigation and fosters the planning and development of international air transport to ensure safe and orderly growth. A match occurs when a passenger record is equivalent, or similar following predefined criteria, to another record on a watchlist. Ministry of Interior, UAE. Created for a traveller as part of the APP process. The movement record contains details of the traveller and the service they are using. Three types of Movement Record are possible in APP. Expected Movement Record is where APP returned a positive boarding directive to the carrier and the Traveller is expected to travel on the service. Denied Movement Record is where APP returned a negative boarding directive to the carrier and the traveller is not expected to travel on the service. Cancelled Movement Record is where a previous Expected Movement Record is cancelled because the traveller is not travelling on the service. IBM WebsphereMQ message queues. Middleware from IBM, which is almost a de facto standard to assure the delivery of messages between communicating applications. Machine Readable Zone an area on a travel document (passport or visa) formatted (usually according to a standard set by ICAO) for data capture by document readers and other devices. The information can vary but normally contains name, date of birth, gender, document number (such as passport), issuing country, expiry date (i.e. the nonflight information in APIS). There are also check digits in the MRZ to reduce the likelihood of misread data. Term used for a traveller who makes a flight reservation but does not show up to use it. In this case a PNR record and unfilled (no seat number) DCS record exists, but no API. June 2015 Page 113 of 157

114 Term OSI Payment Gateway Qualification Referral SLC Service Close SSR Transaction Record Travel Case Traveller Traveller Type Type of Travel UDB UAE Government UN/LOCODE Visa Visa - waiver Description Other Service Information extra information sent by the airline, within a PNR. OSIs are distinguished from SSRs as they do not need receipt confirmation from the Airline when transmitted, where as SSRs do. Third party provider that will accept and process credit card payments. When a referral is generated for a particular traveller record this represents a work task for the Security Analysts, who must examine the hits within the referral and rule them in or out for action by the Intervention team. This process is known as qualification. A referral can be automatically qualified and alerted to the Intervention Team by the system if one or more of its Hits meet business rules for automatic qualification. This denotes a passenger who has one or more active hits (i.e. hits that have not been qualified-out) against him or her. See also alert. Service Level Contract the agreement that defines the performance parameters, measurement criteria and levels of service performance required for a system. A request sent by the carrier to the APP system indicating that the check-in process is complete the service is about to commence its journey. It is equivalent to the Flight Close request but applies to all types of service. Special Service Request extra information sent to the airline, within a PNR. SSRs are distinguished from OSIs as they need receipt confirmation from the airline when transmitted, where as OSIs do not. Created for each transaction submitted to the APP system by a carrier. A successful transaction without errors will result in creation of a movement record. A categorisation for a traveller used in APP processing which consists of a combination of nationality group, travel direction and travel type. A person who changes location. Used in context to denote any person travelling, specifically either a passenger or crew member on an aircraft. Type of traveller submitted in an APP check-in request, which indicates whether this person is a passenger, an operating crew member or a positioning crew member. The type of travel submitted in an APP check-in request. Three types of travel are possible in APP. Normal travel type is where the traveller will cross the border when arriving to or departing from UAE. Transit travel type is where the traveller touches down in UAE on their way to a third country on a single service. Transfer travel type is where the traveller lands in UAE and changes to another service on their way to a third country. Unified Database the centralised watchlist database for UAE that included passports and visas. Government of the United Arab Emirates. The United Nations Code for Trade and Transport Locations is a geographic coding scheme developed and maintained by United Nations Economic Commission for Europe (UNECE). UN/LOCODE assigns codes to locations used in trade and transport with functions such as seaports, rail and road terminals, airports, post offices and border crossing points. An entry in a passport or other travel document made by an official of a government to indicate that the bearer has been granted authority to enter or re-enter the country concerned. (Note: a visa is not a guarantee of entry. Immigration authority on arrival has the final authority for granting entry). Instances where a visa is not required on the basis of predetermined criteria set by Immigration authorities being met. e.g. where nationals of a specific country are exempt from requiring a visa. June 2015 Page 114 of 157

115 Term Watchlist Watchlist Target Watchlist Reason Watchlist Severity XML Description List of suspects or undesirables containing some or all of name information, document information, date of birth, place of birth, reason for inclusion on the list, action to be taken. A watchlist can either be hosted remotely by the MOI, or can be the internal watchlist provided in the ARAS (referred to as the ARAS Watchlist). A record for a single person in a watchlist. Reason the entry has been made on the watchlist why the person is of interest. A rating of how important, critical or sensitive an entry on a watchlist is, according to business rules set by the Watchlist Administrator. Severity is used to define which hit will take precedence where more than one Hit is made against a traveller record. extensible Markup Language SITA normalises travel industry data to XML because it is flexible, easy to understand and simple to manipulate using modern programming tools. Figure 96: Glossary of terms June 2015 Page 115 of 157

116 Appendix B Conditions of Use The first time a Carrier User successfully logs in to the system, a page will be displayed stating the conditions for use of the site. The user will be required to accept these conditions by clicking the appropriate button on the page. This acceptance will be recorded on the user s record in the database by storing the timestamp of the event. If the conditions are not accepted, the user s session will be terminated by closing the secure window. The wording of these conditions will be adjusted to match UAE Government s security requirements. The following shows sample text for the Conditions of Use page, since the page is too long to be displayed in a single screen dump: Please read this statement carefully and acknowledge your acceptance by clicking on the appropriate button at the end of the statement. If you do not accept the conditions in this way, you will not be able to use the site. Conditions of use of this website Using the website You may only use this website for the purposes for which it is intended and which have been documented by UAE Government. Your use of this website will be logged for the purpose of security and usage monitoring. Unauthorised use of this website could result in criminal prosecution. Your responsibilities An account and the related password should not be used by more than one user of the website. Each individual must have their own account and password. Your password should be kept secret. It should not be written down and it should not be easily deduced or guessed. Your account and password information should not be provided to other individuals. If your password becomes known to anyone else, it must be changed immediately. The first time you log in with a new account or the first time you log in after your password has been reset by the system administrator, you will be required to change your password. Passwords must be from nine to twelve characters long, with at least two letters (A to Z, upper or lower case and case-sensitive) and at least one digit (0 to 9). Any other keyboard characters are also acceptable in the password. If you try to log in and are unsuccessful after six attempts, your account will be disabled and you will need to contact the system administrator. You should never leave your computer logged in to the website and unattended. If you are logged in and do not use the website for 15 minutes, you will be automatically logged out. You will then need to log in again to continue working. Your password must be changed on a regular basis, at least every 90 days. The system will remind you when this has not been done. When you change your password you will not be able to set it to values you have used previously. If you forget your password, you can call the system administrator. For security reasons, the system administrator cannot access your password on the system but, after you have identified yourself to the system administrator, your password will be reset and you will be told the new password. You must then log in and change your password immediately. Your account has an expiry date. When this date is reached, you will need to contact the system administrator to have your account authorised for a further period of time. I accept I do not accept Figure 97: Conditions of use June 2015 Page 116 of 157

117 Appendix C APP Batch File Formats This appendix describes the batch file format for APP Transactions for Carrier Users. The batch data may be provided in either of the following formats: Microsoft Excel spreadsheet file. These files must have an extension of xls and xlsx Comma Separated Value (CSV) file. These files must have an extension of csv. In this document the file formats are described in terms of the spreadsheet format. There will be no restriction on batch file names, apart from the extension requirements defined above. The file name will not be used to identify the batch. It will be identified by a reference provided by the user when the batch is submitted. APP Transaction Batch Structure This file format may be used for APP Check-in and Cancellation transactions, for operating crew, positioning crew or passengers. A single file may contain any number of sub-batches; each sub-batch consists of the data for: A single flight by an airline or a single service by a general aviation company or a bus or shipping company Either check-in or cancellation transactions One of: operating crew, positioning crew or passengers. Each sub-batch will consist of a header section and a body section. The header section will define the flight, transaction type and traveller type (operating crew, positioning crew or passenger). The body section will contain one row of data for each traveller. The sequence of rows in the file will be as follows (see example in Figure 100 for an Air transactions batch): Heading rows preceding the transaction data. These may be column headings or other documentation inserted by the user who created the spreadsheet. These rows will be ignored A row containing ***HEADER in the first cell will indicate the beginning of the header section of a subbatch. The header section will consist of rows each containing a data label in the first cell and a data value in the second cell, as specified in Figure 98 for an Air transactions batch and Figure 105 for a transaction batch for general aviation, bus or shipping services. These rows may occur in any order A row containing ***START in the first cell will indicate the beginning of the body section of the sub-batch The body section will consist of a single row of APP Transaction data for each crew member or passenger, with the individual fields conforming to the rules in Figure 99 for an Air transactions batch and Figure 106 for a transaction batch for general aviation, bus or shipping services June 2015 Page 117 of 157

118 A row containing ***END in the first cell will indicate the end of data for a sub-batch Subsequent occurrences of the rows from ***HEADER to ***END will contain data for other sub-batches Any further documentation rows inserted by the user following the final ***END will be ignored by the system Blank rows anywhere in the spreadsheet will be ignored. June 2015 Page 118 of 157

119 AIRLINE BATCH FORMAT VERSION 1 No. Data Label Field Name Data Type and Maximum Length Mandatory/ Optional Comments 1 ***VERSION 1 Optional If missing or left blank, Version 1 is assumed. 2 *** HEADER Mandatory 3 *CANCEL Transaction Type 4 *TYPE Crew/ Passenger Type none Conditional The presence of this data label indicates a Cancellation sub-batch. Alpha (1) Mandatory The Crew/Passenger indicator for the sub-batch. Permissible values are: C = Operating crew X = Positioning crew P = Passenger. 5 *DIRECTION Direction Alpha (1) Mandatory The direction of the flight. Permissible values are: I = Inbound O = Outbound. 6 *FLIGHT Flight Number Alphanumeric (8) Mandatory Flight number. 7 *DEP PORT Departure Port Alpha (3) Mandatory Three-character IATA airport code. 8 *DEP DATE Departure Date Alphanumeric (11) Format DD-MON-YYYY 9 *DEP TIME Departure Time Numeric (4) Format HHMM Mandatory Mandatory Scheduled departure date from Departure Port. The date separator may also be "/","-" or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, 1 day prior to today or up to 29 days after today. Scheduled departure time from Departure Port. Value must be 0 if time is not known. 10 *ARR PORT Arrival Port Alpha (3) Mandatory Three-character IATA airport code for final port for flight. 11 *ARR DATE Arrival Date Alphanumeric (11) Format DD-MON-YYYY 12 *ARR TIME Arrival Time Numeric (4) Format HHMM Mandatory Mandatory Scheduled arrival date at Arrival Port. Can be today, one day prior to today or up to 29 days after today. Scheduled arrival time at Arrival Port. Value must be 0 if time not known. June 2015 Page 119 of 157

120 No. Data Label Field Name Data Type and Maximum Length 13 *TB PORT Trans-border Port 14 *TB DATE Trans-border Date 15 *TB TIME Trans-border Time Mandatory/ Optional Comments Alpha (3) Conditional The first port in the UAE for an Inbound flight or the last port in the UAE for an Outbound flight. Only required if it is different from the Arrival Port for an Inbound flight or different from the Departure Port for an Outbound flight. Three-character IATA airport code. Alphanumeric (11) Format DD-MON-YYYY Numeric (4) Format HHMM Conditional Conditional Scheduled arrival date at Trans-border Port for Inbound flight, or scheduled departure date from Trans-border Port for Outbound flight. Only required if Trans-border Port is provided. Scheduled arrival time at Trans-border Port for Inbound flight, or scheduled departure time from Trans-border Port for Outbound flight. Only required if Trans-border Port is provided. Figure 98: APP Transaction Batch (Air) Header Data June 2015 Page 120 of 157

121 No. Field Name Data Type and Maximum Length 1 Document Number Alphanumeric (14) Mandatory/Optional Conditional Comments 2 Nationality Alpha (3) Mandatory Three-character ICAO nationality code. 3 Document Type Travel document number. A value is REQUIRED unless the UAE Government has given permission to board a person with no travel document. Alpha (1) Conditional Type of travel document. Permissible values are: P = Passport (default if data item is blank) O = Other N = None (only if there is no travel document). 4 Family Name Alpha (24) Mandatory 5 Given Names Alpha (24) Mandatory 6 Date of Birth Alphanumeric (11) Mandatory Format DD-MON-YYYY 7 Sex Alpha (1) Mandatory Permissible values are: M = Male F = Female X = Unspecified. 8 Country of Birth 9 Document Expiry Date The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format. For date of birth ONLY, the day OR the day and the month may be omitted if not included in the travel document. Examples: DEC-1975 or Alpha (3) Optional Three-character ICAO country code of country of birth. Alphanumeric (11) Optional Format DD-MON-YYYY Document expiry date as shown in the travel document. June 2015 Page 121 of 157

122 No. Field Name Data Type and Maximum Length Mandatory/Optional Comments 10 Override Alpha (1) Conditional Override code indicating that an earlier directive denying permission to board is being overridden after consultation with the UAE Government or assessment of the situation against published information. Only applies to Check-in transactions. Permissible values are: A = Override based on a decision by the airline using published rules G = Override based on specific advice from the UAE Government. 11 Response Alphanumeric (May include a series of error messages) Conditional When a processed batch is downloaded from the APP System, the result of the APP transaction is placed into this column. Possible responses are described in detail in the Airline/GG Interface Specification, Version In summary, they are: OK to Board Do Not Board Cancelled No Record Board if Documents OK Contact Government Insufficient data Override Accepted or various validation error messages. Figure 99: APP Transaction (Air) Data June 2015 Page 122 of 157

123 Example Version 1 Batch File Containing a Single Sub-batch Document Number ***HEADER *TYPE C *DIRECTION I Nationality *FLIGHT SV1064 *DEP PORT LHR *DEP DATE 23-OCT-2010 *DEP TIME 1205 *ARR PORT DXB *ARR DATE 23-OCT-2010 *ARR TIME 1340 *TB PORT *TB DATE *TB TIME ***START Doc Type Family Name Given Names Date of Birth Sex Country of Birth GBR P BROWN ARTHUR JOHN 10-Jun-1960 M GBR 15-Jul USA P CLARK BILLY ADAM 15-Apr-1981 M USA 15-Aug GBO P EDWARDS DAVID ROBERT 5-Apr-1954 M USA P TURNER SAMUEL 19-Jul-1969 M E AUS P UNDERWOOD THOMAS 23-Aug-1984 F ***END Figure 100: Example APP Transaction (Air) Batch Version 1 (Microsoft Excel Format) Expiry Date Override Response June 2015 Page 123 of 157

124 AIRLINE BATCH FORMAT VERSION 2 No. Data Label Field Name Data Type and Maximum Length Mandatory/ Optional Comments 1 ***VERSION 2 Optional If missing or left blank, Version 1 is assumed. The presence of Version 2 indicates that this is Version 2 batch file format. 2 *** HEADER Mandatory 3 *CANCEL Transaction Type 4 *TYPE Crew/ Passenger Type none Conditional The presence of this data label indicates a Cancellation sub-batch. Alpha (1) Mandatory The Crew/Passenger indicator for the sub-batch. Permissible values are: C = Operating crew X = Positioning crew P = Passenger. 5 *DIRECTION Direction Alpha (1) Mandatory The direction of the flight. Permissible values are: I = Inbound O = Outbound. 6 *FLIGHT Flight Number Alphanumeric (8) Mandatory Flight number. 7 *DEP PORT Departure Port Alpha (3) Mandatory Three-character IATA airport code. 8 *DEP DATE Departure Date Alphanumeric (11) Format DD-MON-YYYY 9 *DEP TIME Departure Time Numeric (4) Format HHMM Mandatory Mandatory Scheduled departure date from Departure Port. The date separator may also be "/","-" or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, 1 day prior to today or up to 29 days after today. Scheduled departure time from Departure Port. Value must be 0 if time is not known. 10 *ARR PORT Arrival Port Alpha (3) Mandatory Three-character IATA airport code for final port for flight. 11 *ARR DATE Arrival Date Alphanumeric (11) Format DD-MON-YYYY 12 *ARR TIME Arrival Time Numeric (4) Format HHMM Mandatory Mandatory Scheduled arrival date at Arrival Port. Can be today, one day prior to today or up to 29 days after today. Scheduled arrival time at Arrival Port. Value must be 0 if time not known. June 2015 Page 124 of 157

125 No. Data Label Field Name Data Type and Maximum Length 13 *TB PORT Trans-border Port 14 *TB DATE Trans-border Date 15 *TB TIME Trans-border Time Mandatory/ Optional Comments Alpha (3) Conditional The first port in the UAE for an Inbound flight or the last port in the UAE for an Outbound flight. Only required if it is different from the Arrival Port for an Inbound flight or different from the Departure Port for an Outbound flight. Three-character IATA airport code. Alphanumeric (11) Format DD-MON-YYYY Numeric (4) Format HHMM Conditional Conditional Scheduled arrival date at Trans-border Port for Inbound flight, or scheduled departure date from Trans-border Port for Outbound flight. Only required if Trans-border Port is provided. Scheduled arrival time at Trans-border Port for Inbound flight, or scheduled departure time from Trans-border Port for Outbound flight. Only required if Trans-border Port is provided. Figure 101: APP Transaction Batch (Air) Header Data June 2015 Page 125 of 157

126 No. Field Name Data Type and Maximum Length 1 Document Number Alphanumeric (14) Mandatory/Optional Conditional Comments 2 Nationality Alpha (3) Mandatory Three-character ICAO nationality code. 3 Document Type Travel document number. A value is REQUIRED unless the UAE Government has given permission to board a person with no travel document. Alpha (1) Conditional Type of travel document. Permissible values are: P = Passport (default if data item is blank) O = Other N = None (only if there is no travel document). 4 Issuing State Alpha (3) Mandatory Issuing state in the travel document. 5 Family Name Alpha (24) Mandatory 6 Given Names Alpha (24) Mandatory 7 Date of Birth Alphanumeric (11) Mandatory Format DD-MON-YYYY 8 Sex Alpha (1) Mandatory Permissible values are: M = Male F = Female X = Unspecified. 9 Country of Birth 10 Document Expiry Date The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format. For date of birth ONLY, the day OR the day and the month may be omitted if not included in the travel document. Examples: DEC-1975 or Alpha (3) Optional Three-character ICAO country code of country of birth. Alphanumeric (11) Optional Format DD-MON-YYYY Document expiry date as shown in the travel document. June 2015 Page 126 of 157

127 No. Field Name Data Type and Maximum Length Mandatory/Optional Comments 11 Travel Type Alpha (1) Optional Permissible values are: N = Normal (Default) T = Transit X = Transfer. This field is present if the batch file format is Version Override Alpha (1) Conditional Override code indicating that an earlier directive denying permission to board is being overridden after consultation with the UAE Government or assessment of the situation against published information. Only applies to Check-in transactions. Permissible values are: A = Override based on a decision by the airline using published rules G = Override based on specific advice from the UAE Government. 13 Response Alphanumeric (May include a series of error messages) Conditional When a processed batch is downloaded from the APP System, the result of the APP transaction is placed into this column. Possible responses are described in detail in the Airline/GG Interface Specification, Version In summary, they are: OK to Board Do Not Board Cancelled No Record Board if Documents OK Contact Government Insufficient data Override Accepted or various validation error messages. Figure 102: APP Transaction (Air) Data June 2015 Page 127 of 157

128 Example Version 2 Batch File Containing a Single Sub-batch Document Number Nationality Doc Type Issuing State Family Name Given Names Date of Birth Sex Country of Birth Expiry Date Trave l Type Override Response ***VERSION 2 ***HEADER *TYPE P *DIRECTION I *FLIGHT SV1064 *DEP PORT LHR *DEP DATE 20-OCT-2010 *DEP TIME 0800 *ARR PORT AUH *ARR DATE 20-OCT-2010 *ARR TIME 0930 *TB PORT *TB DATE *TB TIME ***START GBR P GBR BROWN ARTHUR 10-Jun-1960 M GBR 15-Jul-2012 T USA P USA CLARK JOHN BILL TOM 15-Apr-1981 M USA 15-Aug-2012 X GBO P GBR EDWARDS ADAM DAVID 5-Apr-1954 M N E AUS P AUS FOSTER ROBERT EVAN 5-May-1956 M N CA KOR O GBR SONG JENNY 16-Apr-1944 F N G ***END Figure 103: Example APP Transaction (Air) Batch Version 2 (Microsoft Excel Format) This is the same data as in Figure 103, but in CSV format using Version 2 Batch file format. This file was created from the Microsoft Excel spreadsheet used in example above. The conversion inserts trailing commas for trailing null fields. These commas are not mandatory and files that are not generated by Microsoft Excel need not include them. June 2015 Page 128 of 157

129 Document Number,Nationality,Document Type,Issuing State,Family Name,Given Names,Date of Birth,Sex,Country of Birth,Expiry Date,Travel Type,Override,Response ***VERSION 2,,,,,,,,,,,, ***HEADER,,,,,,,,,,,, *TYPE,P,,,,,,,,,,, *DIRECTION,I,,,,,,,,,,, *FLIGHT,SV1064,,,,,,,,,,, *DEP PORT,LHR,,,,,,,,,,, *DEP DATE,20-Oct-2010,,,,,,,,,,, *DEP TIME,0800,,,,,,,,,,, *ARR PORT,AUH,,,,,,,,,,, *ARR DATE,20-Oct-2010,,,,,,,,,,, *ARR TIME,0930,,,,,,,,,,, *TB PORT,,,,,,,,,,,, *TB DATE,,,,,,,,,,,, *TB TIME,,,,,,,,,,,,,,,,,,,,,,,, ***START,,,,,,,,,,,, ,GBR,P,GBR,BROWN,ARTHUR JOHN,10-Jun-1960,M,GBR,15-Jul-2012,T,, ,USA,P,USA,CLARK,BILL TOM,15-Apr-1981,M,USA,15-Aug-2012,X,, ,GBO,P,GBR,EDWARDS,DAVID ROBERT,5-Apr-1954,M,,,N,, E ,AUS,P,AUS,FOSTER,EVAN,5-May-1956,M,,,N,, CA ,KOR,O,GBR,SONG,JENNY,16-Apr-1944,F,,,N,G, ***END,,,,,,,,,,,, Figure 104: Example APP Transaction (Air) Batch Version 2 (CSV format) June 2015 Page 129 of 157

130 Sea Carriers Batch Format VERSION 2S (No transit or transfer movements only) No. Data Label Field Name Data Type & Maximum Length Mandatory/ Optional Comments 1 ***VERSION 2S Conditional. Version 2S can be used only for shipping services where all movements are either arrivals or departures. No transit or transfer movements can be specified. 2 *** HEADER Mandatory 3 *CANCEL Transaction Type 4 *TYPE Crew/ Passenger Type none Conditional The presence of this data label indicates a Cancellation sub-batch. Alpha (1) Mandatory The Crew/Passenger indicator for the sub-batch. Permissible values are: C = Operating crew X = Positioning crew P = Passenger. 5 *DIRECTION Direction Alpha (1) Mandatory The direction of the service. Permissible values are: I = Inbound O = Outbound. 6 *VESSEL IMO Number Alphanumeric (8) Conditional. The IMO Number of the vessel. 7 *DEP PORT Departure Port Alpha (5) Conditional For shipping services: Five-character UN/LOCODE Mandatory for Outbound, Optional for Inbound. 8 *DEP DATE Departure Date Alphanumeric (11) Format DD-MON-YYYY Conditional Scheduled departure date from Departure Port The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, one day prior to today or up to 29 days after today. Mandatory if Departure Port is provided. June 2015 Page 130 of 157

131 No. Data Label Field Name Data Type & Maximum Length 9 *DEP TIME Departure Time Numeric (4) Format HHMM with leading zeros. Mandatory/ Optional Conditional Comments Scheduled departure time from Departure Port Mandatory if Departure Port is provided. Value must be 0 if time is not known. 10 *ARR PORT Arrival Port Alpha (5) Conditional For shipping services: Five-character UN/LOCODE Mandatory for Inbound, Optional for Outbound 11 *ARR DATE Arrival Date Alphanumeric (11) Format DD-MON-YYYY 12 *ARR TIME Arrival Time Numeric (4) Format HHMM with leading zeros. 13 *TB PORT Trans-border Port 14 *TB DATE Trans-border Date 15 *TB TIME Trans-border Time Conditional Conditional Scheduled arrival date at Arrival Port The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, one day prior to today or up to 29 days after today. Mandatory if Arrival Port is provided. Scheduled arrival time at Arrival Port Mandatory if Arrival Port is provided. Value must be 0 if time is not known. Alpha (5) Conditional The port at which the service will cross the border of the UAE. For shipping services: Five-character UN/LOCODE The Trans-border port will only be required if it is different from the Arrival Port for an Inbound service or different from the Departure Port for an Outbound service Alphanumeric (11) Format DD-MON-YYYY Numeric (4) Format HHMM with leading zeros. Conditional Conditional Scheduled arrival date at Trans-border Port for Inbound service, or scheduled departure date from Trans-border Port for Outbound service Only required if Trans-border Port is provided Scheduled arrival time at Trans-border Port for Inbound service, or scheduled departure time from Trans-border Port for Outbound service Only required if Trans-border Port is provided Figure 105: APP Transaction Batch (general aviation and Surface) Header Data June 2015 Page 131 of 157

132 No. Field Name Data Type & Maximum Length 1 Document Number Alphanumeric (14) Mandatory/ Optional Conditional Comments 2 Nationality Alpha (3) Mandatory Three-character ICAO nationality code. 3 Document Type 4 Issuing State 5 Family Name 6 Given Names Travel document number Required unless the UAE Government has given permission to board a person with no travel document. Alpha (1) Conditional Type of travel document. Permissible values are: P = Passport (default if data item is blank) O = Other N = None (only if there is no travel document). Alpha (3) Conditional Mandatory if Document Type = O Alpha (24) Mandatory Alpha (24) Mandatory 7 Date of Birth Alphanumeric (11) Optional Format DD-MON-YYYY 8 Sex Alpha (1) Optional Permissible values are: M = Male F = Female X = Unspecified. 9 Country of Birth 10 Document Expiry Date The date separator may also be "/" or "." or omitted completely. This applies to all date fields in this format For date of birth ONLY, the day OR the day and the month may be omitted if not included in the travel document. Examples: DEC-1975 or Alpha (3) Optional Three-character ICAO country code of country of birth. Alphanumeric (11) Optional Format DD-MON-YYYY Document expiry date as shown in the travel document. June 2015 Page 132 of 157

133 No. Field Name Data Type & Maximum Length Mandatory/ Optional Comments 11 Override Alpha (1) Conditional Override code indicating that an earlier directive denying permission to board is being overridden after consultation with the UAE Government or assessment of the situation against published information. Only applies to Check-in transactions. Permissible values are: A = Override based on a decision by the airline using published rules G = Override based on specific advice from the UAE Government. 12 Response Alphanumeric (May include a series of error messages) Conditional When a processed batch is downloaded from the APP System, the result of the APP transaction is placed into this column. Possible responses from the AP are described in detail in the Airline/GG Interface Specification, Version For general aviation, bus and shipping services, the text of the responses differ from the standard airline responses because there is no check-in process as used for scheduled air services. The possible responses are: APP OK (equivalent to OK to Board ) APP Not OK (equivalent to Do Not Board ) Cancelled No Record APP OK If Docs OK (equivalent to Board if Documents OK ) Contact Government Insufficient data Override Accepted or various validation error messages. Figure 106: APP Transaction (general aviation and Surface) Data June 2015 Page 133 of 157

134 Example Version 2S Batch File Containing a Single Sub-batch for an Inbound Shipping Service Document Number Nationality Doc Type Issuing State Family Name Given Names Date of Birth Sex Country of Birth Expiry Date Override Response ***VERSION 2S ***HEADER *TYPE P *DIRECTION I *VESSEL *ARR PORT SAJED *ARR DATE 20-OCT-2010 *ARR TIME 0930 ***START GBR P BROWN ARTHUR 10-Jun-1960 M GBR 15-Jul USA P CLARK BILLY ADAM 15-Apr-1981 M USA 15-Aug GBO P GBR EDWARDS DAVID 5-Apr-1954 M E AUS P FOSTER EVAN 5-May-1956 M CA KOR O GBR SONG JENNY 16-Apr-1944 F G ***END Figure 107: Example APP Transaction (ship) Batch Version 2S (Microsoft Excel Format) June 2015 Page 134 of 157

135 General Aviation, Land and Sea Carriers Batch Format VERSION 3S No. Data Label Field Name Data Type & Maximum Length Mandatory/ Optional Comments 1 ***VERSION 3S Conditional. Version 3S can be used for general aviation, bus services and shipping with transit/transfer movements. 2 *** HEADER Mandatory 3 *CANCEL Transaction Type 4 *TYPE Crew/ Passenger Type none Conditional The presence of this data label indicates a Cancellation sub-batch. Alpha (1) Mandatory The Crew/Passenger indicator for the sub-batch. Permissible values are: C = Operating crew X = Positioning crew P = Passenger. 5 *DIRECTION Direction Alpha (1) Mandatory The direction of the service. Permissible values are: I = Inbound O = Outbound. 6 *SERVICE Service Identifier Alphanumeric(8 ) Conditional For general aviation, the call sign of the aircraft. For shipping services, the IMO Number of the vessel. For bus services, the service number. June 2015 Page 135 of 157

136 No. Data Label Field Name Data Type & Maximum Length Mandatory/ Optional Comments 7 *DEP PORT Departure Port Alpha (5) Conditional For general aviation: Three-character IATA airport code Mandatory. For bus services: Five-character UN/LOCODE Mandatory. For shipping services: Five-character UN/LOCODE Mandatory for Outbound, Optional for Inbound. 8 *DEP DATE Departure Date Alphanumeric (11) Format DD-MON-YYYY 9 *DEP TIME Departure Time Numeric (4) Format HHMM with leading zeros. Conditional Conditional Scheduled departure date from Departure Port The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, one day prior to today or up to 29 days after today. Mandatory if Departure Port is provided. Scheduled departure time from Departure Port Mandatory if Departure Port is provided. Value must be 0 if time is not known. 10 *ARR PORT Arrival Port Alpha (5) Conditional For general aviation: Three-character IATA airport code Mandatory For bus services: Five-character UN/LOCODE Mandatory For shipping services: Five-character UN/LOCODE Mandatory for Inbound, Optional for Outbound June 2015 Page 136 of 157

137 No. Data Label Field Name Data Type & Maximum Length 11 *ARR DATE Arrival Date Alphanumeric (11) Format DD-MON-YYYY 12 *ARR TIME Arrival Time Numeric (4) Format HHMM with leading zeros. 13 *TB PORT Trans-border Port 14 *TB DATE Trans-border Date 15 *TB TIME Trans-border Time Mandatory/ Optional Conditional Conditional Comments Scheduled arrival date at Arrival Port The date separator may also be "/", - or "." or omitted completely. This applies to all date fields in this format in the batch. Can be today, one day prior to today or up to 29 days after today. Mandatory if Arrival Port is provided. Scheduled arrival time at Arrival Port Mandatory if Arrival Port is provided. Value must be 0 if time is not known. Alpha (5) Conditional The port at which the service will cross the border of the UAE. For general aviation: Three-character IATA airport code For bus services: Five-character UN/LOCODE For shipping services: Five-character UN/LOCODE Mandatory for bus services. For other services, the Trans-border port will only be required if it is different from the Arrival Port for an Inbound service or different from the Departure Port for an Outbound service Alphanumeric (11) Format DD-MON-YYYY Numeric (4) Format HHMM with leading zeros. Conditional Conditional Scheduled arrival date at Trans-border Port for Inbound service, or scheduled departure date from Trans-border Port for Outbound service Only required if Trans-border Port is provided Scheduled arrival time at Trans-border Port for Inbound service, or scheduled departure time from Trans-border Port for Outbound service Only required if Trans-border Port is provided Figure 108: APP Transaction Batch (general aviation and Surface) Header Data June 2015 Page 137 of 157

138 No. Field Name Data Type & Maximum Length 1 Document Number Alphanumeric (14) Mandatory/ Optional Conditional Comments 2 Nationality Alpha (3) Mandatory Three-character ICAO nationality code. 3 Document Type 4 Issuing State 5 Family Name 6 Given Names Travel document number Required unless the UAE Government has given permission to board a person with no travel document. Alpha (1) Conditional Type of travel document. Permissible values are: P = Passport (default if data item is blank) O = Other N = None (only if there is no travel document). Alpha (3) Conditional Mandatory if Document Type = O Alpha (24) Mandatory Alpha (24) Mandatory 7 Date of Birth Alphanumeric (11) Optional Format DD-MON-YYYY 8 Sex Alpha (1) Optional Permissible values are: M = Male F = Female X = Unspecified. 9 Country of Birth 10 Document Expiry Date The date separator may also be "/" or "." or omitted completely. This applies to all date fields in this format For date of birth ONLY, the day OR the day and the month may be omitted if not included in the travel document. Examples: DEC-1975 or Alpha (3) Optional Three-character ICAO country code of country of birth. Alphanumeric (11) Optional Format DD-MON-YYYY Document expiry date as shown in the travel document. June 2015 Page 138 of 157

139 No. Field Name Data Type & Maximum Length Mandatory/ Optional Comments 11 Travel Type Alpha (1) Optional Permissible values are: N = Normal (Default) T = Transit X = Transfer. 12 Override Alpha (1) Conditional Override code indicating that an earlier directive denying permission to board is being overridden after consultation with the UAE Government or assessment of the situation against published information. Only applies to Check-in transactions. Permissible values are: A = Override based on a decision by the airline using published rules G = Override based on specific advice from the UAE Government. 13 Response Alphanumeric (May include a series of error messages) Conditional When a processed batch is downloaded from the APP System, the result of the APP transaction is placed into this column. Possible responses from the AP are described in detail in the Airline/GG Interface Specification, Version For general aviation, bus and shipping services, the text of the responses differ from the standard airline responses because there is no check-in process as used for scheduled air services. The possible responses are: APP OK (equivalent to OK to Board ) APP Not OK (equivalent to Do Not Board ) Cancelled No Record APP OK If Docs OK (equivalent to Board if Documents OK ) Contact Government Insufficient data Override Accepted or various validation error messages. Figure 109: APP Transaction (General aviation and Surface) Data June 2015 Page 139 of 157

140 Example Version 3S Batch File Containing a Single Sub-batch for an Outbound Bus Service Document Number Nationality Doc Typ e Issuing State Family Name Given Names Date of Birth Sex Country of Birth Expiry Date Travel Type Override Response ***VERSION 3S ***HEADER *TYPE P *DIRECTION O *SERVICE DB1230 *DEP PORT SADMM *DEP DATE 20-OCT-2010 *DEP TIME 0700 *ARR PORT BHAHD *ARR DATE 20-OCT-2010 *ARR TIME 0930 *TB PORT BHKFC *TB DATE 20- OCT-2011 *TB TIME 0845 ***START GBR P BROWN ARTHUR JOHN 10-Jun-1960 M GBR 15-Jul-2012 N USA P CLARK BILLY ADAM 15-Apr-1981 M USA 15-Aug-2012 N GBO P GBR EDWAR DAVID ROBERT 5-Apr-1954 M N E AUS P DS FOSTER EVAN 5-May-1956 M N CA KOR O GBR SONG JENNY 16-Apr-1944 F N G ***END Figure 110: Example APP Transaction (bus) Batch Version 3S (Microsoft Excel Format) June 2015 Page 140 of 157

141 Appendix D Error Messages There will be three levels of data checking done during the process of submitting an APP transaction or cancellation through the Carrier Portal. All data input pages will have client-side validation built-in. This will be coded in JavaScript and will be executed on the user s browser before the page is submitted to the portal. If any validation check is failed, an error message will be displayed immediately to the user and the page cannot be submitted. The possible error messages are listed further in this section. When input data reaches the Carrier Portal Application Server it is validated again. This is done to guard against the possibility of: Data corruption during transmission A user attempting to submit data by some means which bypasses the client-side validation. If this re-validation fails, an error screen will be displayed with the appropriate error message. In practice, this is never likely to occur, due to the client-side validation. The Application Server will send messages to the AP in the same format that the GG uses, and therefore may, in principle, receive any of the errors that could be returned to the GG. In practice, due to the validation described above, most of the possible errors from the AP cannot occur. The few remaining expected AP errors are listed below. When a batch of APP transactions is submitted, there will be no possibility of performing client-side validation. However, each transaction in the batch will be processed in the same way as individual transactions. If a batch transaction fails the validation on the Application Server, it will not be submitted to the AP; instead, an error message will be constructed for inclusion in the response batch. This error message may contain up to six separate elements, corresponding to six validation failures. June 2015 Page 141 of 157

142 If the transaction passes the Application Server validation and is submitted to the AP, the AP may return up to three error codes. These error codes will be used to construct an error message for inclusion in the response batch. These multiple error messages will also be displayed in the batch enquiry screen. Figure 111 lists the error messages that can be displayed during the client-side validation. Client-side APP Validation Error Messages Crew type must be C or X Passenger/Crew type must be P or C Passenger/Crew type must be P, C or X Flight Number cannot be blank Flight Number contains invalid character Departure port cannot be blank Departure port contains invalid character Departure Date is invalid Arrival port cannot be blank Arrival port contains invalid character Arrival Date is invalid Arrival Time is invalid First port contains invalid character Date at First port is invalid Time at First port is invalid Passport Number cannot be blank Passport Number contains invalid character Passport Number must be blank if document type is N Nationality must be selected from the list Date of Birth is incomplete Month cannot be 'Unknown' if day is given Date of Birth is invalid June 2015 Page 142 of 157

143 Client-side APP Validation Error Messages Date of Birth later than today's date Sex must be M, F or X Country of Birth must be selected from the list Passport Expiry Date is incomplete Passport Expiry Date is invalid Passport Expiry Date earlier than today's date Passport Expiry Date too far in the future Family Name cannot be blank Family Name contains invalid character Given Names cannot be blank Given Names contain invalid character Invalid Document Type Figure 111: Client-side APP validation errors June 2015 Page 143 of 157

144 The error messages produced by the Application Server validation will be generally shorter, since they are listed vertically on the screen in the batch enquiry and in a response batch. Figure 112 lists the possible messages. Application Server APP Validation Errors Passport number must be supplied Invalid nationality Invalid date of birth Invalid sex code Invalid country of birth Invalid passport expiry date Family name must be supplied Family name contains invalid character Given names must be supplied Given names contain invalid character Passport number contains invalid character Passport number too long Invalid issuing state Invalid document type Invalid crew type Flight number must be supplied Invalid Passenger/Crew indicator Departure port must be supplied Arrival port must be supplied Invalid arrival date Invalid arrival time Invalid first port Invalid first port date Invalid first port time Figure 112: Application Server APP validation errors June 2015 Page 144 of 157

145 Figure 113 lists the APP error codes that may be received from the AP and the messages that will be displayed to the user. AP Error Code Error Message 6017 Expiry date outside allowable range 6020 Invalid country of birth 6033 Invalid passport number format 6046 Departure port required 6047 Invalid departure flight number 6048 Departure date invalid 6049 Departure time invalid 6050 First port not a valid port code 6051 Invalid first port flight number 6052 First port date invalid 6053 First port time invalid 6054 Arrival port not a valid port code 6055 Invalid arrival flight number 6056 Arrival date invalid 6057 Arrival time invalid Six of the above codes are translated differently for Outbound movements: OB6050 Last port not a valid port code OB6052 Last port date invalid OB6053 Last port time invalid OB6054 Departure port not a valid port code OB6056 Departure date invalid OB6057 Departure time invalid 6062 Travel document type invalid 6078 Invalid override flag 6082 Inappropriate override code 6083 Document number given for document type N June 2015 Page 145 of 157

146 AP Error Code Error Message 6084 Invalid country of birth 6092 Override not authorised In the unlikely event of receiving an error code from the AP that is not in the above list, the Carrier Portal displays the generic message: 6SYS A system error occurred while your request was being processed by the APP System In addition, if the Application Server experiences a problem connecting to the AP, or gets no response from the AP, one of the following messages will be displayed. These codes are modelled on the corresponding GG error codes Cannot connect to the APP System 5057 No response from the APP System Figure 113: APP Error Codes from the AP June 2015 Page 146 of 157

147 Appendix E Support Technical Support For any technical errors from the Carrier Portal the following SITA support contacts should be used. SITA Contact Centre In The United Arab Emirates contact phone number is , then dial zero and enter the key 611. For other contact numbers please refer to then dial zero and enter the key 611. For any other country not listed above, please call , then dial zero and enter the key ssd.amm.gsl@sita.aero. What to do? In the below cases, airlines should board passengers without completing check-in: If problems with Carrier Portal system are causing a flight delay If the Carrier Portal outage lasts for more than 20 min during the check-in time. In such circumstances above the passenger information should be checked-in at the earliest possible time when the Carrier Portal System issues are resolved. Login Support For problems related to Usernames or Passwords please contact your Carrier Portal Administrator for your airline. If you are a Carrier Portal Administrator and are experiencing problems with your Username or Password please contact API UAE Centre on the following: June 2015 Page 147 of 157

148 Within UAE: 800-API-UAE ( ). Outside UAE: API-UAE ( ). Registration Support For any registration enquiries please contact API UAE Centre on the following: Within UAE: 800-API-UAE ( ). Outside UAE: API-UAE ( ). June 2015 Page 148 of 157

149 Appendix F CTA Batch File Formats This appendix describes the batch file format for CTA Batch Files for Carrier Users. The following table shows the batch files which may be submitted for Air CTA applications and the corresponding result file. Air Batch Files CTA Application Batch Sea Batch Files CTA Application Batch Crew CTA/APP Transaction Batch The batch data may be provided in either of the following formats: Figure 114: Air Batch Files Microsoft Excel spreadsheet file. These files must have an extension of xls or xlsx. Comma Separated Value (CSV) file. These files must have an extension of csv. In this document the file formats are described in terms of the spreadsheet format. There will be no restriction on batch file names, apart from the extension requirements defined above. The file name will not be used to identify the batch. It will be identified by a reference provided by the user when the batch is submitted. June 2015 Page 149 of 157

150 Air Batch Files CTA Application File - Excel Spreadsheet Format The sequence of rows in the Microsoft Excel spreadsheet is as follows: Heading rows preceding the application data for individual crew members. These may be column headings or documentation inserted by the user who created the spreadsheet. A row containing ***START in the first cell indicates that the following rows contain application data. This row will also contain V3 in the second cell to indicate that the following data conforms to this specification rather than the earlier format. CTA application data formatted as a single row for each applicant, with the individual fields conforming to the rules in Figure 115. The end of data for individual applications is denoted by a line containing only ***END in the first cell. Any further documentation rows inserted by the user following the ***END are ignored by the web site processes. Blank rows anywhere in the spreadsheet are ignored. CTA Application Result File - Excel Spreadsheet Format The file structure is the same as for the CTA Application File (above), with the data fields described in Figure 117. The response for each application is inserted into column 12. CTA Application and Result Files - CSV Format The CSV files for CTA applications and application results are in the format of the files created by Microsoft Excel from the spreadsheets specified above. June 2015 Page 150 of 157

151 Col No. Field Name Data Type and Maximum Length Mandatory/Optional Comments 1 Document Number Alphanumeric (14) Mandatory Travel document number of the crew member. 2 Nationality Alpha (3) Mandatory ICAO three-character country code of the nationality of the crew member as shown in the travel document. 3 Family Name Alpha (24) Mandatory Family name of the crew member as shown in the travel document. 4 Given Names Alpha (24) Mandatory Given names of the crew member as shown in the travel document. 5 Date of Birth Alphanumeric (11) Mandatory Date of birth of the crew member as shown in the travel document. The recommended date formats are: 23Dec1985 or 23-Dec-1985 (separators may also be / or.) Dec1985 or Dec-1985 (separator may also be / or.) 1985 Note: The month may be upper case, lower case or mixed case. The two-digit year format is also permitted eg. 23-Dec Sex Alpha (1) Mandatory Sex of the crew member as shown in the travel document. Permissible values are: M = Male F = Female 7 Country of Birth Alpha (3) Optional ICAO three-character country code of country of birth of the crew member. This data is optional but should be provided if it is available. 8 Document Expiry Date Alphanumeric (11) Conditional Document expiry date as shown in the travel document. Permissible date formats are as specified for Date of Birth, except that a full date must be supplied (item 5 above). This data is optional but should be provided if it is available. June 2015 Page 151 of 157

152 Col No. Field Name Data Type and Maximum Length Mandatory/Optional Comments 9 Issuing State Alpha (3) Mandatory ICAO three-character country code of the issuing state of the travel document. This information is often on the top of the passport title page and may be called Code, Code of Issuing State, Issuing Country, Country Code, Code of State or something similar. It is normally a three-character country code, but the code for Germany is D. On some passports, this information is not specifically stated. In these cases, the Nationality should be used for the Issuing State. Note: The Issuing State is not always the same as the Nationality of the passport holder. A common example where these two data elements differ is passports issued by the United Kingdom (GBR) to a person classified as British National Overseas (GBN). In this case, the Issuing State is GBR and the Nationality is GBN. 10 Document Issue Date Alphanumeric (11) Mandatory Travel document issue date as shown in the travel document. Permissible date formats are as specified for Date of Birth, except that a full date must be supplied (item 5 above). 11 Issuing Authority/ Place of Issue 12 Response Alphanumeric (May include a series of error messages) Alphanumeric (60) Mandatory Issuing authority or place of issue of the travel document as shown in the travel document. The Issuing Authority/Place of Issue field is a free text field and will be located in the passport somewhere near the applicant's name. The field may be called Issuing Authority or Authority or Place of Issue or something similar. These details could be a series of numbers, a place, the name of a government department or a stamp and should be entered exactly as shown in the passport. For example, British High Commission, Wellington; 861;Sydney; Ministry of Foreign Affairs Mumbai, etc. Conditional Result of the CTA application. This field is used in the result file only. Possible values are: Registered if the CTA application was successful; and Error message(s). Note: The fields highlighted in orange have been added to allow airlines to provide the additional data now required for all visa and CTA applications Figure 115: CTA Application Data June 2015 Page 152 of 157

153 Air Batch Files - Examples Examples of the following air batch file formats are included in this section: CTA Application Batch Microsoft Excel Format CTA Application Batch Result Microsoft Excel Format CTA Application Batch Resubmission Microsoft Excel Format CTA Application Batch Resubmission Result Microsoft Excel Format CTA Application Batch CSV Format June 2015 Page 153 of 157

154 Figure 116: CTA Application Batch (Microsoft Excel Format) June 2015 Page 154 of 157

155 Figure 117: CTA Application Batch Result (Microsoft Excel Format) June 2015 Page 155 of 157

156 Figure 118: CTA Application Batch Resubmission (Microsoft Excel Format) Figure 119: CTA Application Batch Resubmission Result (Microsoft Excel Format) June 2015 Page 156 of 157