Supporting Law/Regulation

Bureau of Customs and Border Protection, DHS, Treasury
report of arrival and entry under the
same conditions as a vessel owned or
controlled by the United States.

§ 4.7

1304, or, optionally, a copy of the Crew
List, Customs and Immigration Form
I–418, to which are attached crewmember’s declarations on Customs
Form 5129, (4) Crew List, Customs and
Immigration Form I–418, and (5) Passenger List, Customs and Immigration
Form I–418. Any document which is not
required may be omitted from the
manifest provided the word ‘‘None’’ is
inserted in items 16, 18, and/or 19 of the
Vessel Entrance or Clearance Statement, as appropriate. If a vessel arrives
in ballast and therefore the Cargo Declaration is omitted, the legend ‘‘No
merchandise on board’’ shall be inserted in item 16 of the Vessel Entrance or Clearance Statment.
(b)(1) With the exception of any
Cargo Declaration that has been filed
in advance as prescribed in paragraph
(b)(2) of this section, the original and
one copy of the manifest must be ready
for production on demand. The master
shall deliver the original and one copy
of the manifest to the Customs officer
who shall first demand it. If the vessel
is to proceed from the port of arrival to
other United States ports with residue
foreign cargo or passengers, an additional copy of the manifest shall be
available for certification as a traveling manifest (see § 4.85). The port director may require an additional copy
or additional copies of the manifest,
but a reasonable time shall be allowed
for the preparation of any copy which
may be required in addition to the
original and one copy.
(2) Subject to the effective date provided in paragraph (b)(5) of this section, and with the exception of any
bulk or authorized break bulk cargo as
prescribed in paragraph (b)(4) of this
section, Customs and Border Protection (CBP) must receive from the incoming carrier, for any vessel covered
under paragraph (a) of this section, the
CBP-approved electronic equivalent of
the vessel’s Cargo Declaration (Customs Form 1302), 24 hours before the
cargo is laden aboard the vessel at the
foreign port (see § 4.30(n)(1)). The current approved system for presenting
electronic cargo declaration information to CBP is the Vessel Automated
Manifest System (AMS).
(3)(i) Where a non-vessel operating
common carrier (NVOCC), as defined in

[28 FR 14596, Dec. 31, 1963, as amended by 39
FR 10897, Mar. 22, 1974; T.D. 83–213, 48 FR
46978, Oct. 17, 1983; CBP Dec. 03–32, 68 FR
68168, Dec. 5, 2003]

§ 4.6 Departure or unlading before report or entry.
(a) No vessel which has arrived within the limits of any Customs port from
a foreign port or place shall depart or
attempt to depart, except from stress
of weather or other necessity, without
reporting and making entry as required
in this part. These requirements shall
not apply to vessels merely passing
through waters within the limits of a
Customs port in the ordinary course of
a voyage.
(b) The ‘‘limits of any Customs port’’
as used herein are those described in
§ 101.3(b) of this chapter, including the
marginal waters to the 3-mile limit on
the seaboard and the waters to the
boundary line on the northern and
southern boundaries.
(c) Violation of this provision may
result in the master being liable for
certain civil penalties and the vessel to
arrest and forfeiture, as provided under
19 U.S.C. 1436, in addition to other penalties applicable under other provisions
of law.
[T.D. 93–96, 58 FR 67316, Dec. 21, 1993, as
amended by T.D. 98–74, 63 FR 51287, Sept. 25,
1998]

§ 4.7 Inward foreign manifest; production on demand; contents and form;
advance filing of cargo declaration.
(a) The master of every vessel arriving in the United States and required
to make entry shall have on board his
vessel a manifest, as required by section 431, Tariff Act of 1930 (19 U.S.C.
1431), and by this section. The manifest
shall be legible and complete. If it is in
a foreign language, an English translation shall be furnished with the original and with any required copies. The
manifest shall consist of a Vessel Entrance or Clearance Statement, Customs Form 1300, and the following documents: (1) Cargo Declaration, Customs Form 1302, (2) Ship’s Stores Declaration, Customs Form 1303, (3) Crew’s
Effects Declaration, Customs Form

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§ 4.7

19 CFR Ch. I (4–1–05 Edition)

paragraph (b)(3)(ii) of this section, delivers cargo to the vessel carrier for
lading aboard the vessel at the foreign
port, the NVOCC, if licensed by or registered with the Federal Maritime
Commission and in possession of an
International Carrier Bond containing
the provisions of § 113.64 of this chapter, may electronically transmit the
corresponding required cargo manifest
information
directly
to
Customs
through the Vessel Automated Manifest System (AMS) that must be received 24 or more hours before the related cargo is laden aboard the vessel
at the foreign port (see § 113.64(c) of
this chapter); in the alternative, the
NVOCC must fully disclose and present
the required manifest information for
the related cargo to the vessel carrier
which, is required to present this information to Customs via the vessel AMS
system.
(ii) A non-vessel operating common
carrier (NVOCC) means a common carrier that does not operate the vessels
by which the ocean transportation is
provided, and is a shipper in its relationship with an ocean common carrier. The term ‘‘non-vessel operating
common carrier’’ does not include
freight forwarders as defined in part 112
of this chapter.
(iii) Where the party electronically
presenting to CBP the cargo information required in § 4.7a(c)(4) receives any
of this information from another party,
CBP will take into consideration how,
in accordance with ordinary commercial practices, the presenting party acquired such information, and whether
and how the presenting party is able to
verify this information. Where the presenting party is not reasonably able to
verify such information, CBP will permit the party to electronically present
the information on the basis of what
the party reasonably believes to be
true.
(4) Carriers of bulk cargo as specified
in paragraph (b)(4)(i) of this section
and carriers of break bulk cargo to the
extent provided in paragraph (b)(4)(ii)
of this section are exempt with respect
to that cargo from the requirement set
forth in paragraph (b)(2) of this section
that a cargo declaration be filed with
Customs 24 hours before such cargo is
laden aboard the vessel at the foreign

port. Any carriers of bulk or break
bulk cargo that are exempted from the
filing requirement of paragraph (b)(2)
of this section must present their cargo
declarations to Customs 24 hours prior
to arrival in the U.S. if they are participants in the vessel AMS program,
or upon arrival if they are non-automated carriers. These carriers must
still report 24 hours in advance of loading any containerized or non-qualifying
break bulk cargo they will be transporting.
(i) A carrier is exempt from the filing
requirement of paragraph (b)(2) of this
section with respect to the bulk cargo
it is transporting. Bulk cargo is defined
for purposes of this section as homogeneous cargo that is stowed loose in
the hold and is not enclosed in any container such as a box, bale, bag, cask, or
the like. Such cargo is also described
as bulk freight. Specifically, bulk
cargo is composed of either:
(A) Free flowing articles such as oil,
grain, coal, ore, and the like, which can
be pumped or run through a chute or
handled by dumping; or
(B) Articles that require mechanical
handling such as bricks, pig iron, lumber, steel beams, and the like.
(ii) A carrier of break bulk cargo may
apply for an exemption from the filing
requirement of paragraph (b)(2) of this
section with respect to the break bulk
cargo it will be transporting. For purposes of this section, break bulk cargo
is cargo that is not containerized, but
which is otherwise packaged or bundled.
(A) To apply for an exemption, the
carrier must submit a written request
for exemption to the U.S. Customs
Service, National Targeting Center,
1300 Pennsylvania Ave., NW., Washington, DC 20229. Until an application
for an exemption is granted, the carrier
must comply with the 24 hour advance
manifest requirement set out in paragraph (b)(2) of this section. The written
request for exemption must clearly set
forth information such that Customs
may assess whether any security concerns exist, such as: The carrier’s IRS
number; the source, identity and
means of the packaging or bundling of
the commodities being shipped; the
ports of call, both foreign and domestic; the number of vessels the carrier

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Bureau of Customs and Border Protection, DHS, Treasury
uses to transport break bulk cargo,
along with the names of these vessels
and their International Maritime Organization numbers; and the list of the
carrier’s importers and shippers, identifying any who are members of CTPAT (The Customs-Trade Partnership
Against Terrorism).
(B) Customs will evaluate each application for an exemption on a case by
case basis. If Customs, by written response, provides an exemption to a
break bulk carrier, the exemption is
only
applicable
under
the
circumstances clearly set forth in the application
for
exemption.
If
circumstances set forth in the approved
application change, it will be necessary
to submit a new application.
(C) Customs may rescind an exemption granted to a carrier at any time.
(5) Within 90 days of December 5,
2003, all ocean carriers, and NVOCCs
electing to participate, must be automated on the Vessel AMS system at all
ports of entry in the United States.
(c) No Passenger List or Crew List
shall be required in the case of a vessel
arriving from Canada, otherwise than
by sea, at a port on the Great Lakes or
their connecting or tributary waters.
(d)(1) The master or owner of—
(i) A vessel documented under the
laws of the United States with a registry, coastwise license, or Great Lakes
license endorsement, or a vessel not so
documented but intended to be employed in the foreign, coastwise, or
Great Lakes trade, or
(ii) A documented vessel with a fishery license endorsement which has a
permit to touch and trade (see § 4.15) or
a vessel with a fishery license endorsement lacking a permit to touch and
trade but intended to engage in trade—
at the port of first arrival from a foreign country shall declare on Customs
Form 226 any equipment, repair parts,
or materials purchased for the vessel,
or any expense for repairs incurred,
outside the United States, within the
purview of section 466, Tariff Act of
1930, as amended (19 U.S.C. 1466). If no
equipment, repair parts, or materials
have been purchased, or repairs made,
a declaration to that effect shall be
made on Customs Form 226.
(2) If the vessel is at least 500 gross
tons, the declaration shall include a

§ 4.7

statement that no work in the nature
of a rebuilding or alteration which
might give rise to a reasonable belief
that the vessel may have been rebuilt
within the meaning of the second proviso to section 27, Merchant Marine
Act, 1920, as amended (46 U.S.C. 883),
has been effected which has not been
either previously reported or separately reported simultaneously with
the filing of such declaration. The port
director shall notify the U.S. Coast
Guard vessel documentation officer at
the home port of the vessel of any work
in the nature of a rebuilding or alteration, including the construction of
any major component of the hull or superstructure of the vessel, which comes
to his attention unless the port director is satisfied that the owner of the
vessel has filed an application for rebuilt determination as required by 46
CFR 67.27–3.
(3) The declaration shall be ready for
production on demand for inspection
and shall be presented as part of the
original manifest when formal entry of
the vessel is made.
(e) 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, or who fails to present or transmit the information required by this
section in a timely manner, 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 paragraph (b)(3)(ii) of this section elects to transmit cargo manifest
information to Customs electronically
and fails to do so in the manner and in
the time period required by paragraph
(b)(3)(i) of this section, or electronically transmits any false, forged or altered document, paper, manifest or
data to Customs, such NVOCC may be
liable for the payment of liquidated
damages as provided in § 113.64(c) of
this chapter, in addition to any other

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§ 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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