Supporting Law/Regulation

§ 4.7a

19 CFR Ch. I (4–1–05 Edition)

penalties applicable under other provisions of law.

(3) For requirements concerning the
preparation of Customs Form 5129, see
subpart G of part 148 of this chapter.
(4) Any articles which are required to
be manifested and are not manifested
shall be subject to forfeiture and the
master shall be subjected to a penalty
equal to the value thereof, as provided
in section 584, Tariff Act of 1930, as
amended.
(c) Cargo Declaration. (1) The Cargo
Declaration (Customs Form 1302 or a
Customs-approved electronic equivalent) must list all the inward foreign
cargo on board the vessel regardless of
the U.S. port of discharge, and must
separately list any other foreign cargo
remaining on board (‘‘FROB’’). For the
purposes of this part, ‘‘FROB’’ means
cargo which is laden in a foreign port,
is intended for discharge in a foreign
port, and remains aboard a vessel during either direct or indirect stops at
one or more intervening United States
ports. The block designated ‘‘Arrival’’
at the top of the form shall be checked.
The name of the shipper shall be set
forth in the column calling for such information and on the same line where
the bill of lading is listed for that shipper’s merchandise. When more than
one bill of lading is listed for merchandise from the same shipper, ditto
marks or the word ‘‘ditto’’ may be used
to indicate the same shipper. The cargo
described in column Nos. 6 and 7, and
either column No. 8 or 9, shall refer to
the respective bills of lading. Either
column No. 8 or column No. 9 shall be
used, as appropriate. The gross weight
in column No. 8 shall be expressed in
either pounds or kilograms. The measurement in column No. 9 shall be expressed according to the unit of measure specified in the Harmonized Tariff
Schedule of the United States (HTSUS)
(19 U.S.C. 1202).
(2)(i) When inward foreign cargo is
being shipped by container, each bill of
lading shall be listed in the column
headed ‘‘B/L Nr.’’ in numerical sequence according to the bill of lading
number. The number of the container
which contains the cargo covered by
that bill of lading and the number of
the container seal shall be listed in column No. 6 opposite the bill of lading
number. The number of any other bill
of lading for cargo in that container

[T.D. 71–169, 36 FR 12602, July 2, 1971, as
amended by T.D. 74–284, 39 FR 39718, Nov. 11,
1974; T.D. 77–255, 42 FR 56319, Oct. 25, 1977;
T.D. 80–237, 45 FR 64565, Sept. 30, 1980; T.D.
83–214, 48 FR 46511, Oct. 13, 1983; T.D. 92–74, 57
FR 35751, Aug. 11, 1992; T.D. 00–22, 65 FR
16515, Mar. 29, 2000; T.D. 02–62, 67 FR 66331,
Oct. 31, 2002; 68 FR 1801, Jan. 14, 2003; CBP
Dec. 03–32, 68 FR 68168, Dec. 5, 2003]

§ 4.7a Inward manifest; information required; alternative forms.
The forms designated by § 4.7(a) as
comprising the inward manifest shall
be completed as follows:
(a) Ship’s Stores Declaration. Articles
to be retained aboard as sea or ship’s
stores shall be listed on the Ship’s
Stores Declaration, Customs Form
1303. Less than whole packages of sea
or ship’s stores may be described as
‘‘sundry small and broken stores.’’
(b) Crew’s Effects Declaration. (Customs
Form 1304). (1) The declaration number
of the Crew Member’s Declaration, Customs Form 5129, prepared and signed by
any officer or crewmember who intends
to land articles in the United States, or
the word ‘‘None,’’ shall be shown in
item No. 7 on the Crew’s Effects Declaration, Customs Form 1304 opposite
the respective crewmember’s name.
(2) In lieu of describing the articles
on Customs Form 1304, the master may
furnish a Crew List, Customs and Immigration Form I–418, endorsed as follows:
I certify that this list, with its supporting
crewmembers’ declarations, is a true and
complete manifest of all articles on board
the vessel acquired abroad by myself and the
officers and crewmembers of this vessel,
other than articles exclusively for use on the
voyage or which have been duly cleared
through Customs in the United States.
————————————
(Master.)

The Crew List on Form I–418 shall
show, opposite the crewmember’s
name, his shipping article number and,
in column 5, the declaration number. If
the crewmember has nothing to declare, the word ‘‘None’’ shall be placed
opposite his name instead of a declaration number.

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Bureau of Customs and Border Protection, DHS, Treasury
also shall be listed in column No. 6 immediately under the container and seal
numbers. A description of the cargo
shall be set forth in column No. 7 only
if the covering bill of lading is listed in
the column headed ‘‘B/L Nr.’’
(ii) As an alternative to the procedure described in paragraph (i), a separate list of the bills of lading covering
each container on the vessel may be
submitted on Customs Form 1302 or on
a separate sheet. If this procedure is
used:
(A) Each container number shall be
listed in alphanumeric sequence by
port of discharge in column No. 6 of
Customs Form 1302, or on the separate
sheet; and
(B) The number of each bill of lading
covering cargo in a particular container, identifying the port of lading,
shall be listed opposite the number of
the container with that cargo in the
column headed ‘‘B/L Nr.’’ if Customs
Form 1302 is used, or either opposite or
under the number of the container if a
separate sheet is used.
(iii) All bills of lading, whether
issued by a carrier, freight forwarder,
or other issuer, shall contain a unique
identifier consisting of up to 16 characters in length. The unique bill of lading number will be composed of two
elements. The first element will be the
first four characters consisting of the
carrier or issuer’s four digit Standard
Carrier Alpha Code (SCAC) assigned to
the carrier in the National Motor
Freight Traffic Association, Inc., Directory of Standard Multi-Modal Carrier and Tariff Agent Codes, applicable
supplements thereto and reissues
thereof. The second element may be up
to 12 characters in length and may be
either alpha and/or numeric. The
unique identifier shall not be used by
the carrier, freight forwarder or issuer
for another bill of lading for a period of
3 years after issuance. Customs processing of the unique identifier will be
limited to checking the validity of the
Standard Carrier Alpha Codes (SCAC)
and ensuring that the identifier has
not been duplicated within a 3-year period. Carriers and broker/importers will
be responsible for reconciliation of discrepancies between manifests and entries. Customs will not perform any

§ 4.7a

reconciliation except in a post-audit
process.
(3) For shipment of containerized or
palletized cargo, Customs officers shall
accept a Cargo Declaration which indicates that it has been prepared on the
basis of information furnished by the
shipper. The use of words of qualification shall not limit the responsibility
of a master to submit accurate Cargo
Declarations or qualify the oath taken
by the master as to the accuracy of his
declaration.
(i) If Cargo Declaration covers only
containerized or palletized cargo, the
following statement may be placed on
the declaration:
The information appearing on the declaration relating to the quantity and description
of the cargo is in each instance based on the
shipper’s load and count. I have no knowledge or information which would lead me to
believe or to suspect that the information
furnished by the shipper is incomplete, inaccurate, or false in any way.

(ii) If the Cargo Declaration covers
conventional cargo and containerized
or palletized cargo, or both, the use of
the abbreviation ‘‘SLAC’’ for ‘‘shipper’s load and count,’’ or an appropriate abbreviation if similar words are
used, is approved: Provided, That abbreviation is placed next to each containerized or palletized shipment on the
declaration and the following statement is placed on the delaration:
The information appearing on this declaration relating to the quantity and description
of cargo preceded by the abbreviation
‘‘SLAC’’ is in each instance based on the
shipper’s load and count. I have no information which would lead me to believe or to
suspect that the information furnished by
the shipper is incomplete, inaccurate, or
false in any way.

(iii) The statements specified in paragraphs (c)(3) (i) and (ii) of this section
shall be placed on the last page of the
Cargo Declaration. Words similar to
‘‘the shipper’s load and count’’ may be
substituted for those words in the
statements. Vague expressions such as
‘‘said to contain’’ or ‘‘accepted as containing’’ are not acceptable. The use of
an asterisk or other character instead
of appropriate abbreviations, such as
‘‘SLAC’’, is not acceptable.
(4) In addition to the cargo manifest
information required in paragraphs

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§ 4.7a

19 CFR Ch. I (4–1–05 Edition)

(c)(1)–(c)(3) of this section, for all inward foreign cargo, the Cargo Declaration, either on Customs Form 1302, or
on a separate sheet or Customs-approved electronic equivalent, must
state the following:
(i) The last foreign port before the
vessel departs for the United States;
(ii) The carrier SCAC code (the
unique Standard Carrier Alpha Code
assigned for each carrier; see paragraph
(c)(2)(iii) of this section);
(iii) The carrier-assigned voyage
number;
(iv) The date the vessel is scheduled
to arrive at the first U.S. port in Customs territory;
(v) The numbers and quantities from
the carrier’s ocean bills of lading, either master or house, as applicable
(this means that the carrier must
transmit the quantity of the lowest external packaging unit; containers and
pallets are not acceptable manifested
quantities; for example, a container
containing 10 pallets with 200 cartons
should be manifested as 200 cartons);
(vi) The first foreign port where the
carrier takes possession of the cargo
destined to the United States;
(vii) A precise description (or the
Harmonized Tariff Schedule (HTS)
numbers to the 6-digit level under
which the cargo is classified if that information is received from the shipper)
and weight of the cargo or, for a sealed
container, the shipper’s declared description and weight of the cargo. Generic descriptions, specifically those
such as ‘‘FAK’’ (‘‘freight of all kinds’’),
‘‘general cargo’’, and ‘‘STC’’ (‘‘said to
contain’’) are not acceptable;
(viii) The shipper’s complete name
and address, or identification number,
from all bills of lading. (At the master
bill level, for consolidated shipments,
the identity of the Non Vessel Operating
Common
Carrier
(NVOCC),
freight forwarder, container station or
other carrier is sufficient; for non-consolidated shipments, and for each
house bill in a consolidated shipment,
the identity of the foreign vendor, supplier, manufacturer, or other similar
party is acceptable (and the address of
the foreign vendor, etc., must be a foreign address); by contrast, the identity
of the carrier, NVOCC, freight forwarder or consolidator is not accept-

able; the identification number will be
a unique number assigned by CBP upon
the implementation of the Automated
Commercial Environment);
(ix) The complete name and address
of the consignee, or identification
number, from all bills of lading. (For
consolidated shipments, at the master
bill level, the NVOCC, freight forwarder, container station or other carrier may be listed as the consignee. For
non-consolidated shipments, and for
each house bill in a consolidated shipment, the consignee is the party to
whom the cargo will be delivered in the
United States, with the exception of
‘‘FROB’’ (foreign cargo remaining on
board). However, in the case of cargo
shipped ‘‘to order of [a named party],’’
the carrier must report this named ‘‘to
order’’ party as the consignee; and, if
there is any other commercial party
listed in the bill of lading for delivery
or contact purposes, the carrier must
also report this other commercial party’s identity and contact information
(address) in the ‘‘Notify Party’’ field of
the advance electronic data transmission to CBP, to the extent that the
CBP-approved electronic data interchange system is capable of receiving
this data. The identification number
will be a unique number assigned by
CBP upon implementation of the Automated Commercial Environment);
(x) The vessel name, country of documentation, and official vessel number.
(The vessel number is the International
Maritime Organization number assigned to the vessel);
(xi) The foreign port where the cargo
is laden on board;
(xii) Internationally recognized hazardous material code when such materials are being shipped;
(xiii) Container numbers (for containerized shipments);
(xiv) The seal numbers for all seals
affixed to containers; and
(xv) Date of departure from foreign,
as reflected in the vessel log (this element relates to the departure of the
vessel from the foreign port with respect to which the advance cargo declaration is filed (see § 4.7(b)(2)); the
time frame for reporting this data element will be either:
(A) No later than 24 hours after departure from the foreign port of lading,

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Bureau of Customs and Border Protection, DHS, Treasury
for those vessels that will arrive in the
United States more than 24 hours after
sailing from that foreign port; or
(B) No later than the presentation of
the permit to unlade (Customs Form
(CF) 3171, or electronic equivalent), for
those vessels that will arrive less than
24 hours after sailing from the foreign
port of lading); and
(xvi) Time of departure from foreign,
as reflected in the vessel log (see
§ 4.7a(c)(4)(xv) for the applicable foreign
port and the time frame within which
this data element must be reported to
CBP).
(d) Crew List. The Crew List shall be
completed in accordance with the requirements of the Immigration and
Naturalization Service, United States
Department of Justice (8 CFR part 251).
(e) Passenger List. (1) The Passenger
List shall be completed in accordance
with § 4.50 and with the requirements of
the Immigration and Naturalization
Service, U.S. Department of Justice (8
CFR part 231), and the following certification shall be placed on its last
page:

§ 4.8

marks or addresses thereof shall be
listed on the last sheet of the passenger
list under the caption ‘‘Unaccompanied
baggage.’’
(f) Failure to provide manifest information; penalties/liquidated damages. Any
master who fails to provide manifest
information as required by this section, or who presents or transmits electronically any document required by
this section that is forged, altered or
false, may be liable for civil penalties
as provided under 19 U.S.C. 1436, in addition to penalties applicable under
other provisions of law. In addition, if
any non-vessel operating common carrier (NVOCC) as defined in § 4.7(b)(3)(ii)
elects to transmit cargo manifest information to Customs electronically,
and fails to do so as required by this
section, or transmits electronically
any document required by this section
that is forged, altered or false, such
NVOCC may be liable for liquidated
damages as provided in § 113.64(c) of
this chapter, in addition to other penalties applicable under other provisions
of law.

I certify that Customs baggage declaration
requirements have been made known to incoming passengers; that any required Customs baggage declarations have been or will
simultaneously herewith be filed as required
by law and regulation with the proper Customs officer; and that the responsibilities devolving upon this vessel in connection therewith, if any, have been or will be discharged
as required by law or regulation before the
proper Customs officer. I further certify that
there are no steerage passengers on board
this vessel (46 U.S.C. 151–163).

[T.D. 71–169, 36 FR 12602, July 2, 1971, as
amended by T.D. 73–27, 38 FR 2448, Jan. 26,
1973; T.D. 77–255, 42 FR 56320, Oct. 25, 1977;
T.D. 79–31, 44 FR 5649, Jan. 29, 1979; T.D. 85–
123, 50 FR 29952, July 23, 1985; T.D. 89–58, 54
FR 20381, May 11, 1989; T.D. 93–66, 58 FR 44130,
Aug. 19, 1993; T.D. 95–77, 60 FR 50010, Sept. 27,
1995; T.D. 98–74, 63 FR 51287, Sept. 25, 1998;
T.D. 02–62, 67 FR 66332, Oct. 31, 2002; CBP Dec.
03–32, 68 FR 68169, Dec. 5, 2003]

§ 4.8

————————————
Master

Preliminary entry.

(a) Generally. Preliminary entry allows a U.S. or foreign vessel arriving
under circumstances that require it to
formally enter, to commence lading
and unlading operations prior to making formal entry. Preliminary entry
may be accomplished electronically
pursuant to an authorized electronic
data interchange system, or by any
other means of communication approved by the Customs Service.
(b) Requirements and conditions. Preliminary entry must be made in compliance with § 4.30, and may be granted
prior to, at, or subsequent to arrival of
the vessel. The granting of preliminary

(2) If the vessel is carrying steerage
passengers, the reference to steerage
passengers shall be deleted from the
certification, and the master shall
comply with the requirements of § 4.50.
(3) If there are no steerage passengers
aboard upon arrival, the listing of the
passengers may be in the form of a vessel ‘‘souvenir passenger list,’’ or similar list, in which the names of the passengers are listed alphabetically and to
which the certificate referred to in
paragraph (e)(1) of this section is attached.
(4) All baggage on board a vessel not
accompanying a passenger and the

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