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4.21
4.22
4.23
Exemptions from tonnage taxes.
Exemptions from special tonnage taxes.
Certificate of payment and cash receipt.
4.24 Application for refund of tonnage tax.
requires any revocation of any other prior
Order or Directive of the Secretary of the
Treasury, such prior Order or Directive is
hereby revoked.
5. This Delegation of Authority is effective
May 15, 2003. This Delegation is subject to review on May 14, 2004. By March 15, 2004, the
Secretary of the Treasury and the Secretary
of Homeland Security shall consult with the
Chairman and Ranking Member of the Committee on Ways and Means and the Chairman
and Ranking Member of the Committee on
Finance to discuss the upcoming review of
this Delegation.
6. The Secretary of the Treasury reserves
the right to rescind or modify this Delegation of Authority, promulgate regulations,
or exercise authority at any time based upon
the statutory authority reserved to the Secretary by the Act.
John W. Snow, Secretary of the Treasury.
LANDING AND DELIVERY OF CARGO
4.30
Permits and special licenses for unlading and lading.
4.31 Unlading or transshipment due to casualty.
4.32 Vessels in distress, landing of cargo.
4.33 Diversion of cargo.
4.34 Prematurely discharged, overcarried,
and undelivered cargo.
4.35 Unlading outside port of entry.
4.36 Delayed discharge of cargo.
4.37 General order.
4.38 Release of cargo.
4.39 Stores and equipment of vessels and
crews’ effects; unlading or lading and retention on board.
4.40 Equipment, etc., from wrecked or dismantled vessels.
4.41 Cargo of wrecked vessel.
PARTS 1–3 [RESERVED]
PART 4—VESSELS IN FOREIGN AND
DOMESTIC TRADES
PASSENGERS ON VESSELS
4.50
4.51
Passenger lists.
Reporting requirements for individuals
arriving by vessel.
4.52 Penalties applicable to individuals.
ARRIVAL AND ENTRY OF VESSELS
Sec.
4.0 General definitions.
4.1 Boarding of vessels; cutter and dock
passes.
4.2 Reports of arrival of vessels.
4.3 Vessels required to enter; place of entry.
4.3a Penalties for violation of vessel reporting and entry requirements.
4.4 Panama Canal; report of arrival required.
4.5 Government vessels.
4.6 Departure or unlading before report or
entry.
4.7 Inward foreign manifest; production on
demand; contents and form; advance filing of cargo declaration.
4.7a Inward manifest; information required;
alternative forms.
4.7b Electronic passenger and crew arrival
manifests.
4.7c Vessel stow plan.
4.7d Container status messages.
4.8 Preliminary entry.
4.9 Formal entry.
4.10 Request for overtime services.
4.11 Sealing of stores.
4.12 Explanation of manifest discrepancy.
4.13 [Reserved]
4.14 Equipment purchases by, and repairs
to, American vessels.
4.15 Fishing vessels touching and trading at
foreign places.
4.16 [Reserved]
4.17 Vessels from discriminating countries.
FOREIGN CLEARANCES
4.60
4.61
4.62
4.63
Vessels required to clear.
Requirements for clearance.
Accounting for inward cargo.
Outward cargo declaration; shippers’
export declarations.
4.64 Electronic passenger and crew member
departure manifests.
4.65 Verification of nationality and tonnage.
4.65a Load lines.
4.66 Verification of inspection.
4.66a Illegal discharge of oil and hazardous
substances.
4.66b Pollution of coastal and navigable waters.
4.66c Oil pollution by oceangoing vessels.
4.67 Closed ports or places.
4.68 Federal Maritime Commission certificates for certain passengers vessels.
4.69 Shipping articles.
4.70 Public Health Service requirements.
4.71 Inspection of livestock.
4.72 Inspection of meat, meat-food products,
and inedible fats.
4.73 Neutrality; exportation of arms and
munitions.
4.74 Transportation orders.
4.75 Incomplete manifest; incomplete export declarations; bond.
4.76 Procedures and responsibilities of carriers filing outbound vessel manifest information via the AES.
TONNAGE TAX AND LIGHT MONEY
4.20
Pt. 4
Tonnage taxes.
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Pt. 4
19 CFR Ch. I (4–1–12 Edition)
COASTWISE PROCEDURE
Section 4.7a also issued under 19 U.S.C.
1498, 1584;
Section 4.7b also issued under 8 U.S.C. 1101,
1221;
Sections 4.7c and 4.7d also issued under 6
U.S.C. 943.
Section 4.8 also issued under 19 U.S.C. 1448,
1486;
Section 4.9 also issued under 42 U.S.C. 269;
Section 4.10 also issued under 19 U.S.C.
1448, 1451;
Section 4.12 also issued under 19 U.S.C.
1584;
Section 4.14 also issued under 19 U.S.C.
1466, 1498;
Section 4.20 also issued under 46 U.S.C.
2107(b), 8103, 14306, 14502, 14511–14513, 14701,
14702, 60301–60306, 60312;
Section 4.21 also issued under 19 U.S.C.
1441; 46 U.S.C. 60301–60310, 60312;
Section 4.22 also issued under 46 U.S.C.
60301, 60302, 60303, 60304, 60305, 60306, 60312,
60503;
Section 4.24 also issued under 46 U.S.C.
2108;
Section 4.30 also issued under 19 U.S.C. 288,
1446, 1448, 1450–1454, 1490;
Section 4.31 also issued under 19 U.S.C.
1453, 1586;
Section 4.32 also issued under 19 U.S.C.
1449;
Section 4.35 also issued under 19 U.S.C.
1447;
Section 4.36 also issued under 19 U.S.C.
1431, 1457, 1458; 46 U.S.C. 60107;
Section 4.37 also issued under 19 U.S.C.
1448, 1457, 1490;
Section 4.38 also issued under 19 U.S.C.
1448, 1505;
Section 4.39 also issued under 19 U.S.C.
1446;
Section 4.40 also issued under 19 U.S.C.
1446;
Section 4.50 also issued under 19 U.S.C.
1431; 46 U.S.C. 3502;
Section 4.51 also issued under 19 U.S.C.
1433;
Section 4.52 also issued under 19 U.S.C.
1433;
Section 4.61 also issued under 46 U.S.C.
12101, 12120, 12132, 55102, 55105–55108, 55110,
55115–55117, 55119;
Section 4.64 also issued under 8 U.S.C. 1221;
Section 4.65a also issued under 46 U.S.C.
5101–5102, 5106–5109, 5112–5114, 5116;
Section 4.66 also issued under 46 U.S.C.
60105;
Section 4.66a also issued under 33 U.S.C.
1321; 46 U.S.C. 60105;
Section 4.66b also issued under 33 U.S.C.
407, 1321;
Section 4.68 also issued under 46 U.S.C.
44101–44106;
Section 4.69 also issued under 46 U.S.C.
10301, 10302, 10314, and 10315.
Section 4.74 also issued under 46 U.S.C.
60105;
4.80
Vessels entitled to engage in coastwise
trade.
4.80a Coastwise transportation of passengers.
4.80b Coastwise transportation of merchandise.
4.81 Reports of arrivals and departures in
coastwise trade.
4.81a Certain barges carrying merchandise
transferred from another barge.
4.82 Touching at foreign port while in coastwise trade.
4.83 Trade between United States ports on
the Great Lakes and other ports of the
United States.
4.84 Trade with noncontiguous territory.
4.85 Vessels with residue cargo for domestic
ports.
4.86 Intercoastal residue—cargo procedure;
optional ports.
4.87 Vessels proceeding foreign via domestic
ports.
4.88 Vessels with residue cargo for foreign
ports.
4.89 Vessels in foreign trade proceeding via
domestic ports and touching at intermediate foreign ports.
4.90 Simultaneous vessel transactions.
4.91 Diversion of vessel; transshipment of
cargo.
4.92 Towing.
4.93 Coastwise transportation by certain
vessels of empty vans, tanks, and barges,
equipment for use with vans and tanks;
empty instruments of international traffic; stevedoring equipment and material;
procedures.
GENERAL
4.94 Yacht privileges and obligations.
4.94a Large yachts imported for sale.
4.95 Records of entry and clearance of vessels.
4.96 Fisheries.
4.97 Salvage vessels.
4.98 Navigation fees.
4.99 Forms; substitution.
4.100 Licensing of vessels of less than 30 net
tons.
4.101 Prohibitions against Customs officers
and employees.
AUTHORITY: 5 U.S.C. 301; 19 U.S.C. 66, 1431,
1433, 1434, 1624, 2071 note; 46 U.S.C. 501, 60105.
Section 4.1 also issued under 19 U.S.C.
1581(a); 46 U.S.C. 60101;
Section 4.2 also issued under 19 U.S.C. 1441,
1486;
Section 4.3 also issued under 19 U.S.C. 288,
1441;
Section 4.3a also issued under 19 U.S.C.
1433, 1436;
Section 4.5 also issued under 19 U.S.C. 1441;
Section 4.7 also issued under 19 U.S.C.
1581(a);
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U.S. Customs and Border Protection, DHS; Treasury
Section 4.75 also issued under 46 U.S.C.
60105;
Sections 4.80, 4.80a, and 4.80b also issued
under 19 U.S.C. 1706a; 28 U.S.C. 2461 note; 46
U.S.C. 12112, 12118, 50501–55106, 55107, 55108,
55110, 55114, 55115, 55116, 55117, 55119, 56101,
55121, 56101, 57109; Pub. L. 108–7, Division B,
Title II, § 211;
Section 4.81 also issued under 19 U.S.C.
1442, 1486; 46 U.S.C. 12101, 12120, 12132, 55102,
55105–55108, 55110, 55114–55117, 55119;
Section 4.81a also issued under 46 U.S.C.
12101, 12120, 12132, 55102, 55105–55108, 55110,
55114–55117, 55119;
Section 4.82 also issued under 19 U.S.C. 293,
294; 46 U.S.C. 60308;
Section 4.83 also issued under 46 U.S.C.
60105, 60308;
Section 4.84 also issued under 46 U.S.C.
12118;
Section 4.85 also issued under 19 U.S.C.
1442, 1623;
Section 4.86 also issued under 19 U.S.C.
1442;
Section 4.88 also issued under 19 U.S.C.
1442, 1622, 1623;
Section 4.92 also issued under 28 U.S.C. 2461
note; 46 U.S.C. 55111;
Section 4.93 also issued under 19 U.S.C.
1322(a); 46 U.S.C. 12101, 12120, 12132, 55102,
55105–55108, 55110, 55114–55117, 55119;
Section 4.94 also issued under 19 U.S.C.
1441; 46 U.S.C. 60504;
Section 4.94a also issued under 19 U.S.C.
1484b;
Section 4.96 also issued under 46 U.S.C.
12101(a)(1), 12108, 55114;
Section 4.98 also issued under 31 U.S.C.
9701;
Section 4.100 also issued under 19 U.S.C.
1706.
§ 4.0
(b) Vessel of the United States. The
term vessel of the United States means
any vessel documented under the laws
of the United States.
(c) Documented. The term documented
vessel means a vessel for which a valid
Certificate of Documentation, form CG
1270, issued by the U.S. Coast Guard is
outstanding. Upon qualification and
proper application to the appropriate
Coast Guard office, the Certificate of
Documentation may be endorsed with
a: (1) Registry endorsement (generally,
available to a vessel to be employed in
foreign trade, trade with Guam, American Samoa, Wake, Midway, or Kingman Reef, and other employments for
which another endorsement is not required), (2) coastwise endorsement
(generally, entitles a vessel to employment in the coastwise trade, and other
employments for which another endorsement is not required), (3) fishery
endorsement (generally, subject to federal and state laws regulating the fisheries, entitles a vessel to fish within
the Exclusive Economic Zone (16 U.S.C.
1811) and landward of that zone and to
land its catch) or (4) recreational endorsement (entitles a vessel to recreational use only). Any other terminology used elsewhere in this part to
describe the particular documentation
of a vessel shall be read as synonymous
with the applicable terminology contained in this paragraph. Generally,
any vessel of at least 5 net tons and
wholly owned by a United States citizen or citizens is eligible for documentation except that for a coastwise,
or fisheries endorsement a vessel must
also be built in the United States. Detailed Coast Guard regulations on documentation are set forth in Title 46,
Code of Federal Regulations, § 67.01–
67.45.
(d) Noncontiguous territory of the
United States. The term noncontiguous
territory of the United States includes all
the island territories and possessions of
the United States, but does not include
the Canal Zone.
(e) Citizen. The word citizen is as defined by the U.S. Coast Guard for purposes of vessel documentation (see subpart 67.03 of title 46, Code of Federal
Regulations.)
(f) Arrival of a vessel. The phrase ‘‘arrival of a vessel’’ means that time
EFFECTIVE DATE NOTE: At 77 FR 17332, Mar.
26, 2012, the authority citation was amended
by adding a citation for section 4.14, effective
Apr. 25, 2012. For the convenience of the user,
the added text is set forth as follows:
AUTHORITY: 5 U.S.C. 301; 19 U.S.C. 66, 1431,
1433, 1434, 1624, 2071 note; 46 U.S.C. 501, 60105.
*****
Section 4.14 also issued under 19 U.S.C.
1466, 1498; 31 U.S.C. 9701.
*****
SOURCE: 28 FR 14596, Dec. 31, 1963, unless
otherwise noted.
ARRIVAL AND ENTRY OF VESSELS
§ 4.0 General definitions.
For the purposes of this part:
(a) Vessel. The word vessel includes
every description of water craft or
other contrivance used or capable of
being used as a means of transportation on water, but does not include
aircraft. (19 U.S.C. 1401.)
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§ 4.1
19 CFR Ch. I (4–1–12 Edition)
when the vessel first comes to rest,
whether at anchor or at a dock, in any
harbor within the Customs territory of
the U.S.
(g) Departure of a vessel. The phrase
‘‘departure of a vessel’’ means that
time when the vessel gets under way on
its outward voyage and proceeds on the
voyage without thereafter coming to
rest in the harbor from which it is
going.
the master, without the permission of
the port director or the Customs officer
in charge until the vessel has been
properly inspected by Customs and
brought into the dock or anchorage at
which cargo is to be unladen and until
all passengers have been landed from
the vessel (19 U.S.C. 1433).
(3) Every person permitted to go on
board or to leave without the consent
of a Customs officer under the provisions of this paragraph shall be subject
to Customs and quarantine regulations.
(4) The master of any vessel shall not
authorize the boarding or leaving of his
vessel by any person in violation of
this paragraph.
(c) A port director, in his discretion
may issue a cutter pass on Customs
Form 3093 to permit the holder to
board an incoming vessel after it has
been inspected by the quarantine authorities and taken in charge by an officer of the Customs, as follows: (1) To
persons on official business; (2) to news
reporters, newspaper photographers,
photographers
of
established
motionpicture companies, and broadcasters of established radio broadcasting cmmpanies; and (3) in cases of
special exigency in which the port director is satisfied as to the urgent need
for the boarding and that its allowance
will not result in undue interference
with the performance of official business.
(d) No person in charge of a tugboat,
rowboat, or other vessel shall bring
such conveyance alongside an incoming
vessel heretofore described and put on
board thereof any person, except as authorized by law or regulations.
(e) [Reserved]
(f) Term cutter and dock passes, for a
period of not to exceed one year, may
be issued in the discretion of the port
director, to persons on official business
and to duly accredited news reporters
and newspaper photographers. Passes
are not transferable and shall be forfeited upon presentation by others
than those to whom issued.
[T.D. 69–266, 34 FR 20422, Dec. 31, 1969, as
amended by T.D. 83–214, 48 FR 46511, Oct. 13,
1983; T.D. 93–78, 58 FR 50256, Sept. 27, 1993;
T.D. 93–96, 58 FR 67315, Dec. 21, 1993; CBP
Dec. 08-25, 73 FR 40725, July 16, 2008]
§ 4.1 Boarding of vessels; cutter and
dock passes.
(a) Every vessel arriving at a Customs port will be subject to such supervision while in port as the port director
considers necessary. The port director
may detail Customs officers to remain
on board a vessel to secure enforcement of the requirements set forth in
this part. Customs may determine to
board as many vessels as considered
necessary to ensure compliance with
the laws it enforces.
(b)(1) No person, with or without the
consent of the master, except a pilot in
connection with the navigation of the
vessel, personnel from another vessel
in connection with the navigation of an
unmanned barge, an officer of Customs
or the Coast Guard, an immigration or
health officer, an inspector of the Animal and Plant Health Inspection Service of the U.S. Department of Agriculture, or an agent of the vessel or
consular officer exclusively for purposes relating to Customs formalities,
shall go on board any vessel arriving
from outside the Customs territory of
the United States without permission
of the port director or the Customs officer in charge until the vessel has been
taken in charge by a Customs officer.
(2) A person may leave the vessel for
the purpose of reporting its arrival as
required by law (see § 4.2), but no other
person, except those designated in
paragraph (b)(1) of this section, shall
leave any vessel arriving from outside
the Customs territory of the United
States, with or without the consent of
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 78–141, 43 FR 22174, May 24, 1978; T.D. 82–
224, 47 FR 35475, Aug. 16, 1982; T.D. 92–74, 57
FR 35751, Aug. 11, 1992; T.D. 95–77, 60 FR
50010, Sept. 27, 1995; T.D. 00–4, 65 FR 2872,
Jan. 19, 2000]
1-27 [Reserved]
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§ 4.3
amended), is in addition to the required
report of arrival, and must be made
within 24 hours of arrival.
§ 4.2 Reports of arrival of vessels.
(a) Upon arrival in any port or place
within the U.S., including, for purposes
of this section, the U.S. Virgin Islands,
of any vessel from a foreign port or
place, any foreign vessel from a port or
place within the U.S., or any vessel of
the U.S. carrying foreign merchandise
for which entry has not been made, the
master of the vessel must immediately
report that arrival to the nearest CBP
facility or other location designated by
the port director. The report of arrival,
except as supplemented in local instructions issued by the port director
and made available to interested parties by posting in CBP offices, publication in a newspaper of general circulation, and other appropriate means,
may be made by any means of communication to the port director or to a
CBP officer assigned to board the vessel. The CBP officer may require the
production of any documents or papers
deemed necessary for the proper inspection/examination of the vessel,
cargo, passenger, or crew.
(b) For purposes of this part, ‘‘foreign
port or place’’ includes a hovering vessel, as defined in 19 U.S.C. 1401(k), and
any point in customs waters beyond
the territorial sea or on the high seas
at which a vessel arriving in a port or
place in the U.S. has received merchandise.
(c) In the case of certain vessels arriving either in distress or for the limited purpose of taking on certain supplies and departing within a 24-hour
time period without having landed or
taken on any passengers or other merchandise (see section 441(4), Tariff Act
of 1930, as amended), the report must
be filed by either the master, owner, or
agent, and must be in the form and
give the information required by that
statute, except that the report need
not be under oath. A derelict vessel
will be considered one in distress and
any person bringing it into port must
report its arrival.
(d) The report of baggage and merchandise required to be made by certain passenger vessels making three or
more trips a week between U.S. and
foreign ports and vessels used exclusively as ferryboats carrying passengers, baggage, or merchandise (see
section 441(2), Tariff Act of 1930, as
[T.D. 93–96, 58 FR 67315, Dec. 21, 1993, as
amended by T.D. 94–44, 59 FR 23795, May 9,
1994; CBP Dec. 10–33, 75 FR 69585, Nov. 15,
2010]
§ 4.3 Vessels required to enter; place of
entry.
(a) Formal entry required. Unless specifically excepted by law, within 48
hours after the arrival at any port or
place in the United States, the following vessels are required to make
formal entry:
(1) Any vessel from a foreign port or
place;
(2) Any foreign vessel from a domestic port;
(3) Any vessel of the United States
having foreign merchandise on board
for which entry has not been made; or
(4) Any vessel which has visited a
hovering vessel as defined in 19 U.S.C.
1401(k), or has delivered or received
merchandise or passengers while outside the territorial sea.
(b) Completion of entry. (1) When vessel entry is to be made at the customhouse, either the master, licensed deck
officer, or purser may appear in person
during regular working hours to complete preliminary or formal vessel
entry; or necessary documents properly
executed by the master or other authorized officer may be delivered at the
customhouse by the vessel agent or
other personal representative of the
master.
(2) The appropriate CBP port director
may permit the entry of vessels to be
accomplished at locations other than
the customhouse, and services may be
requested outside of normal business
hours. CBP may take local resources
into consideration in allowing formal
entry to be transacted on board vessels
or at other mutually convenient approved sites and times within or outside of port limits. When services are
requested to be provided outside the
limits of a CBP port, the appropriate
port director to whom an application
must be submitted is the director of
the port located nearest to the point
where the proposed services would be
provided. That port director must be
satisfied that the place designated for
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§ 4.3a
19 CFR Ch. I (4–1–12 Edition)
merchandise is involved in the failure
to report arrival or make entry.
formal entry will be sufficiently under
CBP control at the time of entry, and
that the expenses incurred by CBP will
be reimbursed as authorized. It may be
required that advance notice of vessel
arrival be given as a condition for
granting requests for optional entry locations. A master, owner, or agent of a
vessel who desires that entry be made
at an optional location will file with
the appropriate port director an application on CBP Form 3171 and a single
entry or continuous bond on CBP Form
301 containing the bond conditions set
forth in § 113.64 of this chapter, in such
amount as that port director deems appropriate but not less than $1,000. If the
application is approved, the port director or a designated CBP officer will formally enter the vessel. Nothing in this
paragraph relieves any person or vessel
from any requirement as to how, when
and where they are to report, be inspected or receive clearance from other
Federal agencies upon arrival in the
United States.
[T.D. 93–96, 58 FR 67316, Dec. 21, 1993]
§ 4.4 Panama Canal; report of arrival
required.
Vessels which merely transit the
Panama Canal without transacting any
business there shall be required to report their arrival because of such transit. The report of arrival shall be made
in accordance with § 4.2(a).
[T.D. 79–276, 44 FR 61956, Oct. 29, 1979]
§ 4.5 Government vessels.
(a) No report of arrival or entry shall
be required of any vessel owned by, or
under the complete control and management of the United States or any of
its agencies, if such vessel is manned
wholly by members of the uniformed
services of the United States, by personnel in the civil service of the United
States, or by both, and is transporting
only property of the United States or
passengers traveling on official business of the United States, or it is ballast. In addition, any vessel chartered
by, and transporting only cargo that is
the property of, the U.S. Department of
Defense (DoD) will be treated as a Government vessel for the purpose of being
exempt from entry, where the DoDchartered vessel is manned entirely by
the civilian crew of the vessel carrier
under contract to DoD. Notwithstanding § 4.60(b)(3) of this part, such
DoD-chartered vessel is not exempt
from vessel clearance requirements.
However, if any cargo is on board, the
master or commander of each such vessel arriving from abroad shall file a
Cargo Declaration, Customs Form 1302,
or an equivalent form issued by the Department of Defense, in duplicate. The
original of each Cargo Declaration or
equivalent form required under this
paragraph shall be filed with the port
director within 48 hours after the arrival of the vessel. The other copy shall
be made available for use by the discharging inspector at the pier. See
§ 148.73 of this chapter with respect to
baggage on carriers operated by the
Department of Defense.
(b) The arrival of every vessel owned
or controlled and manned as described
in paragraph (a) of this section but
[T.D. 00–4, 65 FR 2872, Jan. 19, 2000, as amended at CBP Dec. 10–33, 75 FR 69585, Nov. 15,
2010]
§ 4.3a Penalties for violation of vessel
reporting and entry requirements.
Violation of the arrival or entry reporting requirements provided for in
this part may result in the master
being liable for certain civil and criminal penalties, as provided under 19
U.S.C. 1436, in addition to other penalties applicable under other provisions
of law. The penalties include civil monetary penalties for failure to report arrival or make entry, and any conveyance used in connection with any such
violation is subject to seizure and forfeiture. Further, if any merchandise
(other than sea stores or the equivalent
for conveyances other than a vessel) is
involved in the failure to report arrival
or entry, additional penalties equal to
the value of merchandise may be imposed, and the merchandise may be
seized and forfeited unless properly entered by the importer or consignee.
The criminal penalties, applicable upon
conviction, include fines and imprisonment if the master intentionally commits any violation of these reporting
and entry requirements or if prohibited
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§ 4.7
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, CBP
Form 1300, and the following documents: (1) Cargo Declaration, CBP
Form 1302, (2) Ship’s Stores Declaration, CBP Form 1303, (3) Crew’s Effects
Declaration, CBP Form 1304, or, optionally, a copy of the Crew List, Customs and Immigration Form I–418, to
which are attached crewmember’s declarations on CBP 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 CBP 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) In addition to the vessel stow plan
requirements pursuant to § 4.7c of this
part and the container status message
requirements pursuant to § 4.7d of this
part, and with the exception of any
bulk or authorized break bulk cargo as
prescribed in paragraph (b)(4) of this
transporting other property or passengers, and every vessel so owned or
controlled but not so manned, whether
in ballast or transporting cargo or passengers, shall be reported in accordance with § 4.2 and the vessel shall be
entered in accordance with § 4.9.
(c) Every vessel owned by, or under
the complete control and management
of, any foreign nation shall be exempt
from or subject to the laws relating to
report of arrival and entry under the
same conditions as a vessel owned or
controlled by the United States.
[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
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§ 4.7
19 CFR Ch. I (4–1–12 Edition)
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 (CBP
Form 1302), 24 hours before the cargo is
laden aboard the vessel at the foreign
port (see § 4.30(n)). The electronic cargo
declaration information must be transmitted through the CBP Automated
Manifest System (AMS) or any electronic data interchange system approved by CBP to replace the AMS system for this purpose. Any such system
change will be announced by notice in
the Federal Register.
(3)(i) Where a non-vessel operating
common carrier (NVOCC), as defined in
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 declaration information directly to CBP
through the vessel AMS system (or
other system approved by CBP for this
purpose). The information 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), as provided in paragraph
(b)(2) of this section, or in accordance
with paragraph (b)(4) of this section applicable to exempted bulk and break
bulk cargo. In the alternative, the
NVOCC must fully disclose and present
the required cargo declaration information for the related cargo to the vessel carrier which is required to present
this information to CBP, in accordance
with this section, via the vessel AMS
system (or other CBP-approved 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)
(i) 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 and
Border Protection, 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 cargo declaration requirement
set out in paragraph (b)(2) of this section. The written request for exemption must clearly set forth information
such that CBP may assess whether any
security concerns exist, such as: The
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U.S. Customs and Border Protection, DHS; Treasury
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 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 C-TPAT (The Customs-Trade
Partnership Against Terrorism).
(B) CBP will evaluate each application for an exemption on a case by case
basis. If CBP, 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) CBP may rescind an exemption
granted to a carrier at any time.
(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 CBP
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 CBP Form 226.
(2) If the vessel is at least 500 gross
tons, the declaration shall include a
statement that no work in the nature
§ 4.7
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 damages
under the international carrier bond of
$5,000 for each violation discovered. In
addition, if any non-vessel operating
common carrier (NVOCC) as defined in
paragraph (b)(3)(ii) of this section
elects to transmit cargo declaration information to CBP 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, cargo declaration information to CBP, such NVOCC
may be liable for the payment of liquidated damages as provided in
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§ 4.7a
19 CFR Ch. I (4–1–12 Edition)
(3) For requirements concerning the
preparation of CBP 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 (CBP Form 1302 submitted
in accordance with paragraph (b)(2) or
(b)(4) of this section) 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
§ 113.64(c) of this chapter, of $5,000 for
each violation discovered.
[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; CBP Dec.
08–46, 73 FR 71779, Nov. 25, 2008; CBP Dec. 09–
39, 74 FR 52676, Oct. 14, 2009; CBP Dec. 11–10,
76 FR 27608, May 12, 2011]
§ 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, CBP 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. (CBP
Form 1304). (1) The declaration number
of the Crew Member’s Declaration, CBP
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, CBP Form 1304 opposite the
respective crewmember’s name.
(2) In lieu of describing the articles
on CBP Form 1304, the master may furnish a Crew List, CBP 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 CBP 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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U.S. Customs and Border Protection, DHS; Treasury
of lading for cargo in that container
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 CBP 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
CBP 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 CBP 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. CBP 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 cargo declarations and
entries. CBP will not perform any rec-
§ 4.7a
onciliation except in a post-audit process.
(3) For shipment of containerized or
palletized cargo, CBP 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.
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§ 4.7a
19 CFR Ch. I (4–1–12 Edition)
(4) In addition to the cargo declaration information required in paragraphs (c)(1)–(c)(3) of this section, for
all inward foreign cargo, the Cargo
Declaration, 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 CBP
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 acceptable; 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) or
§ 4.7(b)(4)); 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,
for those vessels that will arrive in the
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.7b
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 damages under the international carrier bond of $5,000 for each
violation discovered. In addition, if any
non-vessel operating common carrier
(NVOCC) as defined in § 4.7(b)(3)(ii)
elects to transmit cargo declaration information to CBP 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 of
$5,000 for each violation discovered.
United States more than 24 hours after
sailing from that foreign port; or
(B) No later than the presentation of
the permit to unlade (CBP Form 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 applicable Department
of Homeland Security (DHS) regulations administered by CBP (8 CFR part
251).
(e) Passenger List. (1) The Passenger
List shall be completed in accordance
with § 4.50 and with the requirements of
applicable DHS regulations administered by CBP (8 CFR part 231), and the
following certification shall be placed
on its last page:
[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; CBP Dec. 08–
46, 73 FR 71779, Nov. 25, 2008; CBP Dec. 11–10,
76 FR 27609, May 12, 2011]
I certify that CBP baggage declaration requirements have been made known to incoming passengers; that any required CBP baggage declarations have been or will simultaneously herewith be filed as required by law
and regulation with the proper CBP 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 CBP
officer. I further certify that there are no
steerage passengers on board this vessel (46
U.S.C. 151–163).
§ 4.7b Electronic passenger and crew
arrival manifests.
————————————
Master
(a) Definitions. The following definitions apply for purposes of this section:
Appropriate official. ‘‘Appropriate official’’ means the master or commanding
officer, or authorized agent, owner, or
consignee, of a commercial vessel; this
term and the term ‘‘carrier’’ are sometimes used interchangeably.
Carrier. See ‘‘Appropriate official.’’
Commercial vessel. ‘‘Commercial vessel’’ means any civilian vessel being
used to transport persons or property
for compensation or hire.
Crew member. ‘‘Crew member’’ means
a person serving on board a vessel in
good faith in any capacity required for
normal operation and service of the
voyage. In addition, the definition of
(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
marks or addresses thereof shall be
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§ 4.7b
19 CFR Ch. I (4–1–12 Edition)
‘‘crew member’’ applicable to this section should not be applied in the context of other customs laws, to the extent this definition differs from the
meaning of ‘‘crew member’’ contemplated in such other customs laws.
Emergency.
‘‘Emergency’’
means,
with respect to a vessel arriving at a
U.S. port due to an emergency, an urgent situation due to a mechanical,
medical, or security problem affecting
the voyage, or to an urgent situation
affecting the non-U.S. port of destination that necessitates a detour to a
U.S. port.
Ferry. ‘‘Ferry’’ means any vessel
which is being used to provide transportation only between places that are
no more than 300 miles apart and which
is being used to transport only passengers and/or vehicles, or railroad
cars, which are being used, or have
been used, in transporting passengers
or goods.
Passenger. ‘‘Passenger’’ means any
person being transported on a commercial vessel who is not a crew member.
United States. ‘‘United States’’ means
the continental United States, Alaska,
Hawaii, Puerto Rico, Guam, the Virgin
Islands of the United States, and the
Commonwealth of the Northern Mariana Islands (beginning November 28,
2009).
(b) Electronic arrival manifest—(1) General requirement. Except as provided in
paragraph (c) of this section, an appropriate official of each commercial vessel arriving in the United States from
any place outside the United States
must transmit to Customs and Border
Protection (CBP) an electronic passenger arrival manifest and an electronic crew member arrival manifest.
Each electronic arrival manifest:
(i) Must be transmitted to CPB at the
place and time specified in paragraph
(b)(2) of this section by means of an
electronic data interchange system approved by CBP. If the transmission is
in US EDIFACT format, the passenger
manifest and the crew member manifest must be transmitted separately;
and
(ii) Must set forth the information
specified in paragraph (b)(3) of this section.
(2) Place and time for submission—(i)
General requirement. The appropriate of-
ficial must transmit each electronic
arrival manifest required under paragraph (b)(1) of this section to the CBP
Data Center, CBP Headquarters:
(A) In the case of a voyage of 96 hours
or more, at least 96 hours before entering the first United States port or
place of destination;
(B) In the case of a voyage of less
than 96 hours but at least 24 hours,
prior to departure of the vessel;
(C) In the case of a voyage of less
than 24 hours, at least 24 hours before
entering the first U.S. port or place of
destination; and
(D) In the case of a vessel that was
not destined to the United States but
was diverted to a U.S. port due to an
emergency, before the vessel enters the
U.S. port or place to which diverted; in
cases of non-compliance, CBP will take
into consideration that the carrier was
not equipped to make the transmission
and the circumstances of the emergency situation.
(ii) Amendment of crew member manifests. In any instance where a crew
member boards the vessel after initial
submission of the manifest under paragraph (b)(2)(i) of this section, the appropriate
official
must
transmit
amended manifest information to CBP
reflecting the data required under
paragraph (b)(3) of this section for the
additional crew member. The amended
manifest information must be transmitted to the CBP data Center, CBP
Headquarters:
(A) If the remaining voyage time
after initial submission of the manifest
is 24 hours or more, at least 24 hours
before entering the first U.S. port or
place of destination; or
(B) In any other case, at least 12
hours before the vessel enters the first
U.S. port or place of destination.
(3) Information required. Each electronic arrival manifest required under
paragraph (b)(1) of this section must
contain the following information for
all passengers and crew members, except that for commercial passenger
vessels, the information specified in
paragraphs (b)(3)(iv), (v), (x), (xii),
(xiii), (xiv), (xvi), (xviii), and (xix) of
this section must be included on the
manifest only on or after October 4,
2005:
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.7c
(d) Carrier responsibility for comparing
information collected with travel document. The carrier collecting the information described in paragraph (b)(3) of
this section is responsible for comparing the travel document presented
by the passenger or crew member with
the travel document information it is
transmitting to CBP in accordance
with this section in order to ensure
that the information transmitted is
correct, the document appears to be
valid for travel to the United States,
and the passenger or crew member is
the person to whom the travel document was issued.
(e) Sharing of manifest information. Information contained in passenger and
crew member manifests that is received by CBP electronically may,
upon request, be shared with other
Federal agencies for the purpose of protecting national security. CBP may
also share such information as otherwise authorized by law.
(i) Full name (last, first, and, if
available, middle);
(ii) Date of birth;
(iii) Gender (F = female; M = male);
(iv) Citizenship;
(v) Country of residence;
(vi) Status on board the vessel;
(vii) Travel document type (e.g., P =
passport, A = alien registration);
(viii) Passport number, if a passport
is required;
(ix) Passport country of issuance, if a
passport is required;
(x) Passport expiration date, if a
passport is required;
(xi) Alien registration number, where
applicable;
(xii) Address while in the United
States (number and street, city, state,
and zip code), except that this information is not required for U.S. citizens,
lawful permanent residents, crew members, or persons who are in transit to a
location outside the United States;
(xiii) Passenger Name Record locator, if available;
(xiv) Foreign port/place where transportation to the United States began
(foreign port code);
(xv) Port/place of first arrival (CBP
port code);
(xvi) Final foreign port/place of destination for in-transit passenger and
crew member (foreign port code);
(xvii) Vessel name;
(xviii) Vessel country of registry/flag;
(xix) International Maritime Organization number or other official number
of the vessel;
(xx) Voyage number (applicable only
for multiple arrivals on the same calendar day); and
(xxi) Date of vessel arrival.
(c) Exceptions. The electronic arrival
manifest requirement specified in paragraph (b) of this section is subject to
the following conditions:
(1) No passenger or crew member
manifest is required if the arriving
commercial vessel is operating as a
ferry;
(2) If the arriving commercial vessel
is not transporting passengers, only a
crew member manifest is required; and
(3) No passenger manifest is required
for active duty U.S. military personnel
onboard an arriving Department of Defense commercial chartered vessel.
[CBP Dec. 05–12, 70 FR 17850, Apr. 7, 2005, as
amended at CBP Dec.09–02, 74 FR 2836, Jan.
16, 2009; CBP Dec. 09–14, 74 FR 25388, May 28,
2009]
§ 4.7c Vessel stow plan.
Vessel stow plan required. In addition
to the advance filing requirements pursuant to §§ 4.7 and 4.7a of this part and
the container status message requirements pursuant to § 4.7d of this part,
for all vessels subject to § 4.7(a) of this
part, except for any vessel exclusively
carrying break bulk cargo or bulk
cargo as prescribed in § 4.7(b)(4) of this
part, the incoming carrier must submit
a vessel stow plan consisting of vessel
and container information as specified
in paragraphs (b) and (c) of this section
within the time prescribed in paragraph (a) of this section via the CBPapproved electronic data interchange
system.
(a) Time of transmission. Customs and
Border Protection (CBP) must receive
the stow plan no later than 48 hours
after the vessel departs from the last
foreign port. For voyages less than 48
hours in duration, CBP must receive
the stow plan prior to arrival at the
first U.S. port.
(b) Vessel information required to be reported. The following information must
be reported for each vessel:
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§ 4.7d
19 CFR Ch. I (4–1–12 Edition)
in its electronic equipment tracking
system.
(b) Events required to be reported. The
following events must be reported if
the carrier creates or collects a container status message in its equipment
tracking system reporting that event:
(1) When the booking relating to a
container which is destined to arrive
within the limits of a port in the
United States by vessel is confirmed;
(2) When a container which is destined to arrive within the limits of a
port in the United States by vessel undergoes a terminal gate inspection;
(3) When a container, which is destined to arrive within the limits of a
port in the United States by vessel, arrives or departs a facility (These events
take place when a container enters or
exits a port, container yard, or other
facility. Generally, these CSMs are referred to as ‘‘gate-in’’ and ‘‘gate-out’’
messages.);
(4) When a container, which is destined to arrive within the limits of a
port in the United States by vessel, is
loaded on or unloaded from a conveyance (This includes vessel, feeder vessel, barge, rail and truck movements.
Generally, these CSMs are referred to
as ‘‘loaded on’’ and ‘‘unloaded from’’
messages);
(5) When a vessel transporting a container, which is destined to arrive
within the limits of a port in the
United States by vessel, departs from
or arrives at a port (These events are
commonly referred to as ‘‘vessel departure’’ and ‘‘vessel arrival’’ notices);
(6) When a container which is destined to arrive within the limits of a
port in the United States by vessel undergoes an intra-terminal movement;
(7) When a container which is destined to arrive within the limits of a
port in the United States by vessel is
ordered stuffed or stripped;
(8) When a container which is destined to arrive within the limits of a
port in the United States by vessel is
confirmed stuffed or stripped; and
(9) When a container which is destined to arrive within the limits of a
port in the United States by vessel is
stopped for heavy repair.
(c) Time of transmission. For each
event specified in paragraph (b) of this
section that has occurred, and for
(1) Vessel name (including international maritime organization (IMO)
number);
(2) Vessel operator; and
(3) Voyage number.
(c) Container information required to be
reported. The following information
must be reported for each container
carried on each vessel:
(1) Container operator;
(2) Equipment number;
(3) Equipment size and type;
(4) Stow position;
(5) Hazmat code (if applicable);
(6) Port of lading; and
(7) Port of discharge.
(d) Compliance date of this section. (1)
General. Subject to paragraph (d)(2) of
this section, all affected ocean carriers
must comply with the requirements of
this section on and after January 26,
2010.
(2) Delay in compliance date of section.
CBP may, at its sole discretion, delay
the general compliance date set forth
in paragraph (d)(1) of this section in
the event that any necessary modifications to the approved electronic data
interchange system are not yet in
place or for any other reason. Notice of
any such delay will be provided in the
FEDERAL REGISTER.
[CBP Dec. 08–46, 73 FR 71779, Nov. 25, 2008]
§ 4.7d Container status messages.
(a) Container status messages required.
In addition to the advance filing requirements pursuant to §§ 4.7 and 4.7a
of this part and the vessel stow plan requirements pursuant to § 4.7c of this
part, for all containers destined to arrive within the limits of a port in the
United States from a foreign port by
vessel, the incoming carrier must submit messages regarding the status of
the events as specified in paragraph (b)
of this section if the carrier creates or
collects a container status message
(CSM) in its equipment tracking system reporting that event. CSMs must
be transmitted to Customs and Border
Protection (CBP) within the time prescribed in paragraph (c) of this section
via a CBP-approved electronic data
interchange system. There is no requirement that a carrier create or collect any CSMs under this paragraph
that the carrier does not otherwise create or collect on its own and maintain
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.9
proved by the Customs and Border Protection (CBP).
(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
vessel entry by Customs at or subsequent to arrival of the vessel, is conditioned upon the presentation to and acceptance by Customs of all forms, electronically or otherwise, comprising a
complete manifest as provided in § 4.7,
except that the Cargo Declaration,
CBP Form 1302, must be presented to
Customs electronically in the manner
provided in § 4.7(b)(2) or (4). Vessels
seeking preliminary entry in advance
of arrival must do so: By presenting to
Customs the electronic equivalent of a
complete CBP Form 1302 (Cargo Declaration), in the manner provided in
§ 4.7(b)(2) or (4), showing all cargo on
board the vessel; and by presenting
CBP Form 3171 electronically no less
than 48 hours prior to vessel arrival.
The CBP Form 3171 will also serve as
notice of intended date of arrival. The
port director may allow for the presentation of the CBP Form 1302 and CBP
Form 3171 less than 48 hours prior to
arrival in order to grant advanced preliminary entry if a vessel voyage takes
less than 48 hours to complete from the
last foreign port to the first U.S. port,
or if other reasonable circumstances
warrant. Preliminary entry granted in
advance of arrival will become effective upon arrival at the port granting
preliminary entry. Additionally, Customs must receive confirmation of a
vessel’s estimated time of arrival in a
manner acceptable to the port director.
which the carrier creates or collects a
container status message (CSM) in its
equipment tracking system reporting
that event, the carrier must transmit
the CSM to CBP no later than 24 hours
after the CSM is entered into the
equipment tracking system.
(d) Contents of report. The report of
each event must include the following:
(1) Event code being reported, as defined in the ANSI X.12 or UN EDIFACT
standards;
(2) Container number;
(3) Date and time of the event being
reported;
(4) Status of the container (empty or
full);
(5) Location where the event took
place; and
(6) Vessel identification associated
with the message if the container is associated with a specific vessel.
(e) A carrier may transmit other container status messages in addition to
those required pursuant to paragraph
(b) of this section. By transmitting additional container status messages, the
carrier authorizes Customs and Border
Protection (CBP) to access and use
those data.
(f) Compliance date of this section. (1)
General. Subject to paragraph (f)(2) of
this section, all affected ocean carriers
must comply with the requirements of
this section on and after January 26,
2010.
(2) Delay in compliance date of section.
CBP may, at its sole discretion, delay
the general compliance date set forth
in paragraph (f)(1) of this section in the
event that any necessary modifications
to the approved electronic data interchange system are not yet in place or
for any other reason. Notice of any
such delay will be provided in the FEDERAL REGISTER.
[T.D. 00–4, 65 FR 2872, Jan. 19, 2000, as amended by T.D. 02–62, 67 FR 66332, Oct. 31, 2002;
CBP Dec. 11–10, 76 FR 27609, May 12, 2011]
[CBP Dec. 08–46, 73 FR 71779, Nov. 25, 2008]
§ 4.9 Formal entry.
(a) General. Section 4.3 provides
which vessels are subject to formal
entry and where and when entry must
be made. The formal entry of an American vessel is governed by section 434,
Tariff Act of 1930 (19 U.S.C. 1434). The
term ‘‘American vessel’’ means a vessel
of the United States (see § 4.0(b)) as
well as, when arriving by sea, a vessel
entitled to be documented except for
its size (see § 4.0(c)). The formal entry
§ 4.8 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 ap-
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§ 4.10
19 CFR Ch. I (4–1–12 Edition)
of a foreign vessel arriving within the
limits of any CBP port is also governed
by section 434, Tariff Act of 1930 (19
U.S.C. 1434). Alternatively, information
necessary for formal entry may be
transmitted electronically pursuant to
a system authorized by CBP.
(b) Procedures for American vessels.
Under certain circumstances, American vessels arriving in ports of the
United States directly from other
United States ports must make entry.
Entry of such vessels is required when
they have unentered foreign merchandise aboard. Report of arrival as provided in § 4.2 of this part, together with
presenting a completed CBP Form 1300
(Vessel Entrance or Clearance Statement), satisfies all entry requirements
for the subject vessels.
(c) Delivery of foreign vessel document.
The master of any foreign vessel will
exhibit the vessel’s document to the
port director on or before the entry of
the vessel. After the net tonnage has
been noted, the document may be delivered to the consul of the nation to
which such vessel belongs, in which
event the vessel master will certify to
the port director the fact of such delivery (see section 434, Tariff Act of 1930,
as amended (19 U.S.C. 1434), as applied
through section 438, Tariff Act of 1930,
as amended (19 U.S.C. 1438)). If not delivered to the consul, the document
will be deposited in the customhouse.
Whether delivered to the foreign consul
or deposited at the customhouse, the
document will not be delivered to the
master of the foreign vessel until clearance is granted under § 4.61. It will not
be lawful for any foreign consul to deliver to the master of any foreign vessel the register, or document in lieu
thereof, deposited with him in accordance with the provisions of 19 U.S.C.
1434 until such master will produce to
him a clearance in due form from the
director of the port where such vessel
has been entered. Any consul violating
the provisions of this section is liable
to a fine of not more than $5,000 (section 438, Tariff Act of 1930, as amended;
19 U.S.C. 1438).
(d) Failure to make required entry; penalties. Any master who fails to make
entry 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 certain civil penalties
as provided under 19 U.S.C. 1436, in addition to penalties applicable under
other provisions of law. Further, any
vessel used in connection with any
such violation is subject to seizure and
forfeiture.
[T.D. 00–4, 65 FR 2873, Jan. 19, 2000; T.D. 00–
22, 65 FR 16515, Mar. 29, 2000; CBP Dec. 10–33,
75 FR 69585, Nov. 15, 2010]
§ 4.10 Request for overtime services.
Request for overtime services in connection with entry or clearance of a
vessel, including the boarding of a vessel in accordance with § 4.1 shall be
made on Customs Form 3171. (See
§ 24.16 of this chapter regarding pleasure vessels.) Such request for overtime
services must specify the nature of the
services desired and the exact times
when they will be needed, unless a
term special license (unlimited or limited to the service requested) has been
issued (see § 4.30(g)) and arrangements
are made locally so that the proper
Customs officer will be notified during
official hours in advance of the rendering of the services as to the nature
of the services desired and the exact
times they will be needed. Such request
shall not be approved (previously
issued term special licenses shall be revoked) unless the carrier complies with
the provisions of paragraphs (l) and (m)
of § 4.30 regarding terminal facilities
and employee lists, respectively, and
the required cash deposit or bond, on
Customs Form 301, containing the bond
conditions set forth in § 113.64 of this
chapter, has been received. Separate
bonds shall be required if overtime
services are requested by different
principals.
[T.D. 72–189, 37 FR 13975, July 15, 1972, as
amended by T.D. 84–213, 49 FR 41163, Oct. 19,
1984; T.D. 92–74, 57 FR 35751, Aug. 11, 1992]
§ 4.11 Sealing of stores.
Upon the arrival of a vessel from a
foreign port, or a vessel engaged in the
foreign trade from a domestic port, sea
stores and ship’s stores not required for
immediate use or consumption on
board while the vessel is in port and articles acquired abroad by officers and
members of the crew, for which no permit to land has been issued, shall be
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U.S. Customs and Border Protection, DHS; Treasury
placed under seal, unless the Customs
officer is of the opinion that the circumstances do not require such action.
Customs inspectors in charge of the
vessel, from time to time, as in their
judgment the necessity of the case requires, may issue stores from under
seal for consumption on board the vessel by its passengers and crew. (See
§ 4.39.)
§ 4.14
applicable penalties under section 584,
Tariff Act of 1930, as amended (19
U.S.C. 1584), shall be assessed (see
§ 162.31 of this chapter). For purposes of
this section, the term ‘‘clerical error’’
is defined as a non-negligent, inadvertent, or typographical mistake in
the preparation, assembly, or submission (electronically or otherwise) of
the manifest. However, repeated similar manifest discrepancies by the same
parties may be deemed the result of
negligence and not clerical error or
other mistake. For the purpose of assessing applicable penalties, the value
of the merchandise shall be determined
as prescribed in § 162.43 of this chapter.
The fact that the master or owner had
no knowledge of a discrepancy shall
not relieve him from the penalty.
(b) Except as provided in paragraph
(c) of this section, a correction in the
manifest shall not be required in the
case of bulk merchandise if the port director is satisfied that the difference
between the manifested quantity and
the quantity unladen, whether the difference constitutes an overage or a
shortage, is an ordinary and usual difference properly attributable to absorption of moisture, temperature,
faulty weighing at the port of lading,
or other similar reason. A correction in
the manifest shall not be required because of discrepancies between marks
or numbers on packages of merchandise and the marks or numbers for the
same packages as shown on the manifest of the importing vessel when the
quantity and description of the merchandise in such packages are correctly given.
(c) Manifest discrepancies (shortages
and overages) of petroleum and petroleum products imported in bulk shall
be reported on Customs Form 5931, if
the discrepancy exceeds one percent.
§ 4.12 Explanation of manifest discrepancy.
(a)(1) Vessel masters or agents shall
notify the port director on Customs
Form 5931 of shortages (merchandise
manifested, but not found) or overages
(merchandise found, but not manifested) of merchandise.
(2) Shortages shall be reported to the
port direct by the master or agent of
the vessel by endorsement on the importer’s claim for shortage on Customs
Form 5931 as provided for in § 158.3 of
this chapter, or within 60 days after the
date of entry of the vessel, whichever is
later. Satisfactory evidence to support
the claim of nonimportation or of proper disposition or other corrective action (see § 4.34) shall be obtained by the
master or agent and shall be retained
in the carrier’s file for one year.
(3) Overages shall be reported to the
port director within 60 days after the
date of entry of the vessel by completion of a post entry or suitable explanation of corrective action (see § 4.34)
on the Customs Form 5931.
(4) The port director shall immediately advise the master or agent of
those discrepancies which are not reported by the master or agent. Notification may be in any appropriate manner, including the furnishing of a copy
of Customs Form 5931 to the master or
agent. The master or agent shall satisfactorily resolve the matter within 30
days after the date of such notification, or within 60 days after entry of
the vessel, whichever is later.
(5) Unless the required notification
and explanation is made timely and the
port director is satisfied that the discrepancies resulted from clerical error
or other mistake and that there has
been no loss of revenue (and in the case
of a discrepancy not initially reported
by the master or agent that there was
a valid reason for failing to so report),
[T.D. 80–142, 45 FR 36383, May 30, 1980, as
amended by T.D. 99–64, 64 FR 43265, Aug. 10,
1999; CBP Dec. 10–29, 75 FR 52450, Aug. 26,
2010]
§ 4.13
[Reserved]
§ 4.14 Equipment purchases by, and repairs to, American vessels.
(a) General provisions and applicability—(1) General. Under section 466,
Tariff Act of 1930, as amended (19
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§ 4.14
19 CFR Ch. I (4–1–12 Edition)
U.S.C. 1466), purchases for or repairs
made to certain vessels while they are
outside the United States are subject
to declaration, entry, and payment of
ad valorem duty. These requirements
are effective upon the first arrival of
affected vessels in the United States or
Puerto Rico. The vessels subject to
these requirements include those documented under the U.S. law for the foreign or coastwise trades, as well as
those which were previously documented under the laws of some foreign
nation or are undocumented at the
time that foreign shipyard repairs are
performed, but which exhibit an intent
to engage in those trades under CBP
interpretations. Duty is based on actual foreign cost. This includes the
original foreign purchase price of articles that have been imported into the
United States and are later sent abroad
for use.
(2) Expenditures not subject to declaration, entry, or duty. The following vessel
repair expenditures are not subject to
declaration, entry, or duty:
(i) Expenditures made in American
Samoa, the Guantanamo Bay Naval
Station, Guam, Puerto Rico, or the
U.S. Virgin Islands because they are
considered to have been made in the
United States;
(ii) Reimbursements paid to members
of the regular crew of a vessel for labor
expended in making repairs to vessels;
and
(iii) The cost of equipment, repair
parts, and materials that are installed
on a vessel documented under the laws
of the United States and engaged in the
foreign or coasting trade, if the installation is done by members of the regular crew of such vessel while the vessel is on the high seas, in foreign waters, or in a foreign port, and does not
involve foreign shipyard repairs by foreign labor.
(3) Expenditures subject to declaration
and entry but not duty. Under separate
provisions of law, the cost of labor performed, and of parts and materials produced and purchased in Israel are not
subject to duty under the vessel repair
statute.
Additionally,
expenditures
made in Canada or in Mexico are not
subject to any vessel repair duties.
Furthermore, certain free trade agreements between the United States and
other countries also may reduce the
duties on vessel repair expenditures
made in foreign countries that are parties to those agreements, although the
final duty amount may depend on each
agreement’s schedule for phasing in
those reductions. In these situations
and others where there is no liability
for duty, it is still required, except as
otherwise required by law, that all repairs and purchases be declared and entered.
(b) Applicability to specific types of vessels—(1) Fishing vessels. As provided in
§ 4.15, vessels documented under U.S.
law with a fishery endorsement are
subject to vessel repair duties for covered foreign expenditures. Undocumented American fishing vessels which
are repaired, or for which parts, nets or
equipment are purchased outside the
U.S. are also liable for duty.
(2) Government-owned or chartered vessels. Vessels normally subject to the
vessel repair statute because of documentation or intended use are not excused from duty liability merely because they are either owned or chartered by the U.S. Government.
(3) Vessels continuously away for two
years or longer—(i) Liability for expenditures throughout entire absence from U.S.
Vessels that continuously remain outside the United States for two years or
longer are liable for duty on any fish
nets and netting purchased at any time
during the entire absence. Vessels designed and used primarily for transporting passengers or merchandise,
which depart the United States for the
sole purpose of obtaining equipment,
parts, materials or repairs remain fully
liable for duty regardless of the duration of their absence from the United
States.
(ii) Liability for expenditures made during first six months of absence. Except as
provided in paragraph (b)(3)(i) of this
section, vessels that continuously remain outside the United States for two
years or longer are liable for duty only
on those expenditures which are made
during the first six months of their absence. See paragraph (h)(3) of this section. However, even though some costs
might not be dutiable because of the
six-month rule, all repairs, materials,
parts and equipment-related expenditures must be declared and entered.
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U.S. Customs and Border Protection, DHS; Treasury
(c) Estimated duty deposit and bond requirements. Generally, the person authorized to submit a vessel repair declaration and entry must either deposit
or transmit estimated duties or
produce evidence of a bond on CBP
Form 301 at the first United States
port of arrival before the vessel will be
permitted to depart from that port. A
continuous or single entry bond of sufficient value to cover all potential
duty on the foreign repairs and purchases must be identified by surety,
number and amount on the vessel repair declaration which is submitted at
the port of first arrival. At the time
the vessel repair entry is submitted by
the vessel operator to the appropriate
VRU port of entry as defined in paragraph (g) of this section, that same
identifying information must be identified on the entry form. Sufficiency of
the amount of the bond is within the
discretion of CBP at the arrival port
with claims for reduction in duty liability necessarily being subject to full
consideration of evidence by CBP. CBP
officials at the port of arrival may consult the appropriate Vessel Repair Unit
(VRU) port of entry as identified in
paragraph (g) of this section or the
staff of the Cargo Security, Carriers &
Immigration Branch, Office of International Trade in CBP Headquarters in
setting sufficient bond amounts. These
duty, deposit, and bond requirements
do not apply to vessels which are
owned or chartered by the United
States Government and are actually
being operated by employees of an
agency of the Government. If operated
by a private party for a Federal agency
under terms whereby that private
party is liable under the contract for
payment of the duty, there must be a
deposit or a bond filed in an amount
adequate to cover the estimated duty.
(d) Declaration required. When a vessel
subject to this section first arrives in
the United States following a foreign
voyage, the owner, master, or authorized agent must submit a vessel repair
declaration on CBP Form 226, a dualuse form used both for declaration and
entry purposes, or must transmit its
electronic equivalent. The declaration
must be ready for presentation in the
event that a CBP officer boards the
vessel. If no foreign repair-related ex-
§ 4.14
penses were incurred, that fact must be
reported either on the declaration form
or by approved electronic means. The
CBP port of arrival receiving either a
positive or negative vessel repair declaration or electronic equivalent will
immediately forward it to the appropriate VRU port of entry as identified
in paragraph (g) of this section.
(e) Entry required. The owner, master,
or authorized representative of the
owner of any vessel subject to this section for which a positive declaration
has been filed must submit a vessel repair entry on CBP Form 226 or transmit its electronic equivalent. The
entry must show all foreign voyage expenditures for equipment, parts of
equipment, repair parts, materials and
labor. The entry submission must indicate whether it provides a complete or
incomplete account of covered expenditures. The entry must be presented or
electronically transmitted by the vessel operator to the appropriate VRU
port of entry as identified in paragraph
(g) of this section, so that it is received
within ten calendar days after arrival
of the vessel. Claims for relief from
duty should be made generally as part
of the initial submission, and evidence
must later be provided to support those
claims. Failure to submit full supporting evidence of cost within stated
time limits, including any extensions
granted under this section, is considered to be a failure to enter.
(f) Time limit for submitting evidence of
cost. A complete vessel repair entry
must be supported by evidence showing
the cost of each item entered. If the
entry is incomplete when submitted,
evidence to make it complete must be
received by the appropriate VRU port
of entry as identified in paragraph (g)
of this section within 90 calendar days
from the date of vessel arrival. That
evidence must include either the final
cost of repairs or, if the operator submits acceptable evidence that final
cost information is not yet available,
initial or interim cost estimates given
prior to or after the work was authorized by the operator. The proper VRU
port of entry may grant one 30-day extension of time to submit final cost
evidence if a satisfactory written explanation of the need for an extension
is received before the expiration of the
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§ 4.14
19 CFR Ch. I (4–1–12 Edition)
(h) Justifications for relief from duty.
Claims for relief from the assessment
of vessel repair duties may be submitted to CBP. Relief may be sought
under paragraphs (a), (d), (e), or (h) of
the vessel repair statute (19 U.S.C.
1466(a), (d), (e), or (h)), each paragraph
of which relates to a different type of
claim as further specified in paragraphs (h)(1)–(h)(4) of this section.
(1) Relief under 19 U.S.C. 1466(a). Requests for relief from duty under 19
U.S.C. 1466(a) consist of claims that a
foreign shipyard operation or expenditure is not considered to be a repair or
purchase within the terms of the vessel
repair statute or as determined under
judicial or administrative interpretations. Example: a claim that the shipyard operation is a vessel modification.
(2) Relief from duty under 19 U.S.C.
1466(d). Requests for relief from duty
under 19 U.S.C. 1466(d) consist of claims
that a foreign shipyard operation or expenditure involves any of the following:
(i) Stress of weather or other casualty.
Relief will be granted if good and sufficient evidence supports a finding that
the vessel, while in the regular course
of its voyage, was forced by stress of
weather or other casualty, while outside the United States, to purchase
such equipment or make those repairs
as are necessary to secure the safety
and seaworthiness of the vessel in
order to enable it to reach its port of
destination in the United States. For
the purposes of this paragraph, a ‘‘casualty’’ does not include any purchase
or repair made necessary by ordinary
wear and tear, but does include the
failure of a part to function if it is
proven that the specific part was repaired, serviced, or replaced in the
United States immediately before the
start of the voyage in question, and
then failed within six months of that
date.
(ii) U.S. parts installed by regular crew
or residents. Relief will be granted if
equipment, parts of equipment, repair
parts, or materials used on a vessel
were manufactured or produced in the
United States and were purchased in
the United States by the owner of the
vessel. It is required under the statute
that residents of the United States or
original 90-day submission period. All
extensions will be issued in writing. Inadequate, vague, or open-ended requests will not be granted. Questions
as to whether an extension should be
granted may be referred to the Cargo
Security, Carriers & Immigration
Branch, Office of International Trade
in CBP Headquarters by the VRU ports
of entry. Any request for an extension
beyond a 30-day grant issued by a VRU
must be submitted through that unit
to the Cargo Security, Carriers & Immigration Branch, Office of International Trade, CBP Headquarters. In
the event that all cost evidence is not
furnished within the specified time
limit, or is of doubtful authenticity,
the VRU may refer the matter to the
U.S. Immigration and Customs Enforcement to begin procedures to obtain the needed evidence. That agency
may also investigate the reason for a
failure to file or for an untimely submission. Unexplained or unjustified
delays in providing CBP with sufficient
information to properly determine
duty may result in penalty action as
specified in paragraph (j) of this section. Extensions granted for the filing
of necessary evidence may also extend
the time for filing Applications for Relief (see paragraph (i)(1) of this section).
(g) Location and jurisdiction of vessel
repair unit ports of entry. Vessel Repair
Units (VRUs) are responsible for processing vessel repair entries. VRUs are
located in New York, New York; New
Orleans, Louisiana; and San Francisco,
California. The New York unit processes vessel repair entries received
from ports of arrival on the Great
Lakes and the Atlantic Coast of the
United States north of, but not including, those located in the State of Virginia. The New Orleans unit processes
vessel repair entries received from
ports of arrival on the Atlantic Coast
from and including those in the State
of Virginia, southward, and from all
United States ports of arrival on the
Gulf of Mexico including ports in Puerto Rico. The San Francisco unit processes vessel repair entries received
from all ports of entry on the Pacific
Coast including those in Alaska and
Hawaii.
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.14
(i) General procedures for seeking relief—(1) Applications for Relief. Relief
from the assessment of vessel repair
duty will not be granted unless an Application for Relief is filed with CBP.
Relief will not be granted based merely
upon a claim for relief made at the
time of entry under paragraph (e) of
this section. The filing of an Application for Relief is not required, nor is
one required to be presented in any
particular format, but if filed it must
clearly present the legal basis for
granting relief, as specified in paragraph (h) of this section. An Application must also state that all repair operations performed aboard a vessel during the one-year period prior to the
current submission have been declared
and entered. A valid Application is required to be supported by complete evidence as detailed in paragraphs
(i)(1)(i)–(vi) and (i)(2) of this section.
Except as further provided in this paragraph, the deadline for receipt of an
Application and supporting evidence is
90 calendar days from the date that the
vessel first arrived in the United States
following foreign operations. The provisions for extension of the period for
filing required evidence in support of
an entry, as set forth in paragraph (f)
of this section, are applicable to extension of the time period for filing Applications for Relief as well. Applications
must be addressed and submitted by
the vessel operator to the appropriate
VRU port of entry and will be decided
in that unit. The VRUs may seek the
advice of the Cargo Security, Carriers
& Immigration Branch, Office of International Trade in CBP Headquarters
with regard to any specific item or
issue which has not been addressed by
clear precedent. If no Application is
filed or if a submission which does not
meet the minimal standards of an Application for Relief is received, the
duty amount will be determined without regard to any potential claims for
relief from duty (see paragraph (h) of
this section). Each Application for Relief must include copies of:
(i) Itemized bills, receipts, and invoices for items shown in paragraph (e)
of this section. The cost of items for
which a request for relief is made must
be segregated from the cost of the
members of the regular crew of the vessel perform any necessary labor in connection with such installations.
(iii) Dunnage. Relief will be granted
if any equipment, equipment parts, materials, or labor were used for the purpose of providing dunnage for the packing or shoring of cargo, for erecting
temporary bulkheads or other similar
devices for the control of bulk cargo, or
for temporarily preparing tanks for
carrying liquid cargoes.
(3) Relief under 19 U.S.C. 1466(e). Requests for relief from duty under 19
U.S.C. 1466(e) relate in pertinent part
to matters involving vessels normally
subject to the vessel repair statute, but
that continuously remain outside the
United States for two years or longer.
Vessels that continuously remain outside the United States for two years or
longer may qualify for relief from duty
on expenditures made later than the
first six months of their absence. See
paragraph (b)(3)(ii) of this section.
(4) Relief under 19 U.S.C. 1466(h). Requests for relief from duty under 19
U.S.C. 1466(h) consist of claims that a
foreign shipyard operation or expenditure involves any of the following:
(i) Expenditures on LASH barges. Relief will be granted with respect to the
cost of equipment, parts, materials, or
repair labor for Lighter Aboard Ship
(LASH)
operations
accomplished
abroad.
(ii) Certain spare repair parts or materials. Relief will be granted with respect to the cost of spare repair parts
or materials which are certified by the
vessel owner or master to be for use on
a cargo vessel, but only if duty was
previously paid under the appropriate
commodity classification(s) as found in
the Harmonized Tariff Schedule of the
United States when the article first entered the United States.
(iii) Certain spare parts necessarily installed on a vessel prior to their first entry
into the United States. Relief will be
granted with respect to the cost of
spare parts only, which have been necessarily installed prior to their first
entry into the United States with duty
payment under the appropriate commodity classification(s) as found in the
Harmonized Tariff Schedule of the
United States.
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§ 4.14
19 CFR Ch. I (4–1–12 Edition)
other items listed in the vessel repair
entry;
(ii) Photocopies of relevant parts of
vessel logs, as well as of any classification society reports which detail damage and remedies;
(iii) A certification by the senior officer with personal knowledge of all relevant circumstances relating to casualty damage (time, place, cause, and
nature of damage);
(iv) A certification by the senior officer with personal knowledge of all relevant circumstances relating to foreign
repair expenditures (time, place, and
nature of purchases and work performed);
(v) A certification by the master that
casualty-related
expenditures
were
necessary to ensure the safety and seaworthiness of the vessel in reaching its
United States port of destination; and
(vi) Any permits or other documents
filed with or issued by any United
States Government agency other than
CBP regarding the operation of the vessel that are relevant to the request for
relief.
(2) Additional evidence. In addition,
copies of any other evidence and documents the applicant may wish to provide as evidentiary support may be
submitted. Elements of applications
which are not supported by required
evidentiary elements will be considered
fully dutiable. All documents submitted must be certified by the master,
owner, or authorized corporate officer
to be originals or copies of originals,
and if in a foreign language, they must
be accompanied by an English translation, certified by the translator to be
accurate. Upon receipt of an Application for Relief by the VRU within the
prescribed time limits, a determination
of duties owed will be made. After a decision is made on an Application for
Relief by a VRU, the applicant will be
notified of the right to protest any adverse decision.
(3) Administrative protest. Following
the determination of duty owing on a
vessel repair entry, a protest may be
filed under 19 U.S.C. 1514(a)(2) as the
only and final administrative appeal.
The procedures and time limits applicable to protests filed in connection
with vessel repair entries are the same
as those provided in part 174 of this
chapter. In particular, the applicable
protest period will begin on the date of
the issuance of the decision giving rise
to the protest as reflected on the relevant correspondence from the appropriate VRU.
(j) Penalties—(1) Failure to report,
enter, or pay duty. It is a violation of
the vessel repair statute if the owner
or master of a vessel subject to this
section willfully or knowingly neglects
or fails to report, make entry, and pay
duties as required; makes any false
statements regarding purchases or repairs described in this section without
reasonable cause to believe the truth of
the statements; or aids or procures any
false statements regarding any material matter without reasonable cause
to believe the truth of the statement.
If a violation occurs, the vessel, its
tackle, apparel, and furniture, or a
monetary amount up to their value as
determined by CBP, is subject to seizure and forfeiture and is recoverable
from the owner (see § 162.72 of this
chapter).
(2) False declaration. If any person required to file a vessel repair declaration or entry under this section, knowingly and willfully falsifies, conceals or
covers up by any trick, scheme, or device a material fact, or makes any materially false, fictitious or fraudulent
statement or representation, or makes
or uses any false writing or document
knowing the same to contain any materially false, fictitious or fraudulent
statement, that person will be subject
to the criminal penalties provided for
in 18 U.S.C. 1001.
[66 FR 16397, Mar. 26, 2001, as amended at 74
FR 53651, Oct. 20, 2009]
EFFECTIVE DATE NOTE: At 77 FR 17332, Mar.
26, 2012, § 4.15 was amended by revising the
section heading; paragraph (i)(3) is redesignated as paragraph (i)(4) and a new paragraph (i)(3) is added; andparagraph (j)(1) is
amended by adding a new third sentence, effective April 25, 2012. For the convenience of
the user, the added and revised text is set
forth as follows:
§ 4.14 Equipment purchases for, and repairs
to, American vessels.
*
*
*
*
*
(i) * * *
(3) Application for Relief; failure to file or denial in whole or in part. If no Application for
30
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U.S. Customs and Border Protection, DHS; Treasury
Relief is filed, or if a timely filed Application
for Relief is denied in whole or in part, the
VRU will determine the amount of duty due
and issue a bill to the party who filed the
vessel repair entry. If the bill is not timely
paid, interest will accrue as provided in
§ 24.3a(b)(1) of this chapter.
(j) * * *
(1) * * * The owner or master of the vessel
who fails to timely pay the duty determined
to be due is liable for interest as provided in
§ 24.3a(b)(1) of this chapter.
*
*
*
*
(c) If a vessel which has been granted
a permit to touch and trade arrives at
a port in the United States, whether or
not the vessel has touched at a foreign
port or place, such permit shall forthwith be surrendered to the port director.
(d) No permit to touch and trade
shall be issued to a vessel which does
not have a Certificate of Documentation with a fishery license endorsement.
*
§ 4.15 Fishing vessels touching
trading at foreign places.
§ 4.20
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 77–28, 42 FR 3161, Jan. 17, 1977; T.D. 83–
214, 48 FR 46512, Oct. 13, 1983; T.D. 94–24, 59
FR 13200, Mar. 21, 1994; T.D. 95–77, 60 FR
50010, Sept. 27, 1995]
and
(a) Before any vessel documented
with a fishery license endorsement
shall touch and trade at a foreign port
or place, the master shall obtain from
the port director a permit on Customs
Form 1379 to touch and trade.
When a fishing vessel departs from the
United States and there is an intent to
stop at a foreign port (1) to lade vessel
equipment which was preordered, (2) to
purchase and lade vessel equipment, or
(3) to purchase and lade vessel equipment to replace existing vessel equipment, the master of the vessel must either clear for that foreign port or obtain a permit to touch and trade,
whether or not the vessel will engage
in fishing on that voyage. 28 Purchases
of such equipment, whether intended at
the time of departure or not, are subject to declaration, entry, and payment
of duty pursuant to section 466 of the
Tariff Act of 1930, as amended (19
U.S.C. 1466). The duty may be remitted
if it is established that the purchases
resulted from stress of weather or
other casualty.
(b) Upon the arrival of a documented
vessel with a fishery endorsement
which has put into a foreign port or
place, the master shall report its arrival, make entry, and conform in all
respects to the regulations applicable
in the case of a vessel arriving from a
foreign port.
§ 4.16
[Reserved]
§ 4.17 Vessels
from
discriminating
countries.
The prohibition against imports in,
and the penalty of forfeiture of, certain
vessels from countries which discriminate against American vessels provided
for in subsections 2 and 3 of paragraph
J, section IV, Tariff Act of 1913, as
amended by the act of March 4, 1915 (19
U.S.C. 130, 131), shall be enforced only
in pursuance of specific instructions
issued and published from time to time
by the Secretary of the Treasury or
such other officer as the Secretary may
designate. (See also §§ 4.20(c) and 159.42
of this chapter.)
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 73–175, 38 FR 17444, July 2, 1973]
TONNAGE TAX AND LIGHT MONEY
§ 4.20 Tonnage taxes.
(a) Except as specified in § 4.21, a regular tonnage tax or duty of 2 cents per
net ton, not to exceed in the aggregate
10 cents per net ton in any 1 year, shall
be imposed at each entry on all vessels
which shall be entered in any port of
the United States from any foreign
port or place in North America, Central America, the West Indies, the Bahama Islands, the Bermuda Islands, the
coast of South America bordering on
the Caribbean Sea (considered to include the mouth of the Orinoco River),
or the high seas adjacent to the U.S. or
the above listed foreign locations, and
on all vessels (except vessels of the
U.S., recreational vessels, and barges,
28 If such a vessel puts into a foreign port
or place and only obtains bunkers, stores, or
supplies suitable for a fishing voyage, it is
not considered to have touched and traded
there. Fish nets and netting are considered
vessel equipment and not vessel supplies.
29-61 [Reserved]
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§ 4.20
19 CFR Ch. I (4–1–12 Edition)
(3) The 6-cent rate shall be applied
when the vessel proceeds from a 2-cent
port to a 6-cent port en route to the
United States under circumstances
similar to paragraph (a) (1) or (2) of
this section.
(4) If the vessel arrives in the United
States with cargo or passengers taken
at two or more ports to which different
rates are applicable, tonnage tax shall
be collected at the higher rate.
(b) The tonnage year shall be computed from the date of the first entry
of the vessel concerned, without regard
to the rate of the payment made at
that entry, and shall expire on the day
preceding the corresponding date of the
following year. There may be 5 payments at the maximum (6 cent) and 5
at the minimum (2-cent) rate during a
tonnage year, so that the maximum assessment of tonnage duty may amount
to 40 cent per net ton for the tonnage
year of a vessel engaged in alternating
trade.
(c) A vessel shall also be subject on
every entry from a foreign port or
place, whether or not regular tonnage
tax is payable on the particular entry,
to the payment of a special tonnage
tax and to the payment of light money
at the rates and under the circumstances specified in the following
table:
as defined in § 2101 of Title 46) that depart a U.S. port or place and return to
the same port or place without being
entered in the United States from another port or place, and regular tonnage tax of 6 cents per net ton, not to
exceed 30 cents per net ton per annum,
shall be imposed at each entry on all
vessels which shall be entered in any
port of the United States from any
other foreign port. In determining the
port of origin of a voyage to the United
States and the rate of tonnage tax, the
following shall be used as a guide:
(1) When the vessel has proceeded in
ballast from a port to which the 6-cent
rate is applicable to a port to which
the 2-cent rate applies and there has
laden cargo or taken passengers, tonnage tax upon entry in the United
States shall be assessed at the 2-cent
rate.
(2) The same rate shall be applied in
a case in which the vessel has transported cargo or passengers from a 6cent port to a 2-cent port when all such
cargo or passengers have been unladen
or discharged at the 2-cent port, without regard to whether the vessel thereafter has proceeded to the United
States in ballast or with cargo or passengers laden or taken on board at the
2-cent port.
Rate per net ton
Classes of vessels
Special tax
Light
money
$.02 or $.06
..................
..................
.02 or .06
.02 or .06
.02 or .06
..................
1 0.50
.50
..................
1 .50
3 .50
.02 or .06
..................
..................
.02 or .06
.02 or .06
.30
.50
.50
.50
.02 or .06
4 2.00
4 .50
Regular tax
Vessels of the United States:
1. Under provisional register, without regard to citizenship of officers .................
2. All others:
(i) If all the officers are citizens ......................................................................
(ii) If any officer is not a citizen ......................................................................
Undocumented vessels which are owned by citizens 2 ................................................
Foreign vessels:
1. Of nations whose vessels are exempted from special tax or light money .......
2. All others:
(i) Built in the U.S ...........................................................................................
(ii) Not built in the U.S ....................................................................................
(iii) In addition to (i) or (ii) of 2., Foreign Vessels, when entering from a foreign port or place where vessels of the U.S. are not ordinarily permitted
to enter and trade 3a ....................................................................................
1 This
does not apply on the first arrival of a vessel in a port of the United States from a foreign or intercoastal voyage if all the
officers who are not citizens are below the grade of master and are filling vacancies which occurred on the voyage.
2 This special tax and light money do not apply if the vessel is documented as a vessel of the United States before leaving the
port.
3 This does not apply if the vessel is under a certificate of protection and the owner or master files with the port director the
oath required by 46 U.S.C. App. 129. An unrecorded bill of sale is not such a document as will exempt a vessel from the payment of light money under 46 U.S.C. App. 128, and the recording of such bill of sale after the arrival of the vessel is not sufficient to relieve it from the payment of the tax.
3a The Democratic People’s Republic of Korea (North Korea), does not ordinarily permit vessels of the United States to enter
and trade.
4 This is to be collected on each entry of a vessel from such a port or place.
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U.S. Customs and Border Protection, DHS; Treasury
(d) Tonnage tax shall be imposed
upon a vessel even though she enters a
port of the United States only for orders.
(e) The fact that a vessel passes
through the Panama Canal does not affect the rate of tonnage tax otherwise
applicable to the vessel.
(f) For the purpose of computing tonnage tax, the net tonnage of a vessel
stated in the vessel’s marine document
shall be accepted unless (1) such statement is manifestly wrong, in which
case the net tonnage shall be estimated, pending admeasurement of the
vessel, or the tonnage reported for her
by any recognized classification society may be accepted, or (2) an appendix
is attached to the marine document
showing a net tonnage ascertained
under the so-called ‘‘British rules’’ or
the rules of any foreign country which
have been accepted as substantially in
accord with the rules of the United
States, in which case the tonnage so
shown may be accepted and the date
the appendix was issued shall be noted
on the tonnage tax certificate, Customs Form 1002, and on the Vessel Entrance or Clearance Statement, Customs Form 1300. For the purpose of
computing tonnage tax on a vessel
with a tonnage mark and dual tonnages, the higher of the net tonnages
stated in the vessel’s marine document
or tonnage certificate shall be used unless the Customs officer concerned is
satisfied by report of the boarding officer, statement or certificate of the
master, or otherwise that the tonnage
mark was not submerged at the time of
arrival. Whether the vessel has a tonnage mark, and if so, whether the mark
was submerged on arrival, shall be
noted on Customs Form 1300 by the
boarding officer.
(g) The decision of the Commissioner
of Customs is the final administrative
decision on any question of interpretation relating to the collection of tonnage tax or to the refund of such tax
when collected erroneously or illegally,
and any question of doubt shall be referred to him for instructions.
(h) Any person adversely affected by
a decision of the Commissioner of Customs relating to the collection of tonnage tax, or to the refund of such tax
when collected erroneously or illegally,
§ 4.21
may appeal the decision in the Court of
International Trade provided that the
appeal action is commenced in accordance with the rules of the Court within
2 years after the cause of action first
accrues.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 71–169, 36 FR 12603, July 2, 1971; T.D. 75–
110, 40 FR 21027, May 15, 1975; T.D. 76–280, 41
FR 42647, Sept. 28, 1976; T.D. 79–276, 44 FR
61956, Oct. 29, 1979; T.D. 82–145, 47 FR 35475,
Aug. 16, 1982; T.D. 85–91, 50 FR 21429, May 24,
1985; T.D. 85–90, 50 FR 21430, May 24, 1985;
T.D. 93–12, 58 FR 13196, Mar. 10, 1993; T.D. 95–
76, 60 FR 48028, Sept. 18, 1995; T.D. 97–82, 62
FR 51769, Oct. 3, 1997; T.D. 00–22, 65 FR 16515,
Mar. 29, 2000; CBP Dec. 03–16, 68 FR 48280,
Aug. 13, 2003]
§ 4.21 Exemptions from tonnage taxes.
(a) Tonnage taxes and light money
shall be suspended in whole or in part
whenever the President by proclamation shall so direct.
(b) The following vessels, or vessels
arriving in the circumstances as defined below, shall be exempt from tonnage tax and light money:
(1) It comes into port for bunkers (including water), sea stores, or ship’s
stores; transacts no other business in
the port; and departs within 24 hours
after its arrival.
(2) It arrives in distress, even though
required to enter.
(3) It is brought into port by orders of
United States naval authorities and
transacts no business while in port
other than the taking on of bunkers,
sea stores, or ship’s stores.
(4) It is a vessel of war or other vessel
which is owned by, or under the complete control and management of the
United States or the government of a
foreign country, and which is not carrying passengers or merchandise in
trade or, if in ballast, which is not arriving from a foreign port during the
usual course of its employment as a
vessel engaged in trade.
(5) It is a yacht or other pleasure vessel not carrying passengers or merchandise in trade.
(6) It is engaged exclusively in scientific activities.
(7) It is engaged exclusively in laying
or repairing cables.
(8) It is engaged in whaling or other
fisheries, even though it may have entered a foreign port for fuel or supplies,
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§ 4.22
19 CFR Ch. I (4–1–12 Edition)
amended (19 U.S.C. 1441(4)), had it
touched at a United States port.
if it did not carry passengers or merchandise in trade.
(9) It is a passenger vessel making
three trips or more a week between a
port of the United States and a foreign
port.
(10) It is used exclusively as a ferry
boat, including a car ferry.
(11) It is a tug with a Great Lakes license endorsement on its vessel document, when towing vessels which are
required to make entry.
(12) It is a documented vessel with a
Great Lakes license endorsement
which has touched at an intermediate
foreign port or ports during a coastwise
voyage.
(13) It enters otherwise than by sea
from a foreign port at which tonnage
or lighthouse duties or equivalent
taxes are not imposed on vessels of the
United States (applicable only where
the vessel arrives from a port in the
province of Ontario, Canada).
(14) It is a coastwise-qualified vessel
solely engaged in the coastwise trade
(although arriving from a foreign port
or place, it is engaged in the transportation of merchandise or passengers, or
the towing of a vessel other than a vessel in distress, between points in the
U.S. via a foreign point) (see §§ 4.80,
4.80a, 4.80b, and 4.92).
(15) It is a vessel entering directly
from the Virgin Islands (U.S.), American Samoa, the islands of Guam,
Wake, Midway, Canton, or Kingman
Reef, or Guantanamo Bay Naval Station.
(16) It is a vessel making regular
daily trips between any port of the
United States and any port in Canada
wholly upon interior waters not navigable to the ocean, except that such a
vessel shall pay tonnage taxes upon her
first arrival in each calendar year.
(17) It is a vessel arriving at a port in
the United States which, while proceeding between ports in the United
States, touched at a foreign port under
circumstances which would have exempted it from making entry under
section 441(4), Tariff Act of 1930, as
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 72–264, 37 FR 20317, Sept. 29, 1972; T.D.
75–110, 40 FR 21027, May 15, 1975; T.D. 75–206,
40 FR 34586, Aug. 18, 1975; T.D. 79–276, 44 FR
61956, Oct. 29, 1979; T.D. 83–214, 48 FR 46512,
Oct. 13, 1983; T.D. 93–12, 58 FR 13197, Mar. 10,
1993]
§ 4.22 Exemptions
nage taxes.
from
special
Vessels of the following nations are
exempted by treaties, Presidential
proclamations, or orders of the Secretary of the Treasury from the payment of any higher tonnage duties
than are applicable to vessels of the
United States and are exempted from
the payment of light money:
Algeria
Antigua and Barbuda
Arab Republic of
Egypt
Argentina
Australia
Austria
Bahamas, The
Bahrain
Bangladesh
Barbados
Belgium
Belize
Bermuda
Bolivia
Brazil
Bulgaria
Burma
Canada
Chile
Colombia
Cook Islands
Costa Rica
Cuba
Cyprus
Czechoslovakia
Denmark (including
the Faeroe Islands)
Dominica
Dominican Republic
Ecuador
El Salvador
Estonia
Ethiopia
Fiji
Finland
France
Gambia, The
German Democratic
Republic
German Federal
Republic
Ghana
Great Britain
(including the
Cayman Islands)
Greece
Greenland
Guatemala
Guinea, Republic of
Guyana
Haiti
Honduras
Hong Kong
Hungarian People’s
Republic
Iceland
India
Indonesia
Iran
Iraq
Ireland (Eire)
Israel
Italy
Ivory Coast, Republic
of
Jamaica
Japan
Kenya
Korea
Kuwait
Latvia
Lebanon
Liberia
Libya
Lithuania
Luxembourg
Malaysia
Malta
Marshall Islands,
Republic of
Mauritius
Mexico
Monaco
Morocco
Nauru, Republic of
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Netherlands
Netherlands Antilles
New Zealand
Nicaragua
Nigeria
Norway
Oman
Pakistan
Panama
Papua New Guinea
Paraguay
People’s Republic of
China
Peru
Philippines
Poland
Portugal
Qatar
Rumania
Saudi Arabia
Senegal
Singapore, Republic
Somali, Republic
Spain
Sri Lanka
St. Vincent and The
Grenadines
Surinam, Republic of
Sweden
Switzerland
Syrian Arab Republic
Taiwan
Thailand
Togo
Tonga
Tunisia
Turkey
Tuvalu
Union of South
Africa
Union of Soviet
Socialist Republics
United Arab
Emirates (Abu
Dhabi, Ajman,
Dubai, Fujairah,
Ras Al Khaimah,
Sharjah, and Umm
Al Qaiwain)
Uruguay
Vanuatu, Republic of
Venezuela
Yugoslavia
Zaire
§ 4.24
tonnage taxes described in § 4.20(a) is
delegated to the Directors of the ports
where the collections were made. If any
doubt exists, the case shall first be referred to Headquarters, U.S. Customs
Service for advice.
(b) Each application for refund of
regular or special tonnage tax or light
money prepared in accordance with
this section shall be filed with the Customs officer to whom payment was
made. After verification of the pertinent facts asserted in the claim, the
application shall be forwarded with any
necessary report or recommendation to
the appropriate port director. Applications for refund of special tonnage tax
and light money (see § 4.20(c)) with the
reports and recommendations submitted therewith shall be forwarded by
the port director to the Commissioner
of Customs for decision. Any refund authorized by the Port Director under
paragraph (a) of this section or any refund of special tonnae tax or light
money authorized by the Commissioner
of Customs shall be made by the appropriate Customs officer. The records of
tonnage tax shall be clearly noted to
show each refund authorized.
(c) The application shall be a direct
request for the refund of a definite
sum, showing concisely the reasons
therefor, the nationality and name of
the vessel, and the date, place, and
amount of each payment for which refund is requested. The application shall
be made within 1 year from date of the
payment. A protest against a payment
shall not be accepted as an application
for its refund.
(d) When the application is based
upon a claim that more than five payments of regular tax at either the 2cent or the 6-cent rate have been made
during a tonnage year, the application
shall be supported by a statement from
the appropriate Customs officer at the
port where the application is submitted
and from the appropriate Customs officer at each port at which any claimed
payment was made verifying the facts
and showing in each case whether refunds have been authorized.
(e) The application shall include a
certificate by the owner or by the owner’s agent that payment of tonnage tax
at the applicable rate has been or will
be made for each entry of the vessel on
[28 FR 14596, Dec. 31, 1963]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 4.22, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.
§ 4.23 Certificate of payment and cash
receipt.
Upon each payment of tonnage tax or
light money, the master of the vessel
shall be given a certificate on Customs
Form 1002 on which the control number
of the cash receipt (Customs Form 368
or 368A) upon which payment was recorded shall be written. This certificate shall constitute the official evidence of such payment and shall be
presented upon each entry during the
tonnage year to establish the date of
commencement of the tonnage year
and to insure against overpayment. In
the absence of the certificate, evidence
of payment of tonnage tax shall be obtained from the port director to whom
the payment was made.
[T.D. 85–71, 50 FR 15415, Apr. 18, 1985, as
amended by T.D. 92–56, 57 FR 24943, June 12,
1992]
§ 4.24 Application for refund of tonnage tax.
(a) The authority to make refunds in
accordance with section 26 of the Act
of June 26, 1884 (46 U.S.C. 8) of regular
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§ 4.30
19 CFR Ch. I (4–1–12 Edition)
a voyage on which that rate is applicable before the end of the current tonnage year, exclusive of any payment
which has been refunded or which may
be refunded as a result of such application.
(f) The owner or operator of the vessel involved, or other party in interest,
may file with the port Director a petition addressed to the Commissioner of
Customs for a review of the port director’s decision on an application for refund of regular tonnage tax. Such petition shall be filed in duplicate within
30 days from the date of notice of the
initial decision, shall completely identify the case, and shall set forth in detail the exceptions to the decision.
(2) U.S. vessels arriving at a U.S. port
from another U.S. port at which formal
entry was made may be issued a permit
or special license to lade or unlade
without having to make either preliminary or formal entry at the second and
subsequent ports. Foreign vessels arriving at a U.S. port from another U.S.
port at which formal entry was made
may be issued a permit or special license to lade or unlade at the second
and subsequent ports prior to formal
entry without the necessity of making
preliminary entry. In these circumstances, after the master has reported arrival of the vessel, the port director may issue the permit or special
license or may, in his discretion, require the vessel to be boarded, the master to make an oath or affirmation to
the truth of the statements contained
in the vessel’s manifest to the Customs
officer who boards the vessel, and require delivery of the manifest prior to
issuing the permit.
(b) Application for a permit or special license will be made by the master,
owner, or agent of the vessel on Customs Form 3171, or electronically pursuant to an authorized electronic data
interchange system or other means of
communication approved by the Customs Service, and will specifically indicate the type of service desired at that
time, unless a term permit or term special license has been issued. Vessels
that arrive in a Customs port with
more than one vessel carrier sharing or
leasing space on board the vessel (such
as under a vessel sharing or slot charter arrangement) are required to indicate on the CF 3171 all carriers on
board the vessel and indicate whether
each carrier is transmitting its cargo
declaration electronically or is presenting it on the Customs Form 1302. In
the case of a term permit or term special license, upon entry of each vessel,
a copy of the term permit or special license must be submitted to Customs
during official hours in advance of the
rendering of services so as to update
the nature of the services desired and
the exact times they will be needed.
Permits must also be updated to reflect
any other needed changes including
those in the name of the vessel as well
as the slot charter or vessel sharing
parties. An agent of a vessel may limit
[T.D. 71–274, 36 FR 21025, Nov. 3, 1971, as
amended by T.D. 95–77, 60 FR 50010, Sept. 27,
1995]
LANDING AND DELIVERY OF CARGO
§ 4.30 Permits and special licenses for
unlading and lading.
(a) Except as prescribed in paragraph
(f), (g), or (k) of this section or in § 123.8
of this chapter, and except in the case
of a vessel exempt from entry or clearance fees under 19 U.S.C. 288, no passengers, cargo, baggage, or other article shall be unladen from a vessel
which arrives directly or indirectly
from any port or place outside the Customs territory of the U.S., including
the adjacent waters (see § 4.6 of this
part), or from a vessel which transits
the Panama Canal and no cargo, baggage, or other article shall be laden on
a vessel destined to a port or place outside the Customs territory of the U.S.,
including the adjacent waters (see § 4.6
of this part) if Customs supervision of
such lading is required, until the port
director shall have issued a permit or
special license therefore on Customs
Form 3171 or electronically pursuant to
an authorized electronic data interchange system or other means of communication approved by the Customs
Service.
(1) U.S. and foreign vessels arriving
at a U.S. port directly from a foreign
port or place are required to make
entry, whether it be formal or, as provided in § 4.8, preliminary, before the
port director may issue a permit or
special license to lade or unlade.
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§ 4.30
plicable preliminary Customs requirements have been complied with before
commencing such operation, since performance in the absence of such compliance render them severally liable to
the penalties prescribed in section 453,
Tariff Act of 1930, even though they
may not be responsible for taking the
action necessary to secure compliance.
(f) The port director may issue a
term permit on Customs Form 3171,
which will remain in effect until revoked by the port director, terminated
by the carrier, or automatically cancelled by termination of the supporting
continuous bond, to unlade merchandise, passengers, or baggage, or to lade
merchandise or baggage during official
hours.
(g) The port director may issue a
term special license on Customs Form
3171, which will remain in effect until
revoked by the port director, terminated by the carrier, or automatically
cancelled by termination of the supporting continuous bond, to unlade
merchandise, passengers, or baggage,
or to lade merchandise or baggage during overtime hours or on a Sunday or
holiday when Customs supervision is
required. (See § 24.16 of this chapter regarding pleasure vessels.)
(h) A special license for the unlading
or lading of a vessel at night or on a
Sunday or holiday shall be refused by
the port director if the character of the
merchandise or the conditions or facilities at the place of unlading or lading
render the issuance of such special license dangerous to the revenue. In no
case shall a special license for unlading
or lading at night or on a Sunday or
holiday be granted except on the
ground of commercial necessity.
(i) The port director shall not issue a
permit or special license to unlade
cargo or equipment of vessels arriving
directly or indirectly from any port or
place outside the United States, except
on compliance with one or more of the
following conditions:
(1) The merchandise shall have been
duly entered and permits issued; or
(2) A bond on Customs Form 301, containing the bond conditions set forth in
§ 113.64 of this chapter relating to international carriers, or cash deposit shall
have been given; or
his application to operations involved
in the entry and unlading of the vessel
or to operations involved in its lading
and clearance. Such limitation will be
specifically noted on the application.
(c) The request for a permit or a special license shall not be approved (previously issued term permits or special
licenses shall be revoked) unless the
carrier complies with the provisions of
paragraphs (l) and (m) of this section
regarding terminal facilities and employee lists, and the required cash deposit or bond has been filed on Customs
Form 301, containing the bond conditions set forth in § 113.64 of this chapter
relating to international carriers. 62
When a carrier has on file a bond on
Customs Form 301, containing the bond
conditions set forth in § 113.63 of this
chapter relating to basic custodial
bond conditions, no further bond shall
be required solely by reason of the unlading or lading at night or on a Sunday or holiday of merchandise or baggage covered by bonded transportation
entries. Separate bonds shall be required if overtime services are requested by different principals.
(d) Except as prescribed in paragraph
(f) or (g) of this section, a separate application for a permit or special license
shall be filed in the case of each arrival.
(e) Stevedoring companies and others
concerned in lading or unlading merchandise, or in removing or otherwise
securing it, shall ascertain that the ap62 ‘‘Before
any such special license to
unlade shall be granted, the master, owner,
or agent of such vessel or vehicle, or the person in charge of such vehicle, shall be required to deposit sufficient money to pay, or
to give a bond in an amount to be fixed by
the Secretary conditioned to pay, the compensation and expenses of the customs officers and employees assigned to duty in connection with such unlading at night or on
Sunday or a holiday, in accordance with the
provisions of section 5 of the act of February
13, 1911, as amended (U.S.C. 1952 edition, title
19 sec. 267). In lieu of such deposit or bond
the owner or agent of any vessel or vehicle
or line of vessels or vehicles may execute a
bond in an amount to be fixed by the Secretary of the Treasury to cover and include
the issuance of special licenses for the unlading of such vessels or vehicles for a period
not to exceed one year. * * *’’ (Tariff Act of
1930, section 451, as amended, 19 U.S.C. 1451)
63-66 [Reserved]
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§ 4.31
19 CFR Ch. I (4–1–12 Edition)
(3) The merchandise is to be discharged into the custody of the port director as provided for in section 490(b),
Tariff Act of 1930.
(j) Bonds are not required under this
section for vessels owned by the United
States and operated for its account.
(k) In the case of vessels of 5 net tons
or over which are used exclusively as
pleasure vessels and which arrive from
any country, the port director in his
discretion and under such conditions as
he deems advisable may allow the required application for unlading passengers and baggage to be made orally,
and may authorize his inspectors to
grant oral permission for unlading at
any time, and to grant requests on Customs Form 3171 for overtime services.
(l) A permit to unlade pursuant to
this part 4 or part 122 of this chapter
shall not be granted unless the port director determines that the applicant
provides or the terminal at which the
applicant will unlade the cargo provides (1) sufficient space, capable of
being locked, sealed, or otherwise secured, for the storage immediately
upon unlading of cargo whose weightto-value ratio renders it susceptible to
theft or pilferage and of packages
which have been broken prior to or in
the course of unlading; and (2) an adequate number of vehicles, capable of
being locked, sealed, or otherwise secured, for the transportation of such
cargo or packages between the point of
unlading and the point of storage. A
term permit to unlade shall be revoked
if the port director determines subsequent to such issuance that the requirements of this paragraph have not
been met.
(m) A permit to unlade pursuant to
this part 4 or part 122 of this chapter
shall not be granted to an importing
carrier, and a term permit to unlade
previously granted to such a carrier
shall be revoked, (1) if such carrier,
within 30 days after the date of receipt
of a written demand by the port director, does not furnish a written list of
the names, addresses, social security
numbers, and dates and places of birth
of persons it employs in connection
with the unlading, storage and delivery
of imported merchandise; or (2) if, having furnished such a list, the carrier
does not advise the port director in
writing of the names, addresses, social
security numbers, and dates and places
of birth of any new personnel employed
in connection with the unlading, storage and delivery of imported merchandise within 10 days after such employment. If the employment of any such
person is terminated, the carrier shall
promptly advise the port director. For
the purposes of this part, a person shall
not be deemed to be employed by a carrier if he is an officer or employee of an
independent contractor engaged by a
carrier to load, unload, transport or
otherwise handle cargo.
(n) CBP will not issue a permit to
unlade before it has received the cargo
declaration information pursuant to
§ 4.7(b)(2) or (4) of this part. In cases in
which CBP does not receive complete
cargo declaration information from the
carrier or a NVOCC in the manner, format, and time frame required by
§ 4.7(b)(2) or (4), as appropriate, CBP
may delay issuance of the permit to
unlade the entire vessel until all required information is received. CBP
may also decline to issue a permit to
unlade the specific cargo for which a
cargo declaration is not received in a
timely manner under § 4.7(b)(2) or (4).
Further, where a carrier does not
transmit a cargo declaration in the
manner required by § 4.7(b)(2) or (4),
preliminary entry pursuant to § 4.8(b)
will be denied.
[28 FR 14596, Dec. 31, 1963]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 4.30, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.
§ 4.31 Unlading or transshipment due
to casualty.
(a) When any cargo or stores of a vessel have been unladen or transshipped
at any place in the United States or its
Customs waters other than a port of
entry because of accident, stress of
weather, or other necessity, no penalty
shall be imposed under section 453 or
586(a), Tariff Act of 1930, if due notice
is given to the director of the port at
which the vessel thereafter first arrives
and satisfactory proof is submitted to
him as provided for in section 586(f),
Tariff Act of 1930, as amended, regarding such accident, stress of weather, or
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U.S. Customs and Border Protection, DHS; Treasury
other necessity. The port director may
accept the certificates of the master
and two or more officers or members of
the crew of the vessel, of whom the person next to the master in command
shall be one, as proof that the unlading
or transshipment was necessary by reason of unavoidable cause.
(b) The port director may then permit entry of the vessel and its cargo
and permit the unlading of the cargo in
such place at the port as he may deem
proper. Unless its transportation has
been in violation of the coastwise laws,
the cargo may be cleared through Customs at the port where it is discharged
or forwarded to the port of original
destination under an entry for immediate transportation or for transportation and exportation, as the case
may be. All regulations shall apply in
such cases as if the unlading and delivery took place at the port of original
destination.
§ 4.33
§ 4.33 Diversion of cargo.
(a) Unlading at other than original port
of destination. A vessel may unlade
cargo or baggage at an alternative port
of entry to the port of original destination if:
(1) It is compelled by any cause to
put into the alternative port and the
director of that port issues a permit for
the unlading of cargo or baggage; or
(2) As a result of an emergency existing at the port of destination, the port
director authorizes the vessel to proceed in accordance with the residue
cargo bond procedure to the alternative port. The owner or agent of the
vessel shall apply for such authorization in writing, stating the reasons and
agreeing to hold the port director and
the Government harmless for the diversion.
(b) Disposition of cargo or baggage at
emergency port. Cargo and baggage unladen at the alternative port under the
circumstances set forth in paragraph
(a) of this section may be:
(1) Entered in the same manner as
other imported cargo or baggage;
(2) Treated as unclaimed and stored
at the risk and expense of its owner; or
(3) Reladen upon the same vessel
without entry, for transportation to its
original destination.
(c) Substitution of ports of discharge on
manifest. After entry, the Cargo Declaration, Customs Form 1302, of a vessel may be changed at any time to permit discharge of manifested cargo at
any domestic port in lieu of any other
port shown on the Cargo Declaration,
if:
(1) A written application for the diversion is made on the amended Cargo
Declaration by the master, owner, or
agent of the vessel to the director of
the port where the vessel is located,
after entry of the vessel at that port;
(2) An amended Cargo Declaration,
under oath, covering the cargo, which
it is desired to divert, is furnished in
support of the application and is filed
in such number of copies as the port director shall require for local Customs
purposes; and
(3) The certified traveling manifest is
not altered or added to in any way by
the master, owner, or agent of the vessel. When an application under paragraph (c)(1) of this section is approved,
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 95–77, 60 FR 50010, Sept. 27, 1995]
§ 4.32 Vessels in distress; landing of
cargo.
(a) When a vessel from a foreign port
arrives in distress at a port other than
that to which it is destined, a permit
to land merchandise or baggage may be
issued if such action is necessary. Merchandise and baggage so unladen shall
be taken into Customs custody and, if
it has not been transported in violation
of the coastwise laws, may be entered
and disposed of in the same manner as
any other imported merchandise or
may be reladen without entry to be
carried to its destination on the vessel
from which it was unladen, subject
only to charges for storage and safekeeping.
(b) A bond on Customs Form 301, containing the bond conditions set forth in
§ 113.64 of this chapter relating to international carriers shall be given in an
amount to be determined by the port
director to insure the proper disposition of the cargo, whether such cargo
be dutiable or free.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 84–213, 49 FR 41164, Oct. 19, 1984]
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§ 4.34
19 CFR Ch. I (4–1–12 Edition)
tered for Customs clearance at the port
of unlading, or if it is so forwarded in
bond, other than by the importing vessel or by another vessel owned or chartered by the owner of the importing
vessel, representatives of the importing vessel shall file at the port of unlading a Cargo Declaration in duplicate
listing the cargo. The port director
shall retain the original and forward
the duplicate to the director of the
originally intended port of discharge.
(b) Overcarried cargo. Upon receipt of
a satisfactory written application by
the owner or agent of a vessel establishing that cargo was not landed at its
destination and was overcarried to another domestic port through error or
emergency, the port director may permit the cargo to be returned in the importing vessel, or in another vessel
owned or chartered by the owner of the
importing vessel, to the destination
shown on the Cargo Declaration, Customs Form 1302, of the importing vessel, provided the importing vessel actually entered the port of destination. 67
(c) Inaccessibly stowed cargo. Cargo so
stowed as to be inaccessible upon arrival at destination may be retained on
board, carried forward to another domestic port or ports, and returned to
the port of destination in the importing vessel or in another vessel owned or
chartered by the owner of the importing vessel in the same manner as other
overcarried cargo.
(d) Application for forwarding cargo.
When it is desired that prematurely
landed cargo, overcarried cargo, or
cargo so stowed as to be inaccessible,
be forwarded to its destination by the
importing vessel or by another vessel
owned or chartered by the owner of the
importing vessel in accordance with
paragraph (a), (b), or (c) of this section,
the required application shall be filed
with the local director of the port of
premature landing or overcarriage by
the owner or agent of the vessel. The
the port director shall securely attach
an approved copy of the amended manifest to the traveling manifest and shall
send one copy of the amended Cargo
Declaration to the director of the port
where the vessel’s bond was filed.
(d) Retention of cargo on board for later
return to the United States. If, as the result of a strike or other emergency at
a United States port for which inward
foreign cargo is manifested, it is desired to retain the cargo on board the
vessel for discharge at a foreign port
but with the purpose of having the
cargo returned to the United States, an
application may be made by the master, owner, or agent of the vessel to
amend the vessel’s Cargo Declaration,
Customs Form 1302, under a procedure
similar to that described in paragraph
(c) of this section, except that a foreign
port shall be substituted for the domestic port of discharge. If the application
is approved, it shall be handled in the
same manner as an application filed
under paragraph (c) of this section.
However, before approving the application, the port director is authorized to
require such bond as he deems necessary to insure that export control
laws and regulations are not circumvented.
[T.D. 77–255, 42 FR 56320, Oct. 25, 1977]
§ 4.34 Prematurely discharged, overcarried, and undelivered cargo.
(a) Prematurely landed cargo. Upon receipt of a satisfactory written application from the owner or agent of a vessel establishing that cargo was prematurely landed and left behind by the
importing vessel through error or
emergency, the port director may permit inward foreign cargo remaining on
the dock to be reladen on the next
available vessel owned or chartered by
the owner of the importing vessel for
transportation to the destination
shown on the Cargo Declaration, Customs Form 1302, of the first vessel, provided the importing vessel actually entered the port of destination of the prematurely landed cargo. Unless so forwarded within 30 days from the date of
landing, the cargo shall be appropriately entered for Customs clearance
or for forwarding in bond; otherwise, it
shall be sent to general order as unclaimed. If the merchandise is so en-
67 See § 141.69(c) of this chapter for the conditions under which such merchandise and
goods removed from a port of intended entry
under these or certain other circumstances
may subsequently be cleared under a consumption entry which had been filed therefore before the merchandise was removed
from the port of intended entry.
68-69 [Reserved]
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.36
(g) Cargo undelivered at foreign port
and returned to the U.S. Merchandise
shipped from a domestic port, but undelivered at the foreign destination and
returned, shall be manifested as ‘‘Undelivered-to be returned to original foreign destination,’’ if such a return is
intended. The port director may issue a
permit to retain the merchandise on
board, or he may, upon written application of the steamship company, issue a
permit on a Delivery Ticket, Customs
Form 6043, allowing the merchandise to
be transferred to another vessel for return to the original foreign destination. No charge shall be made against
the bond on Customs Form 301, containing the bond conditions relating to
international carriers set forth in
§ 113.64 of this chapter. The items shall
be remanifested outward and an explanatory reference of the attending
circumstances and compliance with export requirements noted.
application shall be supported by a
Cargo Declaration, Customs Form 1302,
in such number of copies as the port director may require. Whenever practicable, the application shall be made
on the face of the Cargo Declaration
below the description of the merchandise. The application shall specify the
vessel on which the cargo was imported, even though the forwarding to
destination is by another vessel owned
or chartered by the owner of the importing vessel, and all ports of departure and dates of sailing of the importing vessel. The application shall be
stamped and signed to show that it has
been approved.
(e) Manifesting prematurely landed or
overcarried cargo. One copy of the Cargo
Declaration, Customs Form 1302, shall
be certified by Customs for use as a
substitute traveling manifest for the
prematurely landed or overcarried
cargo being forwarded as residue cargo,
whether or not the forwarding vessel is
also carrying other residue cargo. If
the application for forwarding is made
on the Cargo Declaration, the new substitute traveling manifest shall be
stamped to show the approval of the
application. If the application is on a
separate document, a copy thereof,
stamped to show its approval, shall be
attached to the substitute traveling
manifest. An appropriate cross-reference shall be placed on the original
traveling manifest to show that the
vessel has one or more substitute traveling manifests. A permit to proceed
endorsed on a Vessel Entrance or
Clearance Statement, Customs Form
1300, issued to the vessel transporting
the prematurely landed or overcarried
cargo to its destination shall make reference to the nature of such cargo,
identifying it with the importing vessel.
(f) Residue cargo procedure. A vessel
with prematurely landed or overcarried
cargo on board shall comply upon arrival at all domestic ports of call with
all the requirements of part 4 relating
to foreign residue cargo for domestic
ports. The substitute traveling manifest, carried forward from port to port
by the oncarrying vessel, shall be finally surrendered at the port where the
last portion of the prematurely landed
or overcarried cargo is discharged.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 77–255, 42 FR 56321, Oct. 25, 1977; T.D. 85–
123, 50 FR 29952, July 23, 1985; T.D. 95–77, 60
FR 50010, Sept. 27, 1995; T.D. 00–22, 65 FR
16515, Mar. 29, 2000]
§ 4.35
Unlading outside port of entry.
(a) Upon written application from the
interested party, the port director concerned, if he considers it necessary,
may permit any vessel laden with merchandise in bulk to proceed, after
entry, to any place outside the port
where the vessel entered which such
port director may designate for the
purpose of unlading such cargo.
(b) In such case a deposit of a sum
sufficient to reimburse the Government for the compensation, travel, and
subsistence expenses of the officers detailed to supervise the unlading and delivery of the cargo may be required by
the port director.
[28 FR 14596, Dec. 31, 1963, as amended at T.D.
95–77, 60 FR 50010, Sept. 27, 1995]
§ 4.36
Delayed discharge of cargo.
(a) When pursuant to section 457,
Tariff Act of 1930, customs officers are
placed on a vessel which has retained
merchandise on board more than 25
days after the date of the vessel’s arrival, their compensation and subsistence expenses shall be reimbursed to
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§ 4.37
19 CFR Ch. I (4–1–12 Edition)
the Government by the owner or master.
(b) The compensation of all Customs
officers and employees assigned to supervise the discharge of a cargo within
the purview of section 458, Tariff Act of
1930, 70 after the expiration of 25 days
after the date of the vessel’s entry
shall be reimbursed to the Government
by the owner or master of the vessel.
(c) When cargo is manifested ‘‘for orders’’ upon the arrival of the vessel, no
amendment of the manifest to show another port of discharge shall be permitted after 15 days after the date of
the vessel’s arrival, except as provided
for in § 4.33.
(d) All reimbursements payable in accordance with this section shall be paid
or secured to the port director before
clearance is granted to the vessel.
agent thereof. If the value of the merchandise on the bill is less than $1,000,
the penalty shall be equal to the value
of such merchandise.
(b) Any merchandise or baggage that
is taken into custody from an arriving
carrier by any party under a Customsauthorized permit to transfer or inbond entry may remain in the custody
of that party for 15 calendar days after
receipt under such permit to transfer
or 15 calendar days after arrival at the
port of destination. No later than 20
calendar days after receipt under the
permit to transfer or 20 calendar days
after arrival under bond at the port of
destination, the party shall notify Customs of any such merchandise or baggage for which entry has not been
made. Such notification shall be provided in writing or by any appropriate
Customs-authorized electronic data
interchange system. If the party fails
to notify Customs of the unentered
merchandise or baggage in the allotted
time, he may be liable for the payment
of liquidated damages under the terms
and conditions of his custodial bond
(see § 113.63(c)(4) of this chapter).
(c) In addition to the notification to
Customs required under paragraphs (a)
and (b) of this section, the carrier (or
any other party to whom custody of
the unentered merchandise has been
transferred by a Customs authorized
permit to transfer or in-bond entry)
shall provide notification of the presence of such unreleased and unentered
merchandise or baggage to a bonded
warehouse certified by the port director as qualified to receive general order
merchandise. Such notification shall
be provided in writing or by any appropriate Customs-authorized electronic
data interchange system and shall be
provided within the applicable 20-day
period specified in paragraph (a) or (b)
of this section. It shall then be the responsibility of the bonded warehouse
proprietor to arrange for the transportation and storage of the merchandise
or baggage at the risk and expense of
the consignee. The arriving carrier (or
other party to whom custody of the
merchandise was transferred by the arriving carrier under a Customs-authorized permit to transfer or in-bond
entry) is responsible for preparing a
Customs Form (CF) 6043 (Delivery
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 95–77, 60 FR 50010, Sept. 27, 1995; T.D. 98–
74, 63 FR 51287, Sept. 25, 1998]
§ 4.37 General order.
(a) Any merchandise or baggage regularly landed but not covered by a permit for its release shall be allowed to
remain at the place of unlading until
the fifteenth calendar day after landing. No later than 20 calendar days
after landing, the master or owner of
the vessel or the agent thereof shall
notify Customs of any such merchandise or baggage for which entry has not
been made. Such notification shall be
provided in writing or by any appropriate Customs-authorized electronic
data interchange system. Failure to
provide such notification may result in
assessment of a monetary penalty of up
to $1,000 per bill of lading against the
master or owner of the vessel or the
70 ‘‘The limitation of time for unlading
shall not extend to vessels laden exclusively
with merchandise in bulk consigned to one
consignee and arriving at a port for orders,
but if the master of such vessel requests a
longer time to discharge its cargo, the compensation of the inspectors or other customs
officers whose services are required in connection with the unlading shall, for every
day consumed in unlading in excess of twenty-five (25) days from the date of the vessel’s
entry, be reimbursed by the master or owner
of such vessel.’’ (Tariff Act of 1930, sec. 458; 19
U.S.C. 1458)
71-75 [Reserved]
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U.S. Customs and Border Protection, DHS; Treasury
Ticket), or other similar Customs document designated by the port director
or an electronic equivalent as authorized by Customs, to cover the proprietor’s receiptof the merchandise and
its transport to the warehouse from
the custody of the arriving carrier (or
other party to whom custody of the
merchandise was transferred by the
carrier under a Customs-authorized
permit to transfer or in-bond entry)
(see § 19.9 of this chapter). Any
unentered merchandise or baggage
shall remain the responsibility of the
carrier, master, or person in charge of
the importing vessel or the agent
thereof or party to whom the merchandise has been transferred under a Customs authorized permit to transfer or
in-bond entry, until it is properly
transferred from his control in accordance with this paragraph. If the party
to whom custody of the unentered merchandise or baggage has been transferred by a Customs-authorized permit
to transfer or in-bond entry fails to notify a Customs-approved bonded warehouse of such merchandise or baggage
within the applicable 20-calendar-day
period, he may be liable for the payment of liquidated damages of $1,000
per bill of lading under the terms and
conditions of his international carrier
or custodial bond (see §§ 113.63(b),
113.63(c) and 113.64(b) of this chapter).
(d) If a carrier or any other party to
whom custody of the unentered merchandise has been transferred by means
of a Customs-authorized permit to
transfer or in-bond entry fails to timely relinquish custody of the merchandise to a Customs-approved bonded
General Order warehouse, the carrier
or other party may be liable for liquidated damages equal to the value of
that merchandise under the terms and
conditions of his international carrier
or custodial bond, as applicable.
(e) If the bonded warehouse operator
fails to take possession of unentered
and unreleased merchandise or baggage
within five calendar days after receipt
of notification of the presence of such
merchandise or baggage under this section, he may be liable for the payment
of liquidated damages under the terms
and conditions of his custodial bond
(see § 113.63(a)(1) of this chapter). If the
port director finds that the warehouse
§ 4.38
operator cannot accept the goods because they are required by law to be
exported or destroyed (see § 127.28 of
this chapter), or for other good cause,
the goods will remain in the custody of
the arriving carrier or other party to
whom the goods have been transferred
under a Customs-authorized permit to
transfer or in-bond entry. In this event,
the carrier or other party will be responsible under bond for exporting or
destroying the goods, as necessary (see
§§ 113.63(c)(3) and 113.64(b) of this chapter).
(f) In ports where there is no bonded
warehouse authorized to accept general
order merchandise or if merchandise
requires specialized storage facilities
which are unavailable in a bonded facility, the port director, after having
received notice of the presence of
unentered merchandise or baggage in
accordance with the provisions of this
section, shall direct the storage of the
merchandise by the carrier or by any
other appropriate means.
(g) Whenever merchandise remains
on board any vessel from a foreign port
more than 25 days after the date on
which report of arrival of such vessel
was made, the port director, as prescribed in section 457, Tariff Act of
1930, as amended (19 U.S.C. 1457), may
take possession of such merchandise
and cause it to be unladen at the expense and risk of the owners of the
merchandise. Any merchandise so unladen shall be sent forthwith by the
port director to a general order warehouse and stored at the risk and expense of the owners of the merchandise.
(h) Merchandise taken into the custody of the port director pursuant to
section 490(b), Tariff Act of 1930, as
amended (19 U.S.C. 1490(b)), shall be
sent to a general order warehouse after
1 day after the day the vessel was entered, to be held there at the risk and
expense of the consignee.
[T.D. 98–74, 63 FR 51287, Sept. 25, 1998, as
amended by T.D. 02–65, 67 FR 68032, Nov. 8,
2002]
§ 4.38 Release of cargo.
(a) No imported merchandise shall be
released from Customs custody until a
permit to release such merchandise has
been granted. Such permit shall be
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§ 4.38
19 CFR Ch. I (4–1–12 Edition)
issued by the port director only after
the merchandise has been entered and,
except as provided for in § 141.102(d) or
part 142 of this chapter, the duties
thereon, if any, have been estimated
and paid. Generally, the permit shall
consist of a document authorizing delivery of a particular shipment or an
electronic equivalent. Alternatively,
the permit may consist of a report
which lists those shipments which have
been authorized for release. This alternative cargo release notification may
be used when the manifest is not filed
by the carrier through the Automated
Manifest System, the entry has been
filed through the Automated Broker
Interface, and Customs has approved
the cargo for release without submission of paper documents after reviewing the entry data submitted electronically through ABI and its selectivity
criteria (see § 143.34). The report shall
be posted in a conspicuous area to
which the public has access in the customhouse at the port of entry where
the cargo was imported.
(1) Where the cargo arrives by vessel,
the report shall consist of the following
data elements:
(i) Vessel name or code, if transmitted by the entry filer;
(ii) Carrier code;
(iii) Voyage number, if transmitted
by the entry filer;
(iv) Bill of lading number;
(v) Quantity released; and
(vi) Entry number (including filer
code).
(2) Where the cargo arrives by air,
the report shall consist of the following
data elements:
(i) Air waybill number;
(ii) Quantity released;
(iii) Entry number (including filer
code);
(iv) Carrier code; and
(v) Flight number, if transmitted by
the entry filer.
(3) In the case of merchandise traveling via in-bond movement, the report
will contain the following data elements:
(i) Immediate transportation bond
number;
(ii) Carrier code;
(iii) Quantity released; and
(iv) Entry number (including filer
code).
When merchandise is released without
proper permit before entry has been
made, the port director shall issue a
written demand for redelivery. The carrier or facility operator shall redeliver
the merchandise to Customs within 30
days after the demand is made. The
port director may authorize unentered
merchandise brought in by one carrier
for the account of another carrier to be
transferred within the port to the latter carrier’s facility. Upon receipt of
the merchandise the latter carrier assumes liability for the merchandise to
the same extent as though the merchandise had arrived on its own vessel.
(b) When packages of merchandise
bear marks or numbers which differ
from those appearing on the Cargo Declaration, Customs Form 1302, of the importing vessel for the same packages
and the importer or a receiving bonded
carrier, with the concurrence of the
importing carrier, makes application
for their release under such marks or
numbers, either for consumption or for
transportation in bond under an entry
filed therefor at the port of discharge
from the importing vessel, the port director may approve the application
upon condition that (1) the contents of
the packages be identified with an invoice or transportation entry as set
forth below and (2) the applicant furnish at his own expense any bonded
cartage or lighterage service which the
granting of the application may require. The application shall be in writing in such number of copies as may be
required for local Customs purposes.
Before permitting delivery of packages
under such an application, the port director shall cause such examination
thereof to be made as will reasonably
identify the contents with the invoice
filed with the consumption entry. If
the merchandise is entered for transportation in bond without the filing of
an invoice, such examination shall be
made as will reasonably identify the
contents of the packages with the
transportation entry.
(c) If the port director determines
that, in a port or portion of a port, the
volume of cargo handled, the incidence
of theft or pilferage, or any other factor related to the protection of merchandise in Customs custody requires
such measures, he shall require as a
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.39
condition to the granting of a permit
to release imported merchandise that
the importer or his agent present to
the carrier or his agent a fully exe-
cuted pickup order in substantially the
following format, in triplicate, to obtain delivery of any imported merchandise:
The pickup order shall contain a duly
authenticated customhouse broker’s
signature, unless it is presented by a
person properly identified as an employee or agent of the ultimate consignee. When delivered quantities are
verified by a Customs officer, he shall
certify all copies of the pickup order,
returning one to the importer or his
agent and two to the carrier making
delivery.
(d) When the provisions of paragraph
(c) of this section are invoked by the
port director and verification of delivered quantities by Customs is required,
a permit to release merchandise shall
be effective as a release from Customs
custody at the time that the delivery
of the merchandise covered by the
pickup order into the physical possession of a subsequent carrier or an importer or the agent of either is completed under the supervision of a Customs officer, and only to the extent of
the actual delivery of merchandise de-
scribed in such pickup order as verified
by such Customs officer.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 71–39, 36 FR 1892, Feb. 3, 1971; T.D. 77–
255, 42 FR 56321, Oct. 25, 1977; T.D. 91–46, 56
FR 22330, May 15, 1991; 56 FR 27559, June 14,
1991]
§ 4.39 Stores and equipment of vessels
and crews’ effects; unlading or lading and retention on board.
(a) The provisions of § 4.30 relating to
unlading under a permit on Customs
Form 3171 are applicable to the unlading of articles, other than cargo or baggage, which have been laden on a vessel
outside the Customs territory of the
United States, regardless of the trade
in which the vessel may be engaged at
the time of unlading, except that such
provisions do not apply to such articles
which have already been entered.
(b) Any articles other than cargo or
baggage landed for delivery for consumption in the United States shall be
treated in the same manner as other
imported articles. A notation as to the
landing of such articles, together with
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EC14NO91.167
45
§ 4.40
19 CFR Ch. I (4–1–12 Edition)
the number of the entry made therefor,
shall be made on the vessel’s store list,
but such notation shall not subject the
articles to the requirement of being included in a post entry to the manifest.
(c) Bags or dunnage constituting
equipment of a vessel may be landed
temporarily and reladen on such vessel
under Customs supervision without
entry.
(d) Articles claimed to be sea or
ships’ stores which are in excess of the
reasonable requirements of the vessel
on which they are found shall be treated as cargo of such vessel.
(e) Under section 446, Tariff Act of
1930, port directors may permit narcotic drugs, except smoking opium, in
reasonable quantities and properly listed as medical stores to remain on
board vessels if satisfied that such
drugs are adequately safeguarded and
used only as medical supplies.
(f) Application for permission to
transfer bunkers, stores or equipment
as provided for in the proviso to section 446, Tariff Act of 1930, shall be
made and the permit therefor granted
on Customs Form 3171.
(g) Equipment of a vessel arriving either directly or indirectly from a foreign port or place, if in need of repairs
in the United States, may be unladen
from and reladen upon the same vessel
under the procedures set forth in § 4.30
relating to the granting of permits and
special licenses on Customs Form 3171
(CF 3171). Adequate protection of the
revenue is insured under the appropriate International Carrier Bond during the period that equipment is temporarily
landed
for
repairs
(see
§ 113.64(b) of this chapter), and so resort
to the procedures established for the
temporary importation of merchandise
under bond is unnecessary. Once equipment which has been unladen under the
terms of a CF 3171 has been reladen on
the same vessel, potential liability for
that transaction existing under the
bond will be extinguished.
the waters of the United States or outside such waters, on being recovered
and brought into a United States port,
and like articles landed from a vessel
dismantled in a United States port
shall be subject to the same Customs
treatment as would apply if the articles were landed from a vessel arriving
in the ordinary course of trade. Parts
of the hull and fittings recovered from
a vessel which arrived in the United
States in the course of navigation and
was wrecked in the waters of the
United States or was dismantled in
this country are free of duties and import taxes, but if such articles are recovered from vessels outside the waters
of the United States and brought into a
United States port, they shall be treated as imported merchandise.
§ 4.41
Cargo of wrecked vessel.
(a) Any cargo landed from a vessel
wrecked in the waters of the United
States or on the high seas shall be subject at the port of entry to the same
entry requirements and privileges as
the cargo of a vessel regularly arriving
in the foreign trade. In lieu of a Cargo
Declaration, Customs Form 1302, to
cover such cargo, the owner, underwriter (if the merchandise has been
abandoned to him), or the salvor of the
merchandise shall make entry on Customs Form 7501, and any such applicant shall be regarded as the consignee
of the merchandise for Customs purposes. 76
(b) All such merchandise shall be
taken into possession by the director of
the port where it shall first arrive and
be retained in his custody pending
entry. If it is not entered by the person
entitled to make entry, or is not disposed of pursuant to court order, it
shall be subject to sale as unclaimed
merchandise.
(c) If such merchandise is from a vessel which has been sunk in waters of
the United States for 2 years or more
and has been abandoned by the owner,
any person who has salvaged the cargo
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 93–66, 58 FR 44130, Aug. 19, 1993; T.D. 00–
61, 65 FR 56790, Sept. 20, 2000]
76 ‘‘* * * The underwriters of abandoned
merchandise and the salvors of merchandise
saved from a wreck at sea or on or along a
coast of the United States may be regarded
as the consignees.’’* * * (Tariff Act of 1930,
sec. 483; 19 U.S.C. 1483)
§ 4.40 Equipment, etc., from wrecked
or dismantled vessels.
Ship’s or sea stores, supplies, and
equipment of a vessel wrecked either in
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.52
shall be permitted to enter the merchandise at the port where the vessel
was wrecked free of duty upon the facts
being established to the satisfaction of
the director of the port of entry. 77 Any
other such merchandise is subject to
the same tariff classification as like
merchandise regularly imported in the
ordinary course of trade.
(d) If the merchandise is libeled for
salvage, 78 the port director shall notify
the United States attorney of the
claim of the United States for duties,
and request him to intervene for such
duties.
formation respecting such passengers
required by Customs and Immigration
Form I–418 shall be included therein.
(b) A passenger within the meaning
of this part is any person carried on a
vessel who is not connected with the
operation of such vessel, her navigation, ownership, or business.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 77–255, 42 FR 56321, Oct. 25, 1977; T.D. 87–
75, 52 FR 20066, May 29, 1987; T.D. 95–77, 60 FR
50010, Sept. 27, 1995; T.D. 99–27, 64 FR 13675,
Mar. 22, 1999]
(a) Arrival of vessel reported. Individuals on vessels, which have reported
their arrival to Customs in accordance
with19 U.S.C. 1433 and § 4.2 of this part,
shall remain on board until authorized
by Customs to depart. Upon departing
the vessel, such individuals shall immediately report to a designated Customs location together with all of their
accompanying articles.
(b) Arrival of vessel not reported. Individuals on vessels, which have not reported their arrival to Customs in accordance with 19 U.S.C. 1433 and § 4.2 of
this part, shall immediately notify
Customs and report their arrival together with appropriate information
regarding the vessel, and shall present
themselves and their accompanying articles at a designated Customs location.
(c) Departure from designated Customs
location. Individuals required to report
to designated Customs locations under
this section shall not depart from such
locations until authorized to do so by
any appropriate Customs officer.
[28 FR 14596, Dec. 31, 1963 as amended by T.D.
71–169, 36 FR 12603, July 2, 1971; T.D. 82–145, 47
FR 35475, Aug. 16, 1982; T.D. 93–96, 58 FR
67316, Dec. 21, 1993]
§ 4.51 Reporting requirements for individuals arriving by vessel.
PASSENGERS ON VESSELS
§ 4.50 Passenger lists.
(a) The master of every vessel arriving at a port of the United States from
a port or place outside the Customs
territory (see § 4.6 of this part) and required to make entry, except a vessel
arriving from Canada, otherwise than
by sea, at a port on the Great Lakes, or
their connections or tributary waters,
shall submit passenger and crew lists,
as required by § 4.7(a) of this part. If
the vessel is arriving from noncontiguous foreign territory and is carrying
steerage passengers, the additional in77 ‘‘Whenever any vessel laden with merchandise, in whole or in part subject to duty,
has been sunk in any river, harbor, bay, or
waters subject to the jurisdiction of the
United States, and within its limits, for the
period of two years and is abandoned by the
owner thereof, any person who may raise
such vessel shall be permitted to bring any
merchandise recovered therefrom into the
port nearest to the place where such vessel
was so raised free from the payment of any
duty thereupon, but under such regulations
as the Secretary of the Treasury may prescribe.’’ (Tariff Act of 1930, sec. 310; 19 U.S.C.
1310)
78 Salvors have an uncertain interest in the
goods salved, dependent upon the decree of a
competent tribunal, and have a presumptive
right without such decree to possession of
merchandise salved by them from abandoned
wrecks. The salvors are entitled in either
case to make entry of derelict or wrecked
goods.
79-103 [Reserved]
[T.D. 93–96, 58 FR 67316, Dec. 21, 1993]
§ 4.52 Penalties applicable to individuals.
Individuals violating any of the reporting requirements of § 4.51 of this
part or who present any forged, altered, or false document or paper to
Customs in connection with this section, may be liable for certain civil
penalties, as provided under 19 U.S.C.
1459, in addition to other penalties applicable under other provisions of law.
Further, if the violation of these reporting requirements is intentional,
upon conviction, additional criminal
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§ 4.60
19 CFR Ch. I (4–1–12 Edition)
penalties may be applicable, as provided by under 19 U.S.C. 1459, in addition to other penalties applicable under
other provisions of law.
(d) In the event that departure is delayed beyond the second day after
clearance, the delay must be reported
within 72 hours after clearance to the
port director who will note the fact of
detention on the certificate of clearance and on the official record of clearance. When the proposed voyage is canceled after clearance, the reason therefor must be reported in writing within
24 hours after such cancellation and
the certificate of clearance and related
papers must be surrendered.
(e) No vessel will be cleared for the
high seas except, a vessel bound to another vessel on the high seas to—
(1) Transship export merchandise
which it has transported from the U.S.
to the vessel on the high seas; or
(2) Receive import merchandise from
the vessel on the high seas and transport the merchandise to the U.S.
[T.D. 93–96, 58 FR 67317, Dec. 21, 1993; 59 FR
1918, Jan. 13, 1994]
FOREIGN CLEARANCES
§ 4.60
Vessels required to clear.
(a) Unless specifically excepted by
law, the following vessels must obtain
clearance from CBP before departing
from a port or place in the United
States:
(1) All vessels departing for a foreign
port or place;
(2) All foreign vessels departing for
another port or place in the United
States;
(3) All American vessels departing for
another port or place in the United
States that have foreign merchandise
for which entry has not been made; and
(4) All vessels departing for points
outside the territorial sea to visit a
hovering vessel or to receive merchandise or passengers while outside the
territorial sea, as well as foreign vessels delivering merchandise or passengers while outside the territorial
sea.
(b) The following vessels are not required to clear:
(1) A documented vessel with a pleasure license endorsement or an undocumented American pleasure vessel (i.e.,
an undocumented vessel wholly owned
by a United States citizen or citizens,
whether or not it has a certificate of
number issued by the State in which
the vessel is principally used under 46
U.S.C. 1466–1467 and not engaged in
trade nor violating the customs or
navigation laws of the United States
and not having visited any hovering
vessel (see 19 U.S.C. 1709(d)).
(2) A vessel exempted from entry by
section 441, Tariff Act of 1930. (See
§ 4.5.)
(3) A vessel of less than 5 net tons
which departs from the United States
to proceed to a contiguous country
otherwise than by sea.
(c) Vessels which will merely transit
the Panama Canal without transacting
any business there will not be required
to be cleared because of such transit.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 79–276, 44 FR 61956, Oct. 29, 1979; T.D. 83–
214, 48 FR 46512, Oct. 13, 1983; T.D. 85–91, 50
FR 21429, May 24, 1985; T.D. 94–24, 59 FR 13200,
Mar. 21, 1994; T.D. 95–77, 60 FR 50010, Sept. 27,
1995; T.D. 00–4, 65 FR 2873, Jan. 19, 2000; CBP
Dec. 08-25, 73 FR 40725, July 16, 2008; CBP
Dec. 10–33, 75 FR 69585, Nov. 15, 2010]
§ 4.61
Requirements for clearance.
(a) Application for clearance. A clearance application for a vessel intending
to depart for a foreign port must be
made by filing Customs Form 1300
(Vessel Entrance or Clearance Statement) executed by the vessel master or
other proper officer. The master, licensed deck officer, or purser may appear in person to clear the vessel, or
the properly executed Customs Form
1300 may be delivered to the customhouse by the vessel agent or other personal representative of the master.
Necessary information may also be
transmitted electronically pursuant to
a system authorized by Customs. Clearance will be granted by Customs either
on the Customs Form 1300 or by approved electronic means. Customs port
directors may permit the clearance of
vessels at locations other than the customhouse, and at times outside of normal business hours. Customs may take
local resources into consideration in
allowing clearance to be transacted on
board vessels themselves or at other
mutually convenient sites and times
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U.S. Customs and Border Protection, DHS; Treasury
either within or outside of port limits.
Customs must be satisfied that the
place designated for clearance is sufficiently under Customs control at the
time of clearance, and that the expenses incurred by Customs will be reimbursed as authorized. Customs may
require that advance notice of vessel
departure be given prior to granting requests for optional clearance locations.
(b) When clearance required. Under
certain circumstances, American vessels departing from ports of the United
States directly for other United States
ports must obtain Customs clearance.
The clearance of such vessels is required when they have merchandise
aboard which is being transported inbond, or when they have unentered foreign merchandise aboard. For the purposes of the vessel clearance requirements, merchandise transported inbond does not include bonded ship’s
stores or supplies. While American vessels transporting unentered foreign
merchandise must fully comply with
usual clearance procedures, American
vessels carrying no unentered foreign
merchandise but that have in-bond
merchandise aboard may satisfy vessel
clearance requirements by reporting
intended departure within 72 hours
prior thereto by any means of communication that is satisfactory to the
local Customs port director, and by
presenting a completed Customs Form
1300 (Vessel Entrance or Clearance
Statement). Also, the Customs officer
may require the production of any documents or papers deemed necessary for
the proper inspection/examination of
the vessel, cargo, passenger, or crew.
Report of departure together with providing information to Customs as specified in this paragraph satisfies all
clearance requirements for the subject
vessels.
(c) Verification of compliance. Before
clearance is granted to a vessel bound
to a foreign port as provided in § 4.60
and this section, the port director will
verify compliance with respect to the
following matters:
(1) Accounting for inward cargo (see
§ 4.62).
(2) Outward Cargo Declarations; shippers export declarations (see § 4.63).
(3) Documentation (see § 4.0(c)).
§ 4.61
(4) Verification of nationality and
tonnage (see § 4.65).
(5) Verification of inspection (see
§ 4.66).
(6) Inspection under State laws (46
U.S.C. App. 97).
(7) Closed ports or places (see § 4.67).
(8) Passengers (see § 4.68).
(9) Shipping articles and enforcement
of Seamen’s Act (see § 4.69).
(10) Medicine and slop chests.
(11) Load line regulations (see § 4.65a).
(12) Carriage of United States securities, etc. (46 U.S.C. App. 98).
(13) Carriage of mail.
(14) Public Health regulations (see
§ 4.70).
(15) Inspection of vessels carrying
livestock (see § 4.71).
(16) Inspection of meat, meat-food
products, and inedible fats (see § 4.72).
(17) Neutrality exportation of arms
and munitions (see § 4.73).
(18) Payment of State and Federal
fees and fees due the Government of
the Virgin Islands of the United States
(46 U.S.C. App. 100).
(19) Orders restricting shipping (see
§ 4.74).
(20) Estimated duties deposited or a
bond given to cover duties on foreign
repairs and equipment for vessels of
the United States (see § 4.14).
(21) Illegal discharge of oil (see
§ 4.66a).
(22) Attached or arrested vessel.
(23) Immigration laws.
(24) Electronic receipt of required
vessel cargo information (see § 192.14(c)
of this chapter).
(d) Vessel built for foreign account. A
new vessel built in the United States
for foreign account will be cleared
under a certificate of record, Coast
Guard Form 1316, in lieu of a marine
document.
(e) Clearance not granted. Clearance
will not be granted to any foreign vessel using the flag of the United States
or any distinctive signs or markings
indicating that the vessel is an American vessel (22 U.S.C. 454a).
(f) Clearance in order of itinerary. Unless otherwise provided in this section,
every vessel bound for a foreign port or
ports will be cleared for a definite port
or ports in the order of its itinerary,
but an application to clear for a port or
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§ 4.62
19 CFR Ch. I (4–1–12 Edition)
ward With Commercial Forms (Customs Form 1302–A) describing the basis
for the exemption with a reference to
the number of the section in the Census Regulations (see 15 CFR 30.39, 30.50
through 30.57) where the particular exemption is provided. If shipments are
exempt on the basis of value and destination, the appearance of the value
and destination on a bill of lading or
other commercial documents is acceptable as evidence of the exemption and
reference to the applicable section in
the Census Regulations is not required.
(c) The following minimal information shall be included on the Cargo
Declaration Outward With Commercial
Forms, Customs Form 1302–A (other information required to be on a Customs
Form 1302–A as shown on the form
itself must also be included thereon) or
on attached copies of bills of lading or
equivalent commercial documents:
(1) Name and address of shipper;
(2) Description of the cargo (see paragraph (d) of this section);
(3) Number of packages and gross
weight (see paragraph (d) of this section);
(4) Name of vessel or carrier;
(5) Port of exit (this shall be the port
where the merchandise is loaded on the
vessel); and
(6) Port of destination (this shall be
the foreign port of discharge of the
merchandise).
(d) If the bills of lading or equivalent
commercial documents attached to the
Customs Form 1302–A show on their
face the cargo information required by
columns 6, 7, and either column 8 or 9,
of the Customs Form 1302–A, that information need not be shown again on
the Customs Form 1302–A. However, in
that case, the cargo information must
be incorporated by a suitable reference
on the face of the Customs Form 1302–
A such as ‘‘Cargo as per attached commercial documents.’’
place for orders, that is, for instructions to masters as to destination of
the vessel, may be accepted if the vessel is in ballast or if any cargo on
board is to be discharged in a port of
the same country as the port for which
clearance is sought.
[T.D. 00–4, 65 FR 2874, Jan. 19, 2000; T.D. 00–
22, 65 FR 16515, Mar. 29, 2000; CBP Dec. 03–32,
68 FR 68169, Dec. 5, 2003]
§ 4.62 Accounting for inward cargo.
Inward cargo discrepancies shall be
accounted for and adjusted by correction of the Cargo Declaration Outward
With Commercial Forms, Customs
Form 1302–A, but the vessel may be
cleared and the adjustment deferred if
the discharging officer’s report has not
been received. (See § 4.12.)
[T.D. 77–255, 42 FR 56322, Oct. 25, 1977, as
amended by T.D. 84–193, 49 FR 35485, Sept. 10,
1984]
§ 4.63 Outward
cargo
declaration;
shippers’ export declarations.
(a) No vessel shall be cleared directly
for a foreign port, or for a foreign port
by way of another domestic port or
other domestic ports (see § 4.87(b)), unless there has been filed with the appropriate Customs officer at the port
from which clearance is being sought:
(1) A Cargo Declaration Outward
With Commercial Forms, Customs
Form 1302–A. Copies of bills of lading
or equivalent commercial documents
relating to all cargo encompassed by
the manifest must be attached in such
manner as to constitute one document,
together with a Vessel Entrance or
Clearance Statement, Customs Form
1300, and export declarations as are required by pertinent regulations of the
Bureau of the Census, Department of
Commerce; or
(2) An incomplete Cargo Declaration
as provided for in § 4.75.
(b) Except as hereafter stated, the
number of the export declaration covering each shipment for which an authenticated export declaration is required shall be shown on the Cargo
Declaration Outward With Commercial
Forms, Customs Form 1302–A, in the
marginal column headed ‘‘B/L No.’’ If
an export declaration is not required
for a shipment, a notation shall be
made on the Cargo Declaration Out-
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.64
ficial must transmit each electronic
departure manifest required under
paragraph (b)(1) of this section to the
CBP Data Center, CBP Headquarters,
no later than 60 minutes before the vessel departs from the United States.
(ii) Amended crew member manifests. If
a crew member boards the vessel after
submission of the manifest under paragraph (b)(2)(i) of this section, the appropriate
official
must
transmit
amended manifest information to CBP
reflecting the data required under
paragraph (b)(3) of this section for the
additional crew member. The amended
manifest information must be transmitted to the CBP Data Center, CBP
Headquarters, no later than 12 hours
after the vessel has departed from the
United States.
(3) Information required. Each electronic departure manifest required
under paragraph (b)(1) of this section
must contain the following information for all passengers and crew members, except that the information specified in paragraphs (b)(3)(iv), (ix), (xi),
(xv), and (xvi), of this section must be
included on the manifest only on or
after October 4, 2005:
(i) Full name (last, first, and, if
available, middle);
(ii) Date of birth;
(iii) Gender (F = female; M = male);
(iv) Citizenship;
(v) Status on board the vessel;
(vi) Travel document type (e.g., P =
passport; A = alien registration card);
(vii) Passport number, if a passport is
required;
(viii) Passport country of issuance, if
a passport is required;
(ix) Passport expiration date, if a
passport is required;
(x) Alien registration number, where
applicable;
(xi) Passenger Name Record locator,
if available;
(xii) Departure port code (CBP port
code);
(xiii) Port/place of final arrival (foreign port code);
(xiv) Vessel name;
(xv) Vessel country of registry/flag;
(xvi) International Maritime Organization number or other official number
of the vessel;
(e) For each shipment to be exported
under an entry or withdrawal for exportation or for transportation and exportation, the Cargo Declaration Outward With Commercial Forms, Customs Form 1302–A, or commercial document attached to the Cargo Declaration and made a part thereof in accordance with paragraph (a)(1) of this section, shall clearly show for such shipment the number, date, and class of
such Customs entry or withdrawal (i.e.,
T. & E., Wd. T. & E., I. E., Wd. Ex., or
Wd. T., as applicable) and the name of
the port where the merchandise is
laden for exportation.
(f) Customs officers shall accept a
Cargo Declaration Outward With Commercial Forms, Customs Form 1302–A,
covering containerized or palletized
cargo which indicates by the use of appropriate words of qualification (see
§ 4.7a(c)(3)) that the declaration has
been prepared on the basis of information furnished by the shipper.
[T.D. 84–193, 49 FR 35484, Sept. 10, 1984; T.D.
00–22, 65 FR 16515, Mar. 29, 2000]
§ 4.64 Electronic passenger and crew
member departure manifests.
(a) Definitions. The definitions contained in § 4.7b(a) also apply for purposes of this section.
(b) Electronic departure manifest—(1)
General requirement. Except as provided
in paragraph (c) of this section, an appropriate official of each commercial
vessel departing from the United
States to any port or place outside the
United States must transmit to Customs and Border Protection (CBP) an
electronic passenger departure manifest and an electronic crew member departure manifest. Each electronic departure manifest:
(i) Must be transmitted to CPB at the
place and time specified in paragraph
(b)(2) of this section by means of an
electronic data interchange system approved by CBP. If the transmission is
in US EDIFACT format, the passenger
manifest and the crew member manifest must be transmitted separately;
and
(ii) Must set forth the information
specified in paragraph (b)(3) of this section.
(2) Place and time for submission—(i)
General requirement. The appropriate of-
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§ 4.65
19 CFR Ch. I (4–1–12 Edition)
(xvii) Voyage number (applicable
only for multiple departures on the
same calendar day); and
(xviii) Date of vessel departure.
(c) Exceptions. The electronic departure manifest requirement specified in
paragraph (b) of this section is subject
to the following conditions:
(1) No passenger or crew member departure manifest is required if the departing commercial vessel is operating
as a ferry;
(2) If the departing commercial vessel
is not transporting passengers, only a
crew member departure manifest is required;
(3) No passenger departure manifest
is required for active duty U.S. military personnel on board a departing
Department of Defense commercial
chartered vessel.
(d) Carrier responsibility for comparing
information collected with travel document. The carrier collecting the information described in paragraph (b)(3) of
this section is responsible for comparing the travel document presented
by the passenger or crew member with
the travel document information it is
transmitting to CBP in accordance
with this section in order to ensure
that the information is correct, the
document appears to be valid for travel
purposes, and the passenger or crew
member is the person to whom the
travel document was issued.
(e) Sharing of manifest information. Information contained in passenger and
crew member manifests that is received by CBP electronically may,
upon request, be shared with other
Federal agencies for the purpose of protecting national security. CBP may
also share such information as otherwise authorized by law.
§ 4.65a
Load lines.
(a) If a port director is notified by an
officer of the United States Coast
Guard that a detention order has been
issued against a vessel engaged in the
foreign trade under the International
Voyage Load Line Act of 1973, clearance shall not be granted until the
order is withdrawn.
(b) If a port director issues a detention order under the Coastwise Load
Line Act, 1935, as amended, or is notified by an officer of the United States
Coast Guard that a detention order has
been issued against a vessel under the
aforesaid Act, clearance shall not be
granted until the order is withdrawn.
[T.D. 75–133, 40 FR 24518, June 9, 1975]
§ 4.66
Verification of inspection.
(a) No clearance shall be granted unless the port director is satisfied that a
proper certificate of inspection is in
force and the vessel is in compliance
with such certificate, if the vessel is:
(1) A vessel of the United States required to be inspected as specified in
Title 46, Code of Federal Regulations.
(2) A foreign vessel carrying passengers from the United States.
(b) In the case of vessels of foreign
nations which are signatories of the
International Convention for the Safety of Life at Sea, 1948, carrying passengers from the United States, an unexpired Certificate of Examination for
Foreign Passenger Vessel, Form CG–
989, or an unexpired Certificate for Foreign Vessel to Carry Persons in Addition to Crew, Form CG–3463, issued by
the United States Coast Guard, may be
accepted as evidence that a proper certificate of inspection is in force and the
vessel is in compliance with such certificate.
(c) In the case of vessels of the
United States subject to inspection
proceeding to another port for repairs,
a valid Permit to Proceed to Another
Port for Repairs, Form CG–948, issued
by the United States Coast Guard,
shall be accepted in lieu of the certificate of inspection required by this section.
[CBP Dec. 05–12, 70 FR 17851, Apr. 7, 2005, as
amended by CBP Dec. 07–64, 72 FR 48342, Aug.
23, 2007]
§ 4.65 Verification of nationality and
tonnage.
The nationality and tonnage of a vessel shall be verified by examination of
its marine document. If such examination discloses that insufficient tonnage
tax was collected on entry of the vessel, no clearance shall be granted until
the deficiency is paid.
[T.D. 56173, 29 FR 6681, May 22, 1964, as
amended by T.D. 69–266, 34 FR 20422, Dec. 31,
1969]
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.66c
vessel, its owner, operator, or person in
charge, is liable for a fine or civil penalty, or reasonable cause exists to believe that they may be subject to a fine
or civil penalty under the provisions of
33 U.S.C. 1908 for violating the Protocol
of 1978 Relating to the International
Convention for the Prevention of Pollution from Ships, 1973 (MARPOL Protocol), the Act to Prevent Pollution
from Ships, 1980 (33 U.S.C. 1901–1911), or
regulations issued thereunder, such
clearance or a permit to proceed shall
be refused or revoked. Clearance or a
permit to proceed may be granted when
the port director is informed that a
bond or other security satisfactory to
the Coast Guard has been filed.
(b) If a port director receives a notification from a Coast Guard officer that
an order has been issued to detain a
vessel required to have an International Oil Pollution Prevention
(IOPP) Certificate which does not have
a valid certificate on board, or whose
condition or whose equipment’s condition does not substantially agree with
the particulars of the certificate on
board, or which presents an unreasonable threat of harm to the marine environment, the port director shall refuse
or revoke the clearance or permit to
proceed of the vessel if requested to do
so by a Coast Guard officer. The port
director shall not grant clearance or
issue a permit to proceed to the vessel
until notified by a Coast Guard officer
that detention of the vessel is no
longer required.
(c) If a port director receives a notification from a Coast Guard officer to
detain a vessel operated under the authority of a country not a party to the
MARPOL Protocol which does not have
a valid certificate on board showing
that the vessel has been surveyed in accordance with and complies with the
requirements of the MARPOL Protocol, or whose condition or whose
equipment’s condition does not substantially agree with the particulars of
the certificate on board, or which presents an unreasonable threat of harm
to the marine environment, the port
director shall refuse or revoke the
clearance or permit to proceed of the
vessel if requested to do so by a Coast
Guard officer. The port director shall
not grant clearance or issue a permit
§ 4.66a Illegal discharge of oil and hazardous substances.
If a port director receives a request
from an officer of the U.S. Coast Guard
to withhold clearance of a vessel whose
owner or operator is subject to a civil
penalty for discharging oil or a hazardous substance into or upon the navigable waters of the United States, adjoining shorelines, or into or upon the
waters of the contiguous zone in quantities determined to be harmful by appropriate authorities, such clearance
shall not be granted until the port director is informed that a bond or other
surety satisfactory to the Coast Guard
has been filed.
[T.D. 82–28, 47 FR 5226, Feb. 4, 1982]
§ 4.66b Pollution of coastal and navigable waters.
(a) If any Customs officer has reason
to believe that any refuse matter is
being or has been deposited in navigable waters or any tributary of any
navigable waters in violation of section
13 of the Act of March 3, 1899 (30 Stat.
1152; 33 U.S.C. 407), or oil or a hazardous substance is being or has been
discharged into or upon the navigable
waters of the United States, adjoining
shorelines, or into or upon the waters
of the contiguous zone in violation of
the Federal Water Pollution Control
Act, as amended (33 U.S.C. 1251, 1321),
he shall promptly furnish to the port
director a full report of the incident,
together with the names of witnesses
and, when practicable, a sample of the
material discharged from the vessel in
question.
(b) The port director shall forward
this report immediately, without recommendation, to the district commander of the Coast Guard district
concerned and a copy of such report
shall be furnished to Headquarters,
U.S. Customs Service.
[T.D. 73–18, 38 FR 1587, Jan. 16, 1973, as
amended by T.D. 82–28, 47 FR 5226, Feb. 4,
1982]
§ 4.66c Oil pollution by oceangoing
vessels.
(a) If a port director receives a request from a Coast Guard officer to
refuse or revoke the clearance or permit to proceed of a vessel because the
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§ 4.67
19 CFR Ch. I (4–1–12 Edition)
to proceed to the vessel until notified
by a Coast Guard officer that detention
of the vessel is no longer required.
Service, Department of Agriculture,
shall be filed before the clearance of a
vessel carrying horses, mules, asses,
cattle, sheep, swine, or goats (9 CFR
part 91)
[T.D. 81–148, 49 FR 28695, July 16, 1984]
§ 4.67 Closed ports or places.
No foreign vessel shall be granted a
clearance or permit to proceed to any
port or place from which such vessels
are excluded by orders or regulations of
the United States Navy Department
except with the prior approval of that
Department.
[T.D. 79–32, 44 FR 5650, Jan. 29, 1979]
§ 4.72 Inspection of meat, meat-food
products, and inedible fats.
(a) No clearance shall be granted to
any vessel carrying meat or meat-food
products, as defined and classified by
the U.S. Department of Agriculture,
Food Safety and Inspection Service,
Meat and Poultry Inspection until
there have been filed with the port director such copies of export certificates concerning such meat or meatfood products as are required by the
pertinent regulations of the U.S. Department of Agriculture, Food Safety
and Inspection Service, Meat and Poultry Inspection (9 CFR part 322). If such
certificate has been obtained but is unavailable at the scheduled time of a
vessel’s departure, the vessel may be
cleared on the basis of the receipt of a
statement, under the shipper’s or shipper’s agent’s letterhead, certifying the
number of boxes, the number of
pounds, the product name and the U.S.
Department of Agriculture export certificate number that covers the shipment of the product. If such statement
has been used as the basis for obtaining
vessel clearance, the duplicate of the
certificate must be filed with Customs
within the time period prescribed by
§ 4.75.
(b) No clearance shall be granted to
any vessel carrying tallow, stearin,
oleo oil, or other rendered fat derived
from cattle, sheep, swine, or goats for
export from the United States, which
has not been inspected, passed, and
marked by the United States Department of Agriculture, unless the port director is furnished with a certificate by
the exporter that the article is inedible.
§ 4.68 Federal Maritime Commission
certificates for certain passenger
vessels.
No vessel having berth or stateroom
accommodations for 50 or more passengers and embarking passengers at
U.S. ports will be granted a clearance
at the port or place of departure from
the United States unless it is established that the vessel has valid certificates issued by the Federal Maritime
Commission.
[T.D. 00–4, 65 FR 2874, Jan. 19, 2000]
§ 4.69 Shipping articles.
No vessel of the U.S. on a voyage between a U.S. port and a foreign port
(except a port in Canada, Mexico, or
the West Indies), or if of at least 75
gross tons, on a voyage between a U.S.
port on the Atlantic Ocean and a U.S.
port on the Pacific Ocean, shall be
granted clearance before presentation,
to the appropriate Customs officer, of
the shipping articles agreements, including any seaman’s allotment agreement, required by 46 U.S.C. chapter 103,
in the form provided for in 46 CFR
14.05–1.
[T.D. 92–52, 57 FR 23945, June 5, 1992]
§ 4.70 Public Health Service requirements.
No clearance will be granted to a vessel subject to the foreign quarantine
regulations of the Public Health Service.
[T.D. 00–4, 65 FR 2874, Jan. 19, 2000]
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 78–99, 43 FR 13059, Mar. 29, 1978; T.D. 91–
77, 56 FR 46114, Sept. 10, 1991;T.D. 95–54, 60 FR
35838, July 12, 1995]
§ 4.71 Inspection of livestock.
A proper export inspection certificate issued by the Veterinary Services,
Animal and Plant Health Inspection
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.73 Neutrality; exportation of arms
and munitions.
§ 4.75
§ 4.74 Transportation orders.
Clearance shall not be granted to any
vessel if the port director has reason to
believe that her departure or intended
voyage would be in violation of any
provision of any transportation order,
regulation, or restriction issued under
authority of the Defense Production
Act of 1950 (50 U.S.C. App. 2061–2066).
(a) Clearance shall not be granted to
any vessel if the port director has reason to believe that her departure or intended voyage would be in violation of
any provision of the Neutrality Act of
1939 or other neutrality law of the
United States, 104 or of any regulation
or instruction issued pursuant to any
such law.
(b) The port director shall refuse
clearance for and detain any vessel
manifestly built for warlike purposes
and about to depart from the United
States with a cargo consisting principally of arms and munitions of war 105
when the number of men intending to
sail or other circumstances render it
probable that the vessel is intended to
commit hostilities against the subjects, citizens, or property or any foreign country, with which the United
States is at peace, until the decision of
the President thereon is received, or
until the owners shall have given bond
or security in double the value of the
vessel and its cargo that she will not be
so employed.
(c) A port director shall promptly
communicate all the facts to Headquarters, U.S. Customs Service, if he
learns while the United States is at
peace that any vessel of a belligerent
power which has arrived as a merchant
vessel is altering, or will attempt to
alter, her status as a merchant vessel
so as to become an armed vessel or an
auxiliary to armed vessels of a foreign
power.
(d) If a port director has reason to believe during the existence of a war to
which the United States is not a party
that any vessel at his port is about to
carry arms, munitions, supplies, dispatches, information, or men to any
warship or tender or supply ship of a
belligerent nation, he shall withhold
the clearance of such vessel and report
the facts promptly to Headquarters,
U.S. Customs Service.
§ 4.75 Incomplete manifest; incomplete
export declarations; bond.
(a) Pro forma manifest. Except as provided for in § 4.75(c), if a master desiring to clear his vessel for a foreign port
does not have available for filing with
the port director a complete Cargo
Declaration Outward with Commercial
Forms, Customs Form 1302–A (see
§ 4.63) in accordance with 46 U.S.C. 91,
or all required shipper’s export declarations (see 15 CFR 30.24), the port director may accept in lieu thereof an incomplete manifest (referred to as a pro
forma manifest) on the Vessel Entrance or Clearance Statement, Customs Form 1300, if there is on file in his
office a bond on Customs Form 301,
containing the bond conditions set
forth in § 113.64 of this chapter relating
to international carriers, executed by
the vessel owner or other person as attorney in fact of the vessel owner. The
‘‘Incomplete Manifest for Export’’ box
in item 17 of the Vessel Entrance or
Clearance Statement form must be
checked.
(b) Time in which to file complete manifest and export declarations. Not later
than the fourth business day after
clearance from each port in the vessel’s
itinerary, the master, or the vessel’s
agent on behalf of the master, shall deliver to the director of each port a
complete Cargo Declaration Outward
with Commercial Forms, Customs
Form 1302–A, in accordance with § 4.63,
of the cargo laden at such port together with duplicate copies of all required shipper’s export declarations for
such cargo and a Vessel Entrance or
Clearance Statement, Customs Form
1300. The statutory grace period of 4
days for filing the complete manifest
and missing export declarations begins
to run on the first day (exclusive of
any day on which the customhouse is
not open for marine business) following
the date on which clearance is granted.
104 See 18 U.S.C. 961 through 967 and 22
U.S.C. 441 through 457.
105 Clearance for vessel shall not be denied
for the sole reason that her cargo contains
contraband of war.
106-110 [Reserved]
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§ 4.76
19 CFR Ch. I (4–1–12 Edition)
(c) Countries for which vessels may not
be cleared until complete manifests and
shipper’s export declarations are filed. To
aid the Customs Service in the enforcement of export laws and regulations,
no vessel shall be cleared for any port
in the following countries until a complete outward foreign manifest and all
required shipper’s export declarations
have been filed with the port director:
Albania
Bulgaria
Cambodia
China, People’s
Republic of
Cuba
Czechoslovakia
Estonia
German Democratic
Republic (Soviet
Zone of Germany
and Soviet Zone
sector of Berlin)
Hungary
Iran
Iraq
book (available on the Customs internet web site (www.customs.gov)). Carriers and their agents are responsible
for reporting accurate and timely information and for responding to all notifications concerning the status of
their transmissions and the detention
and release of freight in accordance
with the procedures set forth in the
AES Trade Interface Requirements
handbook. Customs will send messages
to participant carriers regarding the
accuracy of their transmissions. AES
participants are required to comply
with the recordkeeping requirements
contained at § 30.66 of the Census Regulations (15 CFR 30.66) and any other applicable recordkeeping requirements.
Where paper SEDs have been submitted
by exporters prior to departure, participant carriers will be responsible for
submitting those SEDs to Customs
within four (4) business days after the
departure of the vessel from each port,
unless a different time requirement is
specified by §§ 4.75 or 4.84. Upon written
agreement with participant sea carriers, Customs and Census can provide
for an alternative to the location filing
requirement for paper SEDs set forth
in § 4.75(b) by which the participant
carriers are otherwise bound.
(c) Messages required to be filed within
the sea carrier’s module. Participant carriers will be responsible for transmitting and responding to the following
messages:
(1) Booking. Booking information
identifies all the freight that is scheduled for export. Booking information
will be transmitted to Customs via
AES for each shipment as far in advance of departure as practical, but no
later than seventy-two hours prior to
departure for all information available
at that time. Bookings received within
seventy-two hours of departure will be
transmitted to Customs via AES as received;
(2) Receipt of booking. When the carrier receives the cargo or portion of the
cargo that was booked, the carrier will
inform Customs so that Customs can
determine if an examination of the
cargo is necessary. Customs will notify
the carrier of shipments designated for
examination. Customs will also notify
Laos
Latvia
Libya
Lithuania
Mongolian People’s
Republic
North Korea
Polish People’s
Republic (Including
Danzig)
Rumania
South Yemen
Union of Soviet
Socialist Republics
Viet Nam
[T.D. 87–1, 52 FR 255, Jan. 5, 1987, as amended
by T.D. 91–60, 56 FR 32085, July 15, 1991; T.D.
00–22, 65 FR 16515, Mar. 29, 2000]
§ 4.76 Procedures and responsibilities
of carriers filing outbound vessel
manifest information via the AES.
(a) The sea carrier’s module. The Sea
Carrier’s Module is a component of the
Automated Export System (AES) (see,
part 192, subpart B, of this chapter)
that allows for the filing of outbound
vessel manifest information electronically (see, 15 CFR part 30). All sea carriers are eligible to apply for participation in the Sea Carrier’s Module. Application and certification procedures for
AES are found at 15 CFR 30.60. A sea
carrier certified to use the module that
adheres to the procedures set forth in
this section and the Census Regulations (15 CFR part 30) concerning the
electronic submission of an outbound
vessel manifest information meets the
outward cargo declaration filing requirements (CF 1302–A) of §§ 4.63 and
4.75, except as otherwise provided in
§§ 4.75 and 4.84.
(b) Responsibilities. The performance
requirements and operational standards and procedures for electronic submission of outbound vessel manifest information are detailed in the AES
Trade Interface Requirements hand-
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U.S. Customs and Border Protection, DHS; Treasury
the carrier when the shipment designated for inspection is released and
may be loaded on the vessel;
(3) Departure. No later than the first
calendar day following the actual departure of the vessel, the carrier will
notify Customs of the date and time of
departure; and
(4) Manifest. Within ten (10) calendar
days after the departure of the vessel
from each port, the carrier will submit
the manifest information to Customs
via AES for each booking loaded on the
departed vessel. However, if the destination of the vessel is a foreign port
listed in § 4.75(c), the carrier must
transmit complete manifest information before vessel departure. Time requirements for transmission of complete manifest information for carriers
destined to Puerto Rico and U.S. possessions are the same as the requirement for the submission of the complete manifest as found in § 4.84.
(d) All penalties and liquidated damages that apply to the submission of
paper manifests (see, applicable provisions in this part) apply to the electronic submission of outbound vessel
manifest information through the Sea
Carrier’s Module.
§ 4.80
citizenship of its owner, or both, would
be entitled to be documented for the
coastwise trade. The term ‘‘citizen’’ for
vessel documentation purposes, whether for an individual, partnership, or
corporation owner, is defined in 46 CFR
67.3.
(b) Penalties for violating coastwise
laws. (1) The penalty imposed for the illegal transportation of merchandise between coastwise points is forfeiture of
the merchandise or, in the discretion of
the port director, forfeiture of a monetary amount up to the value of the
merchandise to be recovered from the
consignor, seller, owner, importer, consignee, agent, or other person or persons so transporting or causing the
merchandise to be transported (46
U.S.C. 883).
(2) The penalty imposed for the unlawful transportation of passengers between coastwise points is $300 for each
passenger so transported and landed (46
U.S.C. App. 289, as adjusted by the Federal Civil Penalties Inflation Adjustment Act of 1990).
(c) Any vessel of the United States,
whether or not entitled under paragraph (a) of this section to engage in
the coastwise trade, and any foreign
vessel may proceed between points in
the United States embraced within the
coastwise laws to discharge cargo or
passengers laden at a foreign port, to
lade cargo or passengers for a foreign
port, in ballast, or to transport certain
articles in accordance with § 4.93. Cargo
laden at a foreign port may be retained
onboard during such movements. Furthermore, certain barges of United
States or foreign flag may transport
transferred
merchandise
between
points in the United States embraced
within the coastwise laws, excluding
transportation between the continental
United States and a noncontiguous
point in the United States embraced
within the coastwise laws, in accordance with § 4.81a.
(d) No vessel owned by a corporation
which is a citizen of the United States
under the Act of September 2, 1958 (46
U.S.C. 12118), shall be used in any trade
other than the coastwise and shall not
be used in that trade unless it is properly documented for such use or is exempt from documentation and is entitled to or, except for its tonnage, would
[T.D. 99–57, 64 FR 40986, July 28, 1999]
COASTWISE PROCEDURE
§ 4.80 Vessels entitled to engage in
coastwise trade.
(a) No vessel shall transport, either
directly or by way of a foreign port,
any passenger or merchandise between
points in the United States embraced
within the coastwise laws, including
points within a harbor, or merchandise
for any part of the transportation between such points, unless it is:
(1) Owned by a citizen and is so documented under the laws of the United
States as to permit it to engage in the
coastwise trade;
(2) Owned by a citizen, is exempt
from documentation, and is entitled to
or, except for its tonnage, would be entitled to be documented with a coastwise endorsement.
(3) Owned by a partnership or association in which at least a 75 percent
interest is owned by such a citizen, is
exempt from documentation and is entitled to or, except for its tonnage, or
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§ 4.80
19 CFR Ch. I (4–1–12 Edition)
be entitled to a coastwise license. Such
a vessel shall not be documented for
nor engage in the foreign trade or the
fisheries and shall not transport merchandise or passengers coastwise for
hire except as a service for a parent or
a subsidiary corporation as defined in
the aforesaid Act or while under demise or bareboat charter at prevailing
rates for use otherwise than in trade
with noncontiguous territory of the
United States to a common or contract
carrier subject to part III of the Interstate Commerce Act, as amended (49
U.S.C. 901 through 923), which otherwise qualifies as a citizen of the United
States under section 2 of the Shipping
Act, 1916, as amended (46 U.S.C. 50501),
and which is not connected, directly or
indirectly, by way of ownership or control with such owning corporation.
(e) No vessel which has acquired the
lawful right to engage in the coastwise
trade, by virtue of having been built or
documented under the laws of the
United States, will have the right to
engage in such trade if it:
(1) Thereafter has been sold foreign
in whole or in part or placed under foreign registry, unless such vessel is 200
gross tons or less (as measured under
chapter 143 of title 46, United States
Code); or
(2) Has been rebuilt, unless the entire
rebuilding, including the construction
of any major components of the hull or
superstructure of the vessel, was effected within the United States.
(f) No foreign-built vessel owned and
documented as a vessel of the United
States prior to February 1, 1920, by a
citizen nor one owned by the United
States on June 5, 1920, and sold to and
owned by a citizen, shall engage in the
American fisheries, but it is otherwise
unlimited as to trade so long as it continues in such ownership (section 22,
Merchant Marine Act, of June 5, 1920;
46 U.S.C. 13). No foreign-built vessel
which is owned by a citizen, but which
was not so owned and documented on
February 1, 1920, or which was not
owned by the United States on June 5,
1920, shall engage in the coastwise
trade or the American fisheries. No foreign-built vessel which has been sold,
leased, or chartered by the Secretary of
Commerce to any citizen, shall engage
in the American fisheries, but it is oth-
erwise unlimited as to trade so long as
it continues in such ownership, lease,
or charter (section 9 of the Act of Sept.
7, 1916, as amended, 46 U.S.C. 808). A
vessel engaged in taking out fishing
parties for hire, unless it intends to
proceed to a foreign port, is considered
to be engaged in the coastwise trade
and not the fisheries.
(g) Certain vessels not documented
under the laws of the United States
which are acquired by or made available to the Secretary of Commerce
may be documented under section 3 of
the Act of August 9, 1954 (50 U.S.C. 198).
Such vessels shall not engage in the
coastwise trade unless in possession of
a valid unexpired permit to engage in
that trade issued by the Secretary of
Commerce under authority of section
3(c) of the said Act.
(h) A vessel which is at least 50 percent owned by a citizen as defined in 46
CFR subpart 68.05, and which, except
for citizenship requirements, is otherwise entitled to be documented with a
coastwise endorsement, may be documented with a limited coastwise endorsement, provided the vessel is
owned by a not-for-profit oil spill response cooperative or by one or more
members of such a cooperative who
dedicate the vessel to the use of the cooperative (46 U.S.C. 12106(d)). Notwithstanding 46 U.S.C. App. 883, a vessel
may be documented with such a limited endorsement even if formerly
owned by a not-for-profit oil spill response cooperative or by one or more
members thereof, as long as the citizenship criteria of 46 CFR subpart 68.05
are met. A vessel so documented may
operate on the navigable waters of the
United States or in the Exclusive Economic Zone only for the purpose of
training for oil spill cleanup operations; deploying equipment, supplies
and personnel for cleanup operations;
and recovering and/or transporting oil
discharged in a spill. Such vessel may
also engage in any other employment
for which a registry, fishery, or Great
Lakes endorsement is not required, and
may qualify to operate for other purposes by meeting the applicable requirements of 46 CFR part 67.
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U.S. Customs and Border Protection, DHS; Treasury
(i.e., either a foreign-flag vessel or a
U.S.-flag vessel that is foreign-built or
at one time has been under foreignflag) which embarks a passenger at a
coastwise port is as follows:
(1) If the passenger is on a voyage
solely to one or more coastwise ports
and the passenger disembarks or goes
ashore temporarily at a coastwise port,
there is a violation of the coastwise
law.
(2) If the passenger is on a voyage to
one or more coastwise ports and a
nearby foreign port or ports (but at no
other foreign port) and the passenger
disembarks at a coastwise port other
than the port of embarkation, there is
a violation of the coastwise law.
(3) If the passenger is on a voyage to
one or more coastwise ports and a distant foreign port or ports (whether or
not the voyage includes a nearby foreign port or ports) and the passenger
disembarks at a coastwise port, there
is no violation of the coastwise law
provided the passenger has proceeded
with the vessel to a distant foreign
port.
(c) An exception to the prohibition in
this section is the transportation of
passengers between ports in Puerto
Rico and other ports in the U.S. on passenger vessels not qualified to engage
in the coastwise trade. Such transportation is permitted until there is a
finding under 46 U.S.C. 289c that a
qualified U.S.-flag passenger vessel is
available for such service.
(d) The owner or charterer of a foreign vessel or any other interested person may request from Headquarters,
U.S. Customs and Border Protection,
Attention: Cargo Security, Carriers &
Immigration Branch, Office of International Trade, an advisory ruling as
to whether a contemplated voyage
would be considered to be coastwise
transportation in violation of 46 U.S.C.
289. Such a request shall be filed in accordance with the provisions of part
177, CBP Regulations (19 CFR part 177).
(i) Any vessel, entitled to be documented and not so documented, employed in a trade for which a Certificate of Documentation is issued under
the vessel documentation laws (see
§ 4.0(c)), other than a trade covered by
a registry, is liable to a civil penalty of
$500 for each port at which it arrives
without the proper Certificate of Documentation. If such a vessel has on
board any foreign merchandise (sea
stores excepted), or any domestic taxable alcoholic beverages, on which the
duty and taxes have not been paid or
secured to be paid, the vessel and its
cargo are subject to seizure and forfeiture.
[T.D. 69–266, 34 FR 20422, Dec. 31, 1969, as
amended by T.D. 79–160, 44 FR 31956, June 4,
1979; T.D. 83–214, 48 FR 46512, Oct. 13, 1983;
T.D. 93–78, 58 FR 50257, Sept. 27, 1993; T.D. 97–
82, 62 FR 51769, Oct. 3, 1997; T.D. 03–11, 68 FR
13820, Mar. 21, 2003; CBP Dec. 08-25, 73 FR
40725, July 16, 2008]
§ 4.80a Coastwise
passengers.
transportation
§ 4.80b
of
(a) For the purposes of this section,
the following terms will have the
meaning set forth below:
(1) Coastwise port means a port in the
U.S., its territories, or possessions embraced within the coastwise laws.
(2) Nearby foreign port means any foreign port in North America, Central
America, the Bermuda Islands, or the
West Indies (including the Bahama Islands, but not including the Leeward
Islands of the Netherlands Antilles,
i.e., Aruba, Bonaire, and Curacao). A
port in the U.S. Virgin Islands shall be
treated as a nearby foreign port.
(3) Distant foreign port means any foreign port that is not a nearby port.
(4) Embark means a passenger boarding a vessel for the duration of a specific voyage and disembark means a passenger leaving a vessel at the conclusion of a specific voyage. The terms embark and disembark are not applicable
to a passenger going ashore temporarily at a coastwise port who reboards
the vessel and departs with it on sailing from the port.
(5) Passenger has the meaning defined
in § 4.50(b).
(b) The applicability of the coastwise
law (46 U.S.C. 289) to a vessel not qualified to engage in the coastwise trade
[T.D. 85–109, 50 FR 26984, July 1, 1985, as
amended by T.D. 85–109, 50 FR 37519, Sept. 16,
1985; T.D. 99–27, 64 FR 13675, Mar. 22, 1999]
§ 4.80b Coastwise transportation of
merchandise.
(a) Effect of manufacturing or processing at intermediate port or place. A
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§ 4.81
19 CFR Ch. I (4–1–12 Edition)
porting merchandise to a port in
noncontinguous territory. 111
(b) When the facts are as above stated except that the vessel is carrying
bonded merchandise, the master shall
report its arrival as provided for in
§ 4.2.
(c) [Reserved]
(d) The traveling Crew’s Effects Declaration, Customs Form 1304, or Customs and Immigration Form I–418 with
attached Customs Form 5129, referred
to in § 4.85 (b), (c), and (e) shall be deposited with the port director upon arrival at each port in the United States
and finally surrendered to the appropriate Customs officer or director of
the port where the vessel first departs
directly for a foreign port.
(e) Before any foreign vessel departs
in ballast, or solely with articles to be
transported in accordance with § 4.93,
from any port in the United States for
any other such port, the master must
apply to the port director for a permit
to proceed by filing a Vessel Entrance
or Clearance Statement, Customs
Form 1300, in duplicate. If a vessel is
proceeding in ballast and therefore the
Cargo Declaration (Customs Form 1302)
is omitted, the words ‘‘No merchandise
on board’’ shall be inserted in item 16
of the Vessel Entrance or Clearance
Statement. However, articles to be
transported in accordance with § 4.93
must be manifested on the Cargo Declaration, as required by § 4.93(c). Three
copies of the Cargo Declaration must
be filed with the port director. When
the port director grants the permit by
making an appropriate endorsement on
the Vessel Entrance or Clearance
Statement (see § 4.85(b)), the duplicate
copy, together with two copies of the
Cargo Declaration covering articles to
be transported in accordance with
§ 4.93, must be returned to the master.
The traveling Crew’s Effects Declaration, Customs Form 1304, and all unused crewmembers’ declarations on
Customs Form 5129 will be placed in a
sealed envelope addressed to the appropriate Customs officer at the next intended domestic port and returned to
the master for delivery. The master
must execute a receipt for all unused
coastwise transportation of merchandise takes place, within the meaning of
the coastwise laws, when merchandise
laden at a point embraced within the
coastwise laws (‘‘coastwise point’’) is
unladen at another coastwise point, regardless of the origin or ultimate destination of the merchandise. However,
merchandise is not transported coastwise if at an intermediate port or place
other than a coastwise point (that is at
a foreign port or place, or at a port or
place in a territory or possession of the
United States not subject to the coastwise laws), it is manufactured or processed into a new and different product,
and the new and different product
thereafter is transported to a coastwise
point.
(b) Request for ruling. Interested parties may request an advisory ruling
from Headquarters, U.S. Customs and
Border Protection, Attention: Cargo
Security, Carriers & Immigration
Branch, Office of International Trade,
as to whether a specific action taken or
to be taken with respect to merchandise at the intermediate port or place
will result in its becoming a new and
different product for purposes of this
section. The request shall be filed in
accordance with the provisions of part
177 of this chapter.
[T.D. 79–193, 44 FR 42178, July 19, 1979, as
amended by T.D. 91–77, 56 FR 46114, Sept. 10,
1991; 56 FR 47268, Sept. 18, 1991; T.D. 99–27, 64
FR 13675, Mar. 22, 1999]
§ 4.81 Reports of arrivals and departures in coastwise trade.
(a) No vessel which is documented
with a coastwise license or registry endorsement or is owned by a citizen and
exempt from documentation, and
which is in ballast or laden only with
domestic products or passengers being
carried only between points in the
United States shall be required to report arrival or to enter when coming
into one port of the United States from
any other such port, except as provided
for in sections 4.83 and 4.84, nor to obtain a clearance, permit to proceed, or
permission to depart when going from
one port in the United States to any
other such port except when trans-
111 See
§ 4.84.
112-114 [Reserved]
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U.S. Customs and Border Protection, DHS; Treasury
crewmembers’ declarations which are
returned to him. Immediately upon arrival at the next United States port the
master must report his arrival to the
port director. He must make entry
within 48 hours by filing with the port
director the permit to proceed on the
Vessel Entrance or Clearance Statement received at the previous port, a
newly executed Vessel Entrance or
Clearance Statement, a Crew’s Effects
Declaration of all unentered articles
acquired abroad by crewmembers
which are still on board, a Ship’s
Stores Declaration, Customs Form
1303, in duplicate of the stores remaining on board, both copies of the Cargo
Declaration covering articles transported in accordance with § 4.93, and
the document of the vessel. The traveling Crew’s Effects Declaration and
all unused crewmembers’ declarations
on Customs Form 5129 returned at the
prior port to the master must be delivered by him to the appropriate Customs officer.
(f) The master, licensed deck officer,
or purser who enters or clears a vessel,
or who obtains permission for a vessel
to depart, when required under the provisions of this section or of §§ 4.82, 4.84,
4.85, 4.87, 4.89, or 4.91 of the regulations
of this part, may appear in person at
the customhouse for that purpose, or
any required oaths, related documents,
and other papers properly executed by
the master or other proper officer may
be delivered at the customhouse by the
vessel agent or other personal representative of the master.
(g) In lieu of the procedures stated in
§§ 4.85 and 4.87 and at the option of the
owner or operator, unmanned non-selfpropelled barges specifically designed
for carriage aboard a vessel and regularly carried aboard a vessel in the foreign trade, hereinafter referred to as
LASH-type barges, may move under a
simplified permit-to-proceed procedure
as follows:
(1) At the port where a LASH-type
barge begins a coastwise movement
with inward foreign cargo, a permit to
proceed on the Vessel Entrance or
Clearance Statement, Customs Form
1300, must be obtained. A single permit
to proceed may be used for all the
barges proceeding to the same port of
unlading in the same town. An inward
§ 4.81
foreign manifest of the cargo in each
barge, destined to the port of unlading
shown on the permit to proceed, must
be attached to each permit. At the port
of unlading of the barge, report of arrival and entry must be made immediately upon arrival to the appropriate
Customs officer by presentation of the
permit to proceed, manifests, and a
new Vessel Entrance or Clearance
Statement, Customs Form 1300. If only
part of the inward foreign cargo is unladen, a new permit to proceed must be
obtained and the inward foreign manifests must be attached to it.
(2) At the port where a LASH-type
barge begins a coastwise movement
with export cargo, a permit to proceed
on the Vessel Entrance or Clearance
Statement, Customs Form 1300, must
be presented to the appropriate Customs officer. A single permit to proceed may be presented for all the
barges proceeding from the same port
of lading in the same tow. Required
shipper’s
export
declarations
for
LASH-type barges must be filed at the
port where the barges will be taken
aboard a barge-carrying vessel. At the
next port, a report of arrival must be
made immediately upon arrival and
entry must be made within 48 hours by
presentation of the permit to proceed
received upon departure from the prior
port and a newly executed Vessel Entrance or Clearance Statement, Customs Form 1300.
(3) When foreign LASH-type barges
are proceeding between ports of the
United States under paragraph (e) of
this section, a single permit to proceed
may be used for all the barges proceeding to the same port in the same
tow.
(4) In lieu of the master of the towing
vessel executing and delivering documents required under permit-to-proceed procedures (see § 4.81(f)) at the
port where a LASH-type barge begins a
coastwise movement, the master of the
towing vessel may designate in writing
the owner or operator of the barges as
his representative with authority to
execute and deliver such documents at
the customhouse. The owner or operator of the barges may designate representatives to perform such functions
at ports or places where permit-to-proceed documents must be delivered.
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§ 4.81a
19 CFR Ch. I (4–1–12 Edition)
the continental United States and noncontiguous States, districts, territories, and possessions embraced within the coastwise laws. The permit to
proceed shall include a statement that
the unqualified LASH-type barge is
owned or leased by the owner or operator of the LASH-type barge from
which the merchandise was transferred.
(b) The following nations have been
found to extend privileges reciprocal to
those provided in paragraph (a) of this
section to LASH-type barges of the
United States:
Documents obtained from Customs officers at one place by such a representative may be forwarded by any suitable
means to the representative who must
present them to Customs officers at another place, the only requirement
being that the forms are properly completed and are presented within the
prescribed time periods. Moreover, instead of a written designation from
each master of a towing vessel, a blanket designation in writing from the
owner or operator of one or more towing vessels on behalf of masters of their
towing vessels, designating the owner
or operator of the barges to be the representative of the master for purposes
of executing and delivering permit-toproceed documents, is authorized.
(5) [Reserved]
(6) When a LASH-type barge is proceeding to a place in the United States
that is not a port of entry, § 101.4(a) and
(b) of this chapter are applicable. No
merchandise shall be unladen from a
LASH-type barge until a permit or special license therefor is obtained in accordance with § 4.30 except that a single
permit to unlade may be used for all
barges that arrived at the port of unlading in the same tow.
Federal Republic of Germany.
Netherlands.
Sweden.
Union of Soviet Socialist Republics.
[T.D. 74–63, 39 FR 6108, Feb. 19, 1974, as
amended by T.D. 74–292, 39 FR 41360, Nov. 27,
1974; T.D. 75–7, 39 FR 44660, Dec. 26, 1974; T.D.
75–315, 40 FR 58852, Dec. 19, 1975; T.D. 78–492,
43 FR 58814, Dec. 18, 1978]
§ 4.82 Touching at foreign port while
in coastwise trade.
(a) A United States documented vessel with a registry or, coastwise endorsement, or both which, during a
voyage between ports in the United
States, touches at one or more foreign
ports and there discharges or takes on
merchandise, passengers, baggages, or
mail shall obtain a permit to proceed
or clearance at each port of lading in
the United States for the foreign port
or ports at which it is intended to
touch. The Cargo Declaration Outward
With Commercial Forms, Customs
Form 1302–A (see § 4.63), shall show only
the cargo for foreign destination. (See
§§ 4.61 and 4.87.)
(b) The master shall also present to
the port director a coastwise Cargo
Declaration in triplicate of the merchandise to be transported via the foreign port or ports to the subsequent
ports in the United States. It shall describe the merchandise and show the
marks and numbers of the packages,
the names of the shippers and consignees, and the destinations. The port
director shall certify the two copies
and return them to the master. Merchandise carried by the vessel in bond
under a transportation entry and manifest, Customs Form 7512, shall not be
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 71–169, 36 FR 12604, July 2, 1971; T.D. 74–
63, 39 FR 6108, Feb. 19, 1974; T.D. 74–284, 39 FR
39718, Nov. 11, 1974; T.D. 75–315, 40 FR 58852,
Dec. 19, 1975; T.D. 77–241, 42 FR 54936, Oct. 12,
1977; T.D. 77–255, 42 FR 56322, Oct. 25, 1977;
T.D. 83–214, 48 FR 46512, Oct. 13, 1983; T.D. 92–
74, 57 FR 35752, Aug. 11, 1992; T.D. 93–96, 58 FR
67317, Dec. 21, 1993; T.D. 00–22, 65 FR 16515,
Mar. 29, 2000]
§ 4.81a Certain barges carrying merchandise transferred from another
barge.
(a) A LASH-type barge (as defined in
§ 4.81(g)) documented as a vessel of the
United States but not qualified to engage in the coastwise trade or a LASHtype barge of a nation found to grant
reciprocal privileges to United Statesflag LASH-type barges may transport
inward foreign and export cargo between points embraced within the
coastwise laws of the United States
after the merchandise has been transferred to it from another LASH-type
barge owned or leased by the same
owner or operator. This section is not
applicable to transportation between
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U.S. Customs and Border Protection, DHS; Treasury
§ 4.84
to the requirements for clearance, report of arrival, or entry.
shown on the coastwise Cargo Declaration.
(c) Upon arrival from the foreign port
or ports at the subsequent port in the
United States, a report of arrival and
entry of the vessel shall be made, and
tonnage taxes shall be paid. The master shall present Cargo Declaration in
accordance with § 4.7 and the certified
copies of the coastwise Cargo Declaration, Customs Form 1302.
(d) All merchandise on the vessel
upon its arrival at the subsequent port
in the United States is subject to such
Customs examination and treatment as
may be necessary to protect the revenue. Any article on board which is not
identified to the satisfaction of the
port director, by the coastwise Cargo
Declaration, Customs Form 1302, or
otherwise, as part of the coastwise
cargo, shall be treated as imported
merchandise.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 69–266, 34 FR 20423, Dec. 31, 1969; T.D. 83–
214, 48 FR 46513, Oct. 13, 1983]
§ 4.84 Trade with noncontiguous territory.
(a) No foreign vessel shall depart
from a port in noncontiguous territory
of the United States for any other port
in noncontiguous territory or for any
port in any State or the District of Columbia, nor from any port in any State
or the District of Columbia for any
port in noncontiguous territory, until
a clearance for the vessel has been
granted. Such a clearance shall be
granted in accordance with the applicable provisions of § 4.61 of the regulations of this part, including clearance
of a vessel simultaneously engaged in
one or more of the transactions listed
in § 4.90(a)(4), (5), or (6) of this part.
When merchandise is laden on a foreign
vessel in noncontiguous territory other
than Puerto Rico, for transportation
on that vessel to a port in any State,
the District of Columbia, or noncontiguous territory, and when this transportation is not forbidden by the coastwise laws, the merchandise may be
laden and shipped without shipper’s export declarations.
(b) The master of every foreign vessel
arriving at a port in any State or the
District of Columbia or in noncontiguous territory of the United States
from a port in noncontiguous territory
to which the coastwise laws do not
apply (e.g., Virgin Islands and American Samoa), or arriving at any port in
noncontiguous territory to which the
coastwise laws do not apply from any
place embraced within the coastwise
laws, shall immediately report its arrival and make entry for the vessel
within 48 hours after its arrival.
(c)(1) A vessel which is not required
to clear but which is transporting merchandise from a port in any State or
the District of Columbia to any noncontiguous territory of the United
States (excluding Puerto Rico), or from
[T.D. 77–255, 42 FR 56322, Oct. 25, 1977, as
amended by T.D. 83–214, 48 FR 46513, Oct. 13,
1983; T.D. 84–193, 49 FR 35485, Sept. 10, 1984;
T.D. 99–64, 64 FR 43265, Aug. 10, 1999; CBP
Dec. 08-25, 73 FR 40725, July 16, 2008]
§ 4.83 Trade between United States
ports on the Great Lakes and other
ports of the United States.
(a) If a vessel proceeding from or to a
port of the United States on the Great
Lakes to or from any other port of the
United States via the St. Lawrence
River is intended to touch at any foreign port and does so touch, it will be
subject to the usual requirements for
manifesting, clearing, report of arrival,
entry, payment of fees for entry and
clearance, and tonnage taxes. Vessels
which are boarded on the St. Lawrence
River by Canadian authorities for the
purposes of inspecting the vessel and
taking a passing report are not deemed
to have touched at a foreign port, provided that no ship’s stores are landed
or taken aboard and no other business
is transacted at the port or place of
boarding.
(b) A vessel in the coastwise trade
only, which is proceeding from a port
of the United States on the Great
Lakes via the Hudson River and otherwise than by sea, may operate under a
document with a Great Lakes license
endorsement and shall not be subject
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§ 4.85
19 CFR Ch. I (4–1–12 Edition)
Puerto Rico to any State or the District of Columbia, or any other noncontiguous territory, shall not be permitted to depart without filing a complete manifest, when required by regulations of the Bureau of the Census (15
CFR part 30), and all required Shipper’s
Export Declarations, unless before the
vessel departs an approved bond is filed
for the timely production of the required documents, as specified in 15
CFR 30.24. Requests for permission to
depart may be written or oral and permission to depart shall be granted orally by the appropriate Customs officer.
However, if the request is to depart
prior to the filing of the required manifest and export declarations, permission shall not be granted unless the appropriate bond is on file. In the latter
case, the Customs officer shall keep a
simplified record of the necessary information in order to assure that the
manifest and export declarations are
filed within the required time period.
The Vessel Entrance or Clearance
Statement, Customs Form 1300 (see
§ 4.63(a)), required at the time of clearance is not required to be taken to obtain permission to depart.
(2) A vessel which is not required to
clear but which is transporting merchandise from a port in any State or
the District of Columbia to Puerto
Rico shall file a complete manifest,
when required by the regulations of the
Bureau of the Census (15 CFR part 30),
and all required Shipper’s Export Declarations within one business day after
arrival, as defined in § 4.2(b) of this
part, with the appropriate Customs officer in Puerto Rico. If the complete
manifest and all required Shipper’s Export Declarations are not filed with the
appropriate Customs officer within
that time frame, an appropriate bond
shall be filed with the Customs officer
for the timely production of the required documents as specified in 15
CFR 30.24. In these instances when a
bond is filed, the Customs officer shall
keep a simplified record of the necessary information in order to ensure
that the manifest and export declarations are filed not later than the seventh business day after arrival in Puerto Rico.
(d) Upon arrival of a vessel of the
United States at a port in any State,
the District of Columbia, or Puerto
Rico from a port in noncontiguous territory other than Puerto Rico, the
master shall immediately report its arrival and shall prepare, produce, and
file a Cargo Declaration in the form
and manner and at the times specified
in §§ 4.7 and 4.9 but shall not be required to make entry. If the vessel proceeds directly to another port in any
State, the District of Columbia, or
Puerto Rico, the master shall prepare,
produce, and file a Cargo Declaration
in the form and manner and at the
times specified in § 4.85 but no permit
to proceed on the Vessel Entrance or
Clearance Statement, Customs Form
1300, shall be required for the purposes
of this paragraph. No cargo shall be unladen from any such vessel until Cargo
Declarations have been filed and a permit to unlade has been issued in accordance with the procedure specified
in § 4.30.
(e) No vessel shall bring guano to the
United States from a guano island appertaining to the United States (see 48
U.S.C. 1411) unless such a vessel is entitled to engage in the coastwide trade.
(f) No vessel owned by a corporation
which qualifies as a citizen under the
Act of September 2, 1958 (46 U.S.C. 883–
1) shall, while under demise or
bareboat charter from such corporation, be granted clearance or permitted
to depart in trade with noncontiguous
territory.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 69–266, 34 FR 20423, Dec. 31, 1969: T.D. 71–
169, 36 FR 12604, July 2, 1971; T.D. 77–255, 42
FR 56323, Oct. 25, 1977; T.D. 79–276, 44 FR
61956, Oct. 29, 1979; T.D. 93–61, 58 FR 41425,
Aug. 4, 1993; T.D. 93–96, 58 FR 67317, Dec. 21,
1993; T.D. 00–22, 65 FR 16516, Mar. 29, 2000]
§ 4.85 Vessels with residue cargo for
domestic ports.
(a) Any foreign vessel or documented
vessel with a registry or, where appropriate, a Great Lakes license endorsement, arriving from a foreign port with
cargo or passengers manifested for
ports in the United States other than
the port of first arrival, may proceed
with such cargo or passengers from
port to port, provided a bond on Customs Form 301, containing the bond
conditions set forth in § 113.64 of this
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U.S. Customs and Border Protection, DHS; Treasury
chapter relating to international carriers in a suitable amount is on file
with the director of the port of first
entry. 115 No additional bond shall be
required at subsequent ports of entry.
Before the vessel departs from the port
of first arrival, the master shall obtain
from the port director a certified copy
of the complete inward foreign manifest (hereinafter referred to as the
traveling manifest). The certified copy
shall have a legend similar to the following endorsed on the Vessel Entrance or Clearance Statement, Customs Form 1300:
§ 4.85
must be indicated on Customs Form
1300 by inserting ‘‘To load only’’ in parentheses after the name of the port to
which the vessel is to proceed. The
traveling Crew’s Effects Declaration
covering articles acquired abroad by
officers and members of the crew, together with the unused crewmembers’
declarations prepared for such articles,
will be placed in a sealed envelope addressed to the appropriate Customs officer at the next port and given to the
master for delivery.
(c)(1) Upon the arrival of a vessel at
the next and each succeeding domestic
port with inward foreign cargo or passengers still on board, the master must
immediately report its arrival and
make entry within 48 hours. To make
such entry, he must deliver to the port
director the vessel’s document, the permit to proceed (Customs Form 1300 endorsed in accordance with paragraph
(b) of this section), the traveling manifest, and the traveling Crew’s Effects
Declaration (Customs Form 1304), together with the crewmembers’ declarations received on departure from the
previous port. The master must also
present an abstract manifest consisting
of a newly executed Vessel Entrance or
Clearance Statement, Customs Form
1300, a Cargo Declaration, Customs
Form 1302, and a Passenger List, Customs and Immigration Form I–418, in
such number of copies as may be required for local Customs purposes, of
any cargo or passengers on board manifested for discharge at that port, a
Crew’s Effects Declaration in duplicate
of all unentered articles acquired
abroad by officers and crewmembers
which are still on board, a Ship’s
Stores Declaration, Customs Form
1303, in duplicate of the sea or ship’s
stores remaining on board, and if applicable, the Cargo Declaration required
by § 4.86. If no inward foreign cargo or
passengers are to be discharged, the
Cargo Declaration or Passenger List
may be omitted from the abstract
manifest, and the following legend
must be placed in item 15 of the Vessel
Entrance or Clearance Statement:
llllllllllllllllllllllll
Port
Date
Certified to be a true copy of the original
inward foreign manifest.
————————————
Signature and title
(b)(1) Before a vessel proceeds from
one domestic port to another with
cargo or passengers on board as described in paragraph (a) of this section,
the master must present to the director of such port of departure an application in triplicate on Customs Form
1300 for a permit to proceed to the next
port. When a port director grants the
permit on Customs Form 1300, the following legend must be endorsed on the
form:
Port
Date
Permission is granted to proceed to the
port named in item 12.
llll
Signature and title
(2) The duplicate must be attached to
the traveling manifest and the triplicate (the permit to proceed to be delivered at the next port) must be returned to the master, together with
the traveling manifest and the vessel’s
document, if on deposit. If no inward
foreign cargo or passengers are to be
discharged at the next port, that fact
115 ‘‘* * * Any vessel arriving from a foreign
port or place having on board merchandise
shown by the manifest to be destined to a
port or ports in the United States other than
the port of entry at which such vessel first
arrived and made entry may proceed with
such merchandise from port to lading thereof.’’ (Tariff Act of 1930, sec. 442; 19 U.S.C.
1442)
116-118 [Reserved]
Vessel on an inward foreign voyage with
residue cargo/passengers for llll. No
cargo or passengers for discharge at this
port.
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§ 4.86
19 CFR Ch. I (4–1–12 Edition)
coast,’’ as the case may be. The traveling manifest shall be similarly noted.
Upon arrival of the vessel at the first
port on the next coast, the master,
owner, or agent must designate the
port or ports of discharge of residue
cargo as required by section 431, Tariff
Act of 1930.
(b) For this purpose, the master shall
furnish with the other papers required
upon entry a Cargo Declaration, Customs Form 1302 in original only of inward foreign cargo remaining on board
for discharge at optional ports on that
coast, and the Cargo Declaration, must
designate the specific ports of intended
discharge for that cargo. The traveling
manifest shall be amended to agree
with that Cargo Declaration so as to
show the newly designated ports of discharge on that coast and shall be used
to verify the abstract Cargo Declarations surrendered at subsequent ports
on that coast.
(2) The traveling manifest, together
with a copy of the newly executed Vessel Entrance or Clearance Statement,
will serve the purpose of a copy of an
abstract manifest at the port where it
is finally surrendered.
(d) If boarding is required before the
port director will issue a permit or special license to lade or unlade, the abstract manifest described in paragraph
(c) of this section shall be ready for
presentation to the boarding officer.
(e) The traveling manifest shall be
surrendered to the director of the final
domestic port of discharge of the cargo,
except that if residue foreign cargo remains on board for discharge at a foreign port or ports, the traveling manifest shall be surrendered at the final
port of departure from the United
States. However, it shall not be surrendered at the port from which the vessel
departs for another United States port,
via an intermediate foreign port, under
§ 4.89 if residue foreign cargo remains
on board for discharge at a subsequent
U.S. port. The traveling Crew’s Effects
Declaration shall be finally surrendered to the director of any port from
which the vessel will depart directly
for a foreign port.
[T.D. 77–255, 42 FR 56323, Oct 25, 1977]
§ 4.87 Vessels proceeding foreign via
domestic ports.
(a) Any foreign vessel or documented
vessel with a registry may proceed
from port to port in the United States
to lade cargo or passengers for foreign
ports.
(b) When applying for a clearance
from the first and each succeeding port
of lading, the master must present to
the port director a Vessel Entrance or
Clearance Statement, Customs Form
1300, in duplicate and a Cargo Declaration Outward With Commercial Forms,
Customs Form 1302–A, in accordance
with § 4.63(a), of all the cargo laden for
export at that port. The Vessel Entrance or Clearance Statement must
clearly indicate all previous ports of
lading.
(c) Upon compliance with the applicable provisions of § 4.61, the port director will grant the permit to proceed by
making the endorsement prescribed by
§ 4.85(b) on the Vessel Entrance or
Clearance Statement, Customs Form
1300. One copy will be returned to the
master, together with the vessel’s document if on deposit. The traveling
Crew’s Effects Declaration, Customs
Form 1304, together with any unused
crewmembers’ declarations, will be
placed in a sealed envelope addressed
[T.D. 71–169, 36 FR 12604, July 2, 1971, as
amended by T.D. 77–255, 42 FR 56323, Oct. 25,
1977; T.D. 83–214, 48 FR 46513, Oct. 13, 1983;
T.D. 84–213, 49 FR 41164, Oct. 19, 1984; T.D. 92–
74, 57 FR 35752, Aug. 11, 1992; T.D. 93–96, 58 FR
67317, Dec. 21, 1993; T.D. 94–24, 59 FR 13200,
Mar. 21, 1994; T.D. 00–22, 65 FR 16516, Mar. 29,
2000]
§ 4.86 Intercoastal residue—cargo procedure; optional ports.
(a) When a vessel arrives at an Atlantic or Pacific coast port from a foreign
port or ports with residue cargo for delivery at a port or ports on the opposite coast or on the Great Lakes, or
where such arrival is at a port on the
Great Lakes, with residue cargo for delivery at a port or ports on the Atlantic or Pacific coasts, or both, and the
master, owner, or agent is unable at
that time to designate the specific port
or ports of discharge of that residue
cargo, the Cargo Declaration, Customs
Form 1302, filed on entry in accordance
with § 4.7(b) shall show such cargo as
destined for ‘‘optional ports, Atlantic
coast,’’ or ‘‘optional ports, Pacific
coast,’’ or ‘‘optional ports, Great Lakes
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U.S. Customs and Border Protection, DHS; Treasury
to the appropriate Customs officer at
the next domestic port and returned to
the master.
(d) On arrival at the next and each
succeeding domestic port, the master
must immediately report arrival. He
must also make entry within 48 hours
by presenting the vessel’s document,
the permit to proceed on the Vessel Entrance or Clearance Statement, Customs Form 1300, received by him upon
departure from the last port, a Crew’s
Effects Declaration, Customs Form
1304, in duplicate listing all unentered
articles acquired aboard by officers and
crew of the vessel which are still retained on board, and a Ship’s Stores
Declaration, Customs Form 1303, in duplicate of the stores remaining aboard.
The master must also execute a Vessel
Entrance or Clearance Statement. The
traveling Crew’s Effects Declaration,
together with any unused crewmembers’ declarations returned to the
master at the prior port, will be delivered by him to the port director.
(e) Clearance shall be granted at the
final port of departure from the United
States in accordance with § 4.61.
(f) If a complete Cargo Declaration
Outward With Commercial Forms, Customs Form 1302–A (see § 4.63), and all
required shipper’s export declarations
are not available for filing before departure of a vessel from any port,
clearance on the Vessel Entrance or
Clearance Statement, Customs Form
1300, may be granted in accordance
with § 4.75, subject to the limitation
specified in § 4.75(c).
(g) When the procedure outlined in
paragraph (f) of this section is followed
at any port, the owner or agent of the
vessel must deliver to the director of
that port within 4 business days after
the vessel’s clearance a Cargo Declaration Outward With Commercial Forms,
Customs Form 1302–A (see § 4.63), and
the export declarations to cover the
cargo laden for export at that port.
§ 4.88
§ 4.88 Vessels with residue cargo for
foreign ports.
(a) Any foreign vessel or documented
vessel with a registry which arrives at
a port in the United States from a foreign port shall not be required to
unlade any merchandise manifested for
a foreign destination provided a bond
on Customs Form 301, containing the
bond conditions set forth in § 113.64 of
this chapter relating to international
carriers in a suitable amount is on file
with the director of the port of first
entry. 119
(b) The port director shall designate
the items of such merchandise, if any,
for which foreign landing certificates 120 will be required.
(c) If the vessel clears directly foreign from the first port of arrival,
cargo brought in from foreign ports
and retained on board may be declared
on the Cargo Declaration Outward
With Commercial Forms, Customs
Form 1302–A (see § 4.63), by the insertion of the following statement:
All cargo declared on entry in this port as
cargo for discharge at foreign ports and so
shown on the Cargo Declaration filed upon
entry has been and is retained on board.
If any such cargo has been landed, the
Cargo Declaration shall describe each
item of the cargo from a foreign port
which has been retained on board (see
§ 4.63(a).
(d) If the vessel is proceeding to other
ports in the United States with foreign
residue cargo on board manifested for
discharge at a foreign port or ports, a
119 ‘‘Any vessel having on board merchandise shown by the manifest to be destined to
a foreign port or place may, after the report
and entry of such vessel under the provisions
of this Act, proceed to such foreign port of
destination with the cargo so destined therefor, without unlading the same and without
the payment of duty thereon. * * *’’ (Tariff
Act of 1930, sec. 442; 19 U.S.C. 1442)
120 ‘‘The Secretary of the Treasury may by
regulations require the production of landing
certificates in respect of merchandise exported from the United States, or in respect
of residue cargo, in cases in which he deems
it necessary for the protection of the revenue.’’ (Tariff Act of 1930, sec. 622; 19 U.S.C.
1622)
[T.D. 77–255, 42 FR 56324, Oct. 25 1977, as
amended by T.D. 83–214, 48 FR 46513, Oct. 13,
1983; T.D. 84–193, 49 FR 35485, Sept. 10, 1984;
T.D. 92–74, 57 FR 35752, Aug. 11, 1992; T.D. 93–
96, 58 FR 67317, Dec. 21, 1993; T.D. 00–22, 65 FR
16517, Mar. 29, 2000; CBP Dec. 08-25, 73 FR
40725, July 16, 2008]
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§ 4.89
19 CFR Ch. I (4–1–12 Edition)
procedure like that set forth in § 4.85
shall be followed with respect thereto.
pose of engaging in two or more of the
following
transactions
simultaneously, 121 subject to the limitations
hereafter mentioned in this section and
the conditions stated in the sections
indicated in the list:
(1) Coastwise trade (§ 4.80).
(2) Touching at a foreign port while
in coastwise trade (§ 4.82).
(3) Trade with noncontiguous territory of the United States (§ 4.84).
(4) Carriage of residue cargo or passengers from foreign ports (§§ 4.85–4.86).
(5) Carriage of cargo or passengers
laden for foreign ports (§ 4.87).
(6) Carriage of residue cargo for foreign ports (§ 4.88).
(b) When a vessel is engaged simultaneously in two or more such transactions, the master shall indicate each
type of transaction in which the vessel
is engaged in his application for clearance on Customs Form 1300. The master shall conform simultaneously to all
requirements of these regulations with
respect to each transaction in which
the vessel is engaged.
(c) A foreign vessel is not authorized
by this section to engage in the coastwise trade, including trade with noncontiguous territory embraced within
the coastwise laws.
(d) A documented vessel may engage
in transactions (2), (4), (5), or (6) only if
the vessel’s document has a registry.
Such a vessel shall not engage in transactions (1) or (3) unless permitted by
the endorsement on its Certificate of
Documentation to do so.
(e) When a single entry bond, containing the bond conditions set forth in
§ 113.64, relating to international carriers, is filed at any port and it is applicable to the current voyage of the
vessel, it shall cover all other transactions engaged in on that voyage of a
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 77–255, 42 FR 56324, Oct. 25, 1977; T.D. 83–
214, 48 FR 46513, Oct. 13, 1983; T.D. 84–193, 49
FR 35485, Sept. 10, 1984; 49 FR 41164, Oct. 19,
1984; CBP Dec. 08-25, 73 FR 40725, July 16,
2008]
§ 4.89 Vessels in foreign trade proceeding via domestic ports and
touching at intermediate foreign
ports.
(a) A vessel proceeding from port to
port in the United States in accordance
with §§ 4.85, 4.86, or 4.87 may touch at
an intermediate foreign port or ports
to lade or discharge cargo or passengers. In such a case the vessel shall
obtain clearance from the last port of
departure in the United States before
proceeding to the intermediate foreign
port or ports at which it is intended to
touch. The Cargo Declaration Outward
With Commercial Forms, Customs
Form 1302–A (see § 4.63), shall show the
cargo for such foreign destination in
the manner provided in § 4.88(c).
(b) The master shall also present to
the port director the Cargo Declaration
or Cargo Declarations required by
§§ 4.85, 4.86, or 4.87, and obtain a permit
to proceed on the Vessel Entrance or
Clearance Statement, Customs Form
1300, to the next port in the United
States at which the vessel will touch.
(c) Upon arrival at the next port in
the United States after touching at a
foreign port or ports a report of arrival
and entry shall be made. The Cargo
Declaration, Customs Form 1302, filed
at time of entry shall list the cargo
laden at the intermediate foreign port
or ports.
(d) The master shall also present to
the port director the permit to proceed
on the Vessel Entrance or Clearance
Statement, Customs Form 1300, and
the Cargo Declaration from the last
previous port in the United States as
provided for in §§ 4.85, 4.86, or 4.87.
[T.D. 77–255, 42 FR 56324, Oct. 25, 1977, as
amended by T.D. 84–193, 49 FR 35485, Sept. 10,
1984; T.D. 00–22, 65 FR 16517, Mar. 29, 2000]
§ 4.90 Simultaneous
actions.
vessel
121 For the purposes of this part, an inward
foreign voyage is completed at the port of
final discharge of inbound passengers or
cargo, and an outward foreign voyage begins
at the port where cargo or passengers are
first laden for carriage to a foreign destination.
trans-
(a) A vessel may proceed from port to
port in the United States for the pur-
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U.S. Customs and Border Protection, DHS; Treasury
like nature and another bond containing the international carrier bond
conditions need not be filed.
the United States there were on board
cargo and/or passengers for the ports
named in the foreign clearance certificate only and that additional cargo or
passengers (have) (have not) been
taken on board or discharged since
such clearance was granted (specifying
the particulars if any passengers or
cargo were taken on board or discharged), (4) a Crew’s Effects Declaration in duplicate of all unentered articles acquired abroad by the officers and
crew of the vessel which are still retained on board, and (5) a Ship’s Stores
Declaration in duplicate of the stores
on board.
(c) In a case of necessity, a port director may grant an application on
Customs Form 3171 of the owner or
agent of an established line for permission to transship 123 all cargo and passengers from one vessel of the United
States to another such vessel under
Customs supervision, if the first vessel
is transporting residue cargo for domestic or foreign ports or is on an outward foreign voyage or a voyage to
noncontiguous territory of the United
States, and is following the procedure
prescribed in §§ 4.85, 4.87, or 4.88. When
inward foreign cargo or passengers are
so transshipped to another vessel, a
separate traveling manifest (Cargo
Declaration, Customs Form 1302, or
Passenger List, Customs and Immigration Form I–418) shall be used for the
transshipped cargo or passengers,
whether or not the forwarding vessel is
also carrying other residue cargo or
passengers. An appropriate cross-reference shall be made on the separate
traveling manifest to show whether
any other traveling manifest is being
carried forward on the same vessel.
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 71–169, 36 FR 12605, July 2, 1971; T.D. 83–
214, 48 FR 46513, Oct. 13, 1983; T.D. 84–213, 49
FR 41164, Oct. 19, 1984; T.D. 00–22, 65 FR 16517,
Mar. 29, 2000; CBP Dec. 08-25, 73 FR 40725,
July 16, 2008]
§ 4.91 Diversion
of
vessel;
transshipment of cargo.
(a) If any vessel granted a permit to
proceed from one port in the United
States for another such port as provided for in §§ 4.81(e), 4.85, 4.87, or 4.88,
is, while en route, diverted to a port in
the United States other than the one
specified in the permit to proceed (Customs Form 1300), 122 the owner or agent
of the vessel immediately shall give
notice of the diversion to the port director who granted the permit, informing him of the new destination of the
vessel and requesting him to notify the
director of the latter port. Such notification by the port director shall constitute an amendment of the permit
previously granted, shall authorize the
vessel to proceed to the new destination, and shall be filed by the director
of the latter port with the Form 1300
submitted on entry of the vessel.
(b) If any vessel cleared from a port
in the United States for a foreign port
as provided for in § 4.60 is diverted,
while en route, to a port in the United
States other than that from which it
was cleared, the owner or agent of the
vessel immediately shall give notice of
the diversion to the port director who
granted the clearance, informing him
of the new destination of the vessel and
requesting him to notify the director of
the latter port. Such notification by
the port director shall constitute a permit to proceed coastwise, and shall authorize the vessel to proceed to the new
destination. On arrival at the new destination, the master shall immediately
report arrival. He shall also make
entry within 48 hours by presenting (1)
the vessel’s document, (2) the foreign
clearance on Form 1300 granted by the
director of the port of departure, (3) a
certificate that when the vessel was
cleared from the last previous port in
[T.D. 71–169, 36 FR 12605, July 2, 1971, as
amended by T.D. 77–255, 42 FR 56324, Oct. 25,
1977; T.D. 93–96, 58 FR 67317, Dec. 21, 1993;
T.D. 00–22, 65 FR 16517, Mar. 29, 2000]
§ 4.92 Towing.
No vessel other than a vessel documented for the coastwise trade, or
which would be entitled to be so documented except for its tonnage (see
§ 4.80), may tow a vessel other than a
vessel in distress between points in the
123 See
122 See
§ 4.92
§ 4.31.
124 [Reserved]
§ 4.33.
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§ 4.93
19 CFR Ch. I (4–1–12 Edition)
(b)(1) The following nations have
been found to extend privileges reciprocal to those provided in paragraph (a)
of this section for empty cargo vans,
empty lift vans, and empty shipping
tanks to vessels of the United States:
U.S. embraced within the coastwise
laws, or for any part of such towing (46
U.S.C. App. 316(a)). The penalties for
violation of this provision are a fine of
from $350 to $1100 against the owner or
master of the towing vessel and a further penalty against the towing vessel
of $60 per ton of the towed vessel (46
U.S.C. App. 316(a), as adjusted by the
Federal Civil Penalties Inflation Adjustment Act of 1990).
Antigua and Barbuda
Australia
Austria
Bahamas, The
Bahrain
Belgium
Bermuda
Brazil
Canada
Chile
China*
Colombia
Cyprus
Denmark
Ecuador
Finland
France
Guatemala
Germany, Federal
Republic of
Greece
Iceland
[T.D. 93–12, 58 FR 13197, Mar. 10, 1993, as
amended by T.D. 03–11, 68 FR 13820, Mar. 21,
2003; CBP Dec. 08-25, 73 FR 40725, July 16,
2008]
§ 4.93 Coastwise transportation by certain vessels of empty vans, tanks,
and barges, equipment for use with
vans and tanks; empty instruments
of international traffic; stevedoring
equipment and material; procedures.
(a) Vessels of the United States prohibited from engaging in the coastwise
trade and vessels of nations found to
grant reciprocal privileges to vessels of
the United States may transport the
following articles between points embraced within the coastwise laws of the
United States:
(1) Empty cargo vans, empty lift
vans, and empty shipping tanks; equipment for use with cargo vans, lift vans,
or shipping tanks; empty barges specifically designed for carriage aboard a
vessel and equipment, excluding propulsion equipment, for use with such
barges; and empty instruments of
international traffic exempted from application of the Customs laws by the
Secretary of the Treasury pursuant to
the provisions of section 322(a), Tariff
Act of 1930 (19 U.S.C. 1322(a)), if such
articles are owned or leased by the
owner or operator of the transporting
vessel and are transported for his use
in handling his cargo in foreign trade.
(2) Stevedoring equipment and material, if such equipment and material is
owned or leased by the owner or operator of the transporting vessel, or is
owned or leased by the stevedoring
company contracting for the lading or
unlading of that vessel, and is transported without charge for use in the
handling of cargo in foreign trade. 125
125 ‘‘* * * Provided further, That upon such
terms and conditions as the Secretary of the
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India
Iran
Ireland
Israel
Italy
Ivory Coast
Japan
Kuwait
Liberia
Luxembourg
Malta
Marshall Islands,
Republic of the
Mexico
Netherlands
Netherlands Antilles
Norway
Pakistan
Philippines
Polish People’s
Republic
Portugal
Treasury by regulation may prescribe, and,
if the transporting vessel is of foreign registry, upon a finding by the Secretary of the
Treasury, pursuant to information obtained
and furnished by the Secretary of State, that
the government of the nation of registry extends reciprocal privileges to vessels of the
United States, this section shall not apply to
the transportation by vessels of the United
States not qualified to engage in the coastwise trade, or by vessels of foreign registry,
of (a) empty cargo vans, empty lift vans, and
empty shipping tanks, (b) equipment for use
with cargo vans, lift vans, or shipping tanks,
(c) empty barges specifically designed for
carriage aboard a vessel, and (d) any empty
instrument for international traffic exempted from application of the customs laws by
the Secretary of the Treasury pursuant to
the provisions of section 322(a), Tariff Act of
1930 (19 U.S.C. 1322(a)), if the articles described in clauses (a) through (d) are owned
or leased by the owner or operator of the
transporting vessel and are transported for
his use in handling his cargo in foreign
trade; and (e) stevedoring equipment and
material, if such equipment and material is
owned or leased by the owner or operator of
the transported vessel, or is owned or leased
by the stevedoring company contracting for
the lading or unlading of that vessel, and is
transported without charge for use in the
handling of cargo in foreign trade.’’ (46
U.S.C. 883).
126-130 [Reserved]
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U.S. Customs and Border Protection, DHS; Treasury
Republic of Korea
Republic of Panama
Republic of
Singapore
Republic of Zaire
St. Vincent and the
Grenadines
Saudi Arabia
South Africa
Spain
Sweden
Taiwan
*See also Taiwan
Union of Soviet
Socialist Republics
United Arab
Emirates
United Kingdom
(including The
Cayman Islands
and Hong Kong)
Vanuatu, Republic of
Yugoslavia, Socialist
Federal Republic of
ing his cargo in foreign trade; or (2)
that the stevedoring equipment and
material specified in paragraph (a)(2) of
this section is owned or leased by the
owner or operator of the transporting
vessel, or is owned or leased by the stevedoring company contracting for the
lading or unlading of that vessel, and is
transported without charge for his use
in handling his cargo in foreign trade.
If the director of the port of lading is
satisfied that there will be sufficient
control over the coastwise transportation of the article without identifying it by number or symbol or such
other identifying data on the Cargo
Declaration, he may permit the use of
a Cargo Declaration that does not include such information provided the
Cargo Declaration includes a statement, that the director of the port of
unlading will be presented with a statement at the time of entry of the vessel
that will list the identifying number or
symbol or other appropriate identifying data for the article to be unladen
at that port. Applicable penalties
under section 584, Tariff Act of 1930, as
amended (19 U.S.C. 1584), shall be assessed for violation of this paragraph.
(2) The following nations have been
found to extend similar reciprocal
privileges in respect to the other articles mentioned in paragraph (a) of this
section:
Antigua and Barbuda
Australia
Austria
Bahamas, The
Bahrain
Belgium
Bermuda
Brazil
Chile
Colombia
Denmark
Federal Republic of
Germany
Finland
France
Greece
Guatemala
Iceland
India
Ireland
Israel
Italy
Ivory Coast
Kuwait
Liberia
Luxembourg
Malta
§ 4.94
Mexico
Netherlands
Netherlands Antilles
Norway
Polish People’s
Republic
Portugal
Republic of Korea
Republic of Panama
Republic of
Singapore
Republic of Zaire
St. Vincent and the
Grenadines
South Africa
Spain
Sweden
Taiwan
Union of Soviet
Socialist Republics
United Arab
Emirates
United Kingdom
(including The
Cayman Islands
and Hong Kong)
Vanuatu, Republic of
[T.D. 68–302, 33 FR 18436, Dec. 12, 1968]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 4.93, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.
GENERAL
§ 4.94 Yacht privileges and obligations.
(a) Any documented vessel with a
pleasure license endorsement, as well
as any undocumented American pleasure vessel, shall be used exclusively for
pleasure and shall not transport merchandise nor carry passengers for pay.
Such a vessel which is not engaged in
any trade nor in any way violating the
Customs or navigation laws of the U.S.
may proceed from port to port in the
U.S. or to foreign ports without clearing and is not subject to entry upon its
arrival in a port of the U.S., provided it
has not visited a hovering vessel, received merchandise while in the customs waters beyond the territorial sea,
or received merchandise while on the
high seas. Such a vessel shall immediately report arrival to Customs when
(c) Any Cargo Declaration, Customs
Form 1302, required to be filed under
this part by any foreign vessel shall describe any article mentioned in paragraph (a) of this section laden aboard
and transported from one United
States port to another, giving its identifying number or symbol, if any, or
such other identifying data as may be
appropriate, the names of the shipper
and consignee, and the destination.
The Cargo Declaration shall also include a statement (1) that the articles
specified in paragraph (a)(1) of this section are owned or leased by the owner
or operator of the transporting vessel
and are transported for his use in hand-
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§ 4.94
19 CFR Ch. I (4–1–12 Edition)
arriving in any port or place within the
U.S., including the U.S. Virgin Islands,
from a foreign port or place.
(b) A cruising license may be issued
to a yacht of a foreign country only if
it has been made to appear to the satisfaction of the Secretary of the Treasury that yachts of the United States
are allowed to arrive at and depart
from ports in such foreign country and
to cruise in the waters of such ports
without entering or clearing at the
customhouse thereof and without the
payment of any charges for entering or
clearing, dues, duty per ton, tonnage,
taxes, or charges for cruising licenses.
It has been made to appear to the satisfaction of the Secretary of the Treasury that yachts of the United States
are granted such privileges in the following countries:
Argentina
Australia
Austria
Bahama Islands
Belgium
Bermuda
Canada
Denmark
Finland
France
Germany, Federal
Republic of
Greece
Honduras
Ireland
Italy
Jamaica
Liberia
Marshall Islands
part from the United States and to
cruise in specified waters of the United
States without entering and clearing,
without filing manifests and obtaining
or delivering permits to proceed, and
without the payment of entrance and
clearance fees, or fees for receiving
manifests and granting permits to proceed, duty on tonnage, tonnage tax, or
light money. The license shall be
granted subject to the condition that
the vessel shall not engage in trade or
violate the laws of the United States in
any respect. Upon the vessel’s arrival
at any port or place within the U.S. or
the U.S. Virgin Islands, the master
shall comply with 19 U.S.C. 1433 by immediately reporting arrival at the
nearest Customs facility or other place
designated by the port director. Individuals shall remain on board until directed otherwise by the appropriate
Customs officer, as provided in 19
U.S.C. 1459.
(d) Cruising licenses shall be in the
following form:
Netherlands
New Zealand
Norway
Saint Kitts and Nevis
Saint Vincent and
the Grenadines
Sweden
Switzerland
Turkey
United Kingdom and
the Dependencies:
the Anguilla
Islands, the Isle of
Man, the British
Virgin Islands, the
Cayman Islands,
and the Turks and
Caicos Islands
LICENSE TO CRUISE IN THE WATERS OF THE
UNITED STATES
To Port Directors:
For a period of llll from llll(Date)
the llll(Flag) llll (Rig) yacht
llll(Name) belonging to llllllll
of (Owner’s name) llllllll(Address)
shall be permitted to arrive at and depart
from the United States and to cruise in the
waters of the Customs port of
llllllllllllllllllllllll
(Name of port or ports)
without entering and clearing, without filing
manifests and obtaining or delivering permits to proceed, and without the payment of
entry and clearance fees, or fees for receiving manifests and granting permits to proceed, duty on tonnage, tonnage tax, or light
money.
This license is granted subject to the condition that the yacht named herein shall not
engage in trade or violate the laws of the
United States in any respect. Upon arrival at
each port or place in the United States, the
master shall report the fact of arrival to the
Customs officer at the nearest customhouse.
Such report shall be immediately made.
Issued this lllll day of lllllll,
19ll
llllllllllllllllllllllll
(Port Director of Customs)
(c) In order to obtain a cruising license for a yacht of any country listed
in paragraph (b) of this section, there
shall be filed with the port director an
application therefor executed by either
the yacht owner or the master which
shall set forth the owner’s name and
address and identify the vessel by flag,
rig, name, and such other matters as
are usually descriptive of a vessel. The
application shall also include a description of the waters in which the yacht
will cruise, and a statement of the
probable time it will remain in such
waters. Upon approval of the application, the port director will issue a
cruising license in the form prescribed
by paragraph (d) of this section permitting the yacht, for a stated period not
to exceed one year, to arrive and de-
WARNING: This vessel is dutiable:
(1) If owned by a resident of the United
States (including Puerto Rico), or brought
into the United States (including Puerto
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U.S. Customs and Border Protection, DHS; Treasury
Rico), for sale or charter to a resident thereof, or
(2) If brought into the United States (including Puerto Rico) by a nonresident free of
duty as part of personal effects and sold or
chartered within one year from date of
entry.
Any offer to sell or charter (for example, a
listing with yacht brokers or agents) is considered evidence that the vessel was brought
in for sale or charter to a resident or, if
made within one year of entry of a vessel
brought in free of duty as personal effects,
that the vessel no longer is for the personal
use of the non-resident.
If the vessel is sold or chartered, or offered
for sale or charter, in the circumstances described, without the owner first having filed
a consumption entry and having paid duty,
the vessel may be subject to seizure or to a
monetary claim equal to the value of the
vessel. See Chapter 89, Additional U.S. Note
1, HTSUS, and subheadings 8903.10, 8903.91,
8903.92, 8903.99.10, 8903.99.20, and 8903.99.90,
HTSUS.
§ 4.94a
entry bond containing the terms and
conditions set forth in appendix C of
part 113 of this chapter. The bond will
have a duration of 6 months after the
date of importation of the vessel, and
no extensions of the bond period will be
allowed;
(3) The filing of the certification and
the posting of the bond in accordance
with this section will permit Customs
to determine whether the vessel may
be released;
(4) All subsequent transactions with
Customs involving the vessel in question, including any transaction referred to in paragraphs (b) through (d)
of this section, must be carried out in
the same port of entry in which the
certification was filed and the bond
was posted under this section; and
(5) The vessel in question will not be
eligible for issuance of a cruising license under § 4.94 and must comply
with the laws respecting vessel entry
and clearance when moving between
ports of entry during the 6-month bond
period prescribed under this section.
(b) Exportation within 6-month period.
If a vessel for which entry completion
and duty payment are deferred under
paragraph (a) of this section is not sold
but is exported within the 6-month
bond period specified in paragraph
(a)(2) of this section, the importer of
record must inform Customs in writing
of that fact within 30 calendar days
after the date of exportation. The bond
posted with Customs will be returned
to the importer of record and no entry
completion and duty payment will be
required. The exported vessel will be
precluded from reentry under the
terms of paragraph (a) of this section
for a period of 3 months after the date
of exportation.
(c) Sale within 6-month period. If the
sale of a vessel for which entry completion and duty payment are deferred
under paragraph (a) of this section is
completed within the 6-month bond period specified in paragraph (a)(2) of this
section, the importer of record within
15 calendar days after completion of
the sale must complete the entry by
filing an Entry Summary (Customs
Form 7501) and must deposit the appropriate duty (calculated at the applicable rates provided for under subheading
(e) A foreign-flag yacht which is not
in possession of a cruising license shall
be required to comply with the laws applicable to foreign vessels arriving at,
departing from, and proceeding between ports of the United States.
[T.D. 69–266, 34 FR 20423, Dec. 31, 1969]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 4.94, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and at www.fdsys.gov.
§ 4.94a Large yachts imported for sale.
(a) General. An otherwise dutiable
vessel used primarily for recreation or
pleasure and exceeding 79 feet in length
that has been previously sold by a
manufacturer or dealer to a retail consumer and that is imported with the
intention to offer for sale at a boat
show in the United States may qualify
at the time of importation for a deferral of entry completion and deposit of
duty. The following requirements and
conditions will apply in connection
with a deferral of entry completion and
duty deposit under this section:
(1) The importer of record must certify to Customs in writing that the vessel is being imported pursuant to 19
U.S.C. 1484b for sale at a boat show in
the United States;
(2) The certification referred to in
paragraph (a)(1) of this section must be
accompanied by the posting of a single
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§ 4.95
19 CFR Ch. I (4–1–12 Edition)
8903.91.00 or 8903.92.00 of the Harmonized Tariff Schedule of the United
States and based upon the value of the
vessel at the time of importation).
Upon entry completion and deposit of
duty under this paragraph, the bond
posted with Customs will be returned
to the importer of record.
(d) Expiration of bond period. If the 6month bond period specified in paragraph (a)(2) of this section expires
without either the completed sale or
the exportation of a vessel for which
entry completion and duty payment
are deferred under paragraph (a) of this
section, the importer of record within
15 calendar days after expiration of
that 6-month period must complete the
entry by filing an Entry Summary
(Customs Form 7501) and must deposit
the appropriate duty (calculated at the
applicable rates provided for under subheading 8903.91.00 or 8903.92.00 of the
Harmonized Tariff Schedule of the
United States and based upon the value
of the vessel at the time of importation). Upon entry completion and deposit of duty under this paragraph, the
bond posted with Customs will be returned to the importer of record, and a
new bond on Customs Form 301, containing the bond conditions set forth in
§ 113.62 of this chapter, may be required
by the appropriate port director.
vided for by the Halibut Fishing Vessels Convention between the United
States and Canada signed at Ottawa,
Canada, on March 24, 1950 (T.D. 52862);
(2) The term ‘‘nonconvention fishing
vessel’’ means any vessel other than a
convention vessel which is employed in
whole or in part in fishing at the time
of its arrival in the United States and
(i) Which is documented under the
laws of a foreign county,
(ii) Which is undocumented, of 5 net
tons or over, and owned in whole or in
part by a person other than a citizen of
the United States, or
(iii) Which is undocumented, of less
than 5 net tons, and owned in whole or
in part by a person who is neither a citizen nor a resident of the United
States;
(3) The term ‘‘nonconvention cargo
vessel’’ means any vessel which is not
employed in fishing at the time of its
arrival in the United States, but which
is engaged in whole or in part in the
transportation of fish or fish products 131a and
(i) Which is documented under the
laws of a foreign country or
(ii) Which is undocumented and
owned by a person other than a citizen
of the United States;
(4) The term ‘‘treaty vessel’’ means a
Canadian fishing vessel which at the
time of its arrival in the United States
is engaged in the albacore tuna fishery
and which is therefore entitled to the
privileges provided for by the treaty
with Canada on Pacific Coast Albacore
Tuna Vessels and Port Privileges, entered into force at Ottawa, Canada, on
July 29, 1981 (T.D. 81–227); and
(5) The term ‘‘fishing’’ means the
planting, cultivation, or taking of fish,
shell fish, marine animals, pearls,
shells, or marine vegetation, or the
transportation of any of those marine
[68 FR 13625, Mar. 20, 2003]
§ 4.95 Records of entry and clearance
of vessels.
Permanent records shall be prepared
at each customhouse of all entries of
vessels on Customs Form 1400 and of all
clearances and permits to proceed on
Customs Form 1401. Whenever a vessel
is diverted, as provided for in § 4.91 (a)
or (b), Customs Form 1401 shall be
amended to show the new destination.
These records shall be open to public
inspection.
131a Except as otherwise provided by treaty
or convention to which the United States is
a party, no foreign-flag vessel shall, whether
documented as a cargo vessel or otherwise,
land in a port of the United States its catch
of fish taken on board such vessels on the
high seas or fish products processed therefrom, or any fish or fish products taken on
board such vessel on the high seas from a
vessel engaged in fishing operations or in the
processing of fish or fish products.’’ (46
U.S.C. 251)
132 [Reserved]
[T.D. 82–224, 47 FR 53727, Nov. 29, 1982]
§ 4.96 Fisheries.
(a) As used in this section:
(1) The term ‘‘convention vessel’’
means a Canadian fishing vessel which,
at the time of its arrival in the United
States, is engaged only in the North
Pacific halibut fishery and which is
therefore entitled to the privileges pro-
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U.S. Customs and Border Protection, DHS; Treasury
products to the United States by the
taking vessel or another vessel under
the complete control and management
of a common owner or bareboat
charterer.
(b) Except as otherwise provided by
treaty or convention to which the
United States is a party (see paragraphs (d) and (g) of this section), no
foreign-flag vessel shall, whether documented as a cargo vessel or otherwise,
land in a port of the United States its
catch of fish taken on board such vessel on the high seas or fish products
processed therefrom, or any fish or fish
products taken on board such vessel on
the high seas from a vessel engaged in
fishing operations or in the processing
of fish or fish products. (46 U.S.C. 251).
This prohibition applies regardless of
the intended ultimate disposition of
the fish or fish products (e.g., it applies
to transshipments from the foreign
vessel to another vessel in United
States territorial waters; it applies to
landing for transshipment in bond to
Canada or Mexico; it applies to landing
for exportation under bond; and it applies to landing in a Foreign Trade
Zone). However, the prohibition is limited to fish, or fish products processed
therefrom, taken on board the foreign
vessel on the high seas.
(c) A vessel of the United States to be
employed in the fisheries must have a
Certificate of Documentation endorsed
with a fishery license. ‘‘Fisheries’’ includes processing, storing, transporting
(except in foreign commerce), planting,
cultivating, catching, taking, or harvesting fish, shellfish, marine animals,
pearls, shells, or marine vegetation in
the navigable waters of the United
States or the exclusive economic zone.
(d) A convention vessel may come
into a port of entry on the Pacific
coast of the United States, including
Alaska, to land its catch of halibut and
incidentally-caught sable fish, or to secure supplies, equipment, or repairs.
Such a vessel may come into any other
port of entry or, if properly authorized
to do so under § 101.4(b) of this chapter,
into any place other than a port of
entry, for the purpose of securing supplies, equipment, or repairs only, but
shall not land its catch. A convention
vessel which comes into the United
States as provided for in this para-
§ 4.96
graph shall comply with the usual requirements applicable to foreign vessels arriving at and departing from
ports of the United States.
(e) A nonconvention fishing vessel,
other than a treaty vessel, may come
into a port of entry in the United
States or, if granted permission under
§ 101.4(b) of this chapter, into a place
other than a port of entry for the purpose of securing supplies, equipment,
or repairs, but shall not land its catch.
A nonconvention fishing vessel which
comes into the United States as provided for in this paragraph shall comply with the usual requirements applicable to foreign vessels arriving at and
departing from ports of the United
States.
(f) A nonconvention cargo vessel, although not prohibited by law from
coming into the United States, shall
not be permitted to land in the United
States its catch of fish taken on the
high seas or any fish or fish products
taken on board on the high seas from a
vessel employed in fishing or in the
processing of fish or fish products, but
may land fish taken on board at any
place other than the high seas upon
compliance with the usual requirements. Before any such fish may be
landed the master shall satisfy the port
director that the fish were not taken
on board on the high seas by presenting
declarations of the master and two or
more officers or members of the crew
of the vessel, of whom the person next
in authority to the master shall be one,
or other evidence acceptable to the
port director which establishes the
place of lading to his satisfaction.
(g) A treaty vessel may come into a
port or place of the United States
named in Annex B of the Treaty with
Canada on Pacific Coast Albacore Tuna
Vessels and Port Privileges to land its
catch of albacore tuna, or to secure
fuel, supplies, equipment and repairs.
Such a vessel may come into any other
port of entry or, if properly authorized
to do so under § 101.4(b) of this chapter,
into any place other than a port of
entry, for the purpose of securing supplies, equipment, or repairs only, but
shall not land its catch. A treaty vessel
which comes into the United States as
provided for in this paragraph shall
comply with the usual requirements
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§ 4.97
19 CFR Ch. I (4–1–12 Edition)
(b) Upon receipt of such an application, the Commissioner of Customs will
cause an investigation to be made immediately to determine whether a suitable vessel of the United States or a
suitable numbered motorboat owned by
a citizen is available for the operation.
If he finds that no such vessel is available and that the facts otherwise warrant favorable action, he will grant the
application.
(c) If the application is granted, the
applicant shall make a full report of
the operation as soon as possible to the
director of the port nearest the place
where the operation was conducted.
(d) A Canadian vessel may engage in
salvage operations on any vessel in any
territorial waters of the United States
in which Canadian vessels are permitted to conduct such operations by
article II of the treaty between the
United States and Great Britain signed
on May 18, 1908, 134 or by section 725,
applicable to foreign vessels arriving at
and departing from ports of the United
States.
(h) A convention vessel, a nonconvention fishing vessel, a nonconvention
cargo vessel, or a treaty vessel, which
arrives in the United States in distress
shall be subject to the usual requirements applicable to foreign vessels arriving in distress. While in the United
States, supplies, equipment, or repairs
may be secured, but, except as specified in the next sentence, fish shall not
be landed unless the vessel’s master, or
other authorized representative of the
owner, shows to the satisfaction of the
port director that it will not be possible, by the exercise of due diligence,
for the vessel to transport its catch to
a foreign port without spoilage, in
which event the port director may
allow the vessel upon compliance with
all applicable requirements, to land,
transship, or otherwise dispose of its
catch. Nothing herein shall prevent,
upon compliance with normal Customs
procedures, a convention vessel arriving in distress from landing its catch of
halibut and incidentally-caught sable
fish at a port of entry on the Pacific
coast, including Alaska; a foreign
cargo vessel arriving in distress from
landing its cargo of fish taken on board
at any place not on the high seas; or a
treaty vessel arriving in distress from
landing its catch of albacore tuna at a
port of entry on the Pacific coast, including Alaska.
United States, in any portion of the Great
Lakes or their connecting or tributary waters, including any portion of the Saint Lawrence River through which the international
boundary line extends, or in territorial waters of the United States on the Gulf of Mexico, except when authorized by a treaty or in
accordance with the provisions of section 725
of this title: Provided, however, That if, on investigation, the Secretary of the Treasury is
satisfied that no suitable vessel wholly
owned by a person who is a citizen of the
United States and documented under the
laws of the United States or numbered pursuant to section 288 of this title, is available
in any particular locality he may authorize
the use of a foreign vessel or vessels in salvaging operations in that locality and no
penalty shall be incurred for such authorized
use.’’ (46 U.S.C. 316(d))
‘‘Nothing in this section shall be held or
construed to prohibit or restrict any assistance to vessels or salvage operations authorized by Article II of the treaty between the
United States and Great Britain ‘concerning
reciprocal rights for United States and Canada in the conveyance of prisoners and
wrecking and salvage’ signed at Washington,
May 18, 1908 (35 Stat. 2036), or by the treaty
between the United States and Mexico ‘to facilitate assistance to and salvage of vessels
in territorial waters,’ signed at Mexico City,
June 13, 1935 (49 Stat. 3359).’’ (46 U.S.C. 316(e))
134 ‘‘The High Contracting Parties agree
that vessels and wrecking appliances, either
from the United States or from the Dominion of Canada, may salve any property
wrecked and may render aid and assistance
[T.D. 82–144, 47 FR 35182, Aug. 13, 1982, as
amended by T.D. 83–214, 48 FR 46513, Oct. 13,
1983; T.D. 83–214, 48 FR 50075, Oct. 31, 1983;
T.D. 93–12, 58 FR 13197, Mar. 10, 1993]
§ 4.97 Salvage vessels.
(a) Only a vessel of the United
States, a numbered motorboat owned
by a citizen, or a vessel operating within the purview of paragraph (d) or (e) of
this section, shall engage in any salvage operation in territorial waters of
the United States unless an application
addressed to the Commissioner of Customs to use another specified vessel in
a completely described operation has
been granted. 133
133 ‘‘No foreign vessel shall, under penalty
of forfeiture, engage in salvaging operations
on the Atlantic or Pacific coast of the
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U.S. Customs and Border Protection, DHS; Treasury
title 46, United States Code. 135 If any
such vessel engages in a salvage operation in territorial waters of the
United States, the owner or master of
the vessel shall make a full report of
the operation as soon as possible to the
director of the port nearest the place
where the operation was conducted.
(e) A Mexican vessel may engage in a
salvage operation on a Mexican vessel
in any territorial waters of the United
States in which Mexican vessels are
permitted to conduct such operations
by the treaty between the United
States and Mexico signed on June 13,
1935. 136
§ 4.98
§ 4.98
Navigation fees.
(a)(1) The Customs Service shall publish a General Notice in the FEDERAL
REGISTER and Customs Bulletin periodically, setting forth a revised schedule of navigation fees for the following
services:
Fee No. and description of services
1
2
[28 FR 14596, Dec. 31, 1963, as amended by
T.D. 69–266, 34 FR 20423, Dec. 31, 1969]
3
to any vessels wrecked, disabled or in distress in the waters or on the shores of the
other country in that portion of the St. Lawrence River through which the International
Boundary line extends, and, in Lake Ontario,
Lake Erie, Lake St. Clair, Lake Huron, and
Lake Superior, and in the Rivers Niagara,
Detroit, St. Clair, and Ste. Marie, and the
Canals at Sault Ste. Marie, and on the shores
and in the waters of the other country along
the Atlantic and Pacific Coasts within a distance of thirty miles from the International
Boundary on such Coasts.
‘‘It is further agreed that such reciprocal
wrecking and salvage privileges shall include
all necessary towing incident thereto, and
that nothing in the Customs, Coasting or
other laws or regulations of either country
shall restrict in any manner the salving operations of such vessels or wrecking appliances.
‘‘Vessels from either country employed in
salving in the waters of the other shall, as
soon as practicable afterwards, make full report at the nearest custom house of the
country in whose waters such salving takes
place.’’ (35 Stat. 2036)
135 ‘‘Canadian vessels and wrecking appurtenance may render aid and assistance to Canadian or other vessels and property
wrecked, disabled, or in distress in the waters of the United States contiguous to the
Dominion of Canada.
‘‘This section shall be construed to apply
to the canal and improvement of the waters
between Lake Erie and Lake Huron, and to
the waters of the Saint Mary’s River and
Canal: * * *.’’ (46 U.S.C. 725)
The waters of Lake Michigan are not contiguous to the Dominion of Canada within
the meaning of this statute.
136 ‘‘The High Contracting Parties agree
that vessels and rescue apparatus, public or
private, of either country, may aid or assist
vessels of their own nationality, including
4
5
6
7
8
Entry of vessel, including American, from
foreign port:
(a) Less than 100 net tons.
(b) 100 net tons and over.
Clearance of vessel, including American,
to foreign port:
(a) Less than 100 net tons.
(b) 100 net tons or over.
Issuing permit to foreign vessel to proceed
from port to port, and receiving manifest.
Receiving manifest of foreign vessel on
arrival from another port, and granting a
permit to unlade.
Receiving post entry.
[Reserved]
Certifying payment of tonnage tax for foreign vessels only.
Furnishing copy of official document, including certified outward foreign manifest, and others not elsewhere enumerated.
The published revised fee schedule
shall remain in effect until changed.
(2) The fees shall be calculated in accordance with § 24.17(d) Customs Regulations (19 CFR 24.17(d)), and be based
upon the amount of time the average
service requires of a Customs officer in
the fifth step of GS–9.
(3) The party requesting a vessel
service described in paragraph (a)(1) of
this section for which reimbursable
overtime compensation is payable
under 19 U.S.C. 267 or 19 U.S.C. 1451 and
§ 24.16 of this chapter shall pay only the
applicable overtime charge, and not
both the overtime charge and the fee
specified in the fee schedule.
the passengers and crews thereof, which may
be disabled or in distress on the shores or
within the territorial waters of the other
country within a radius of seven hundred and
twenty nautical miles of the intersection of
the International Boundary Line and the
coast of the Pacific Ocean, or within a radius
of two hundred nautical miles of the intersection of the International Boundary Line
and the coast of the Gulf of Mexico.’’ (49
Stat. 3360)
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§ 4.99
19 CFR Ch. I (4–1–12 Edition)
(4) The revised fee schedule shall be
made available to the public in Customs offices.
(5) The respective fees shall be designated in correspondence and reports
by the applicable fee number.
(b) Fee 1 shall be collected at the
first port of entry only. It shall not be
collected from a vessel entering directly from a port in noncontiguous
territory of the United States nor from
one entering at a port on a northern,
northeastern, or northwestern frontier
otherwise than by sea.
(c) Fee 2 shall be collected at the
final port of departure from the United
States. It shall be collected from a
yacht or public vessel which obtains a
clearance, but shall not be collected
from a vessel clearing directly for a
port in noncontiguous territory of the
United States nor from one clearing
from a port on the northern, northeastern, or northwestern frontier otherwise than by sea. It shall be collected
only upon the first clearance each year
of a vessel making regular daily trips
between a port of the United States
and a port in Canada wholly upon interior waters not navigable to the ocean.
(d) Fee 3 shall be collected for granting a permit to a foreign vessel to proceed to another Customs port. It shall
be collected from a foreign vessel clearing directly for a port in noncontiguous territory of the United States
outside its Customs territory. This fee
shall not be collected in the case of a
foreign vessel proceeding on a voyage
by sea from one port in the United
States to another port via a foreign
port. Only one fee shall be collected in
case of simultaneous vessel transactions.
(e) Fee 4 shall be collected for receiving the manifest of a foreign vessel arriving from another Customs port. It
shall be collected from a foreign vessel
entering directly from a port in noncontiguous territory of the United
States outside its Customs territory.
This fee shall not be collected in the
case of a foreign vessel which arrives at
one port in the United States from another port on a voyage by sea via a foreign port. Only one fee shall be collected in the case of simultaneous vessel transactions.
(e–1) Fee 5 shall be collected from a
foreign or American vessel at each port
where the vessel is required to file a
post entry in accordance with the provisions of § 4.12(a)(3). An original post
entry may be supplemented by additional post entries in instances where
items were omitted from the original
post entry. A separate fee shall be collected for each supplemental post entry
made to the original post entry.
(f) [Reserved]
(g) Fee 7 shall be collected from foreign vessels only.
(h) Fee 8 shall be collected for each
copy of any official document, whether
certified or not, furnished to any person other than a Government officer.
(i) Private and commercial vessels,
and passengers aboard commercial vessels, may be subject to the payment of
fees for services provided in connection
with their arrival as set forth in § 24.22
of this chapter.
(j) The loading or unloading of merchandise or passengers from a commercial vessel at a U.S. port may cause the
harbor maintenance fee set forth in
§ 24.24 of this chapter to be assessed.
[T.D. 69–266, 34 FR 20423, Dec. 31, 1969, as
amended by T.D. 74–194, 39 FR 26153, July 17,
1974; T.D. 80–25, 45 FR 3572, Jan. 18, 1980; T.D.
82–224, 47 FR 53727, Nov. 29, 1982; T.D. 84–149,
49 FR 28698, July 16, 1984; T.D. 86–109, 51 FR
21155, June 11, 1986; T.D. 87–44, 52 FR 10211,
Mar. 30, 1987; T.D. 93–85, 58 FR 54282, Oct. 21,
1993]
§ 4.99
Forms; substitution.
(a) Customs Forms 1300, 1302, 1302–A,
1303, and 1304 printed by private parties
or foreign governments shall be accepted provided the forms so printed:
(1) Conform to the official Customs
forms in wording arrangement, style,
size of type, and paper specifications;
(2) Conform to the official Customs
forms in size, except that:
(i) Each form may be printed on metric A4 size paper, 210 by 297 millimeters
(approximately 81⁄4 by 112⁄3 inches).
(ii) The vertical format of Customs
Forms 1300, 1302–A, 1303, and 1304 may
be increased in size up to a maximum
of 14 inches.
(iii) Customs Form 1302 may be reduced in size to not less than either 81⁄2
by 11 inches or 210 by 297 millimeters
(metric A4 size). If Customs Form 1302
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U.S. Customs and Border Protection, DHS; Treasury
is reduced in size, the size of type used
may be reduced proportionately.
(b) If instructions are printed on the
reverse side of the official Customs
form, the instructions may be omitted
from the privately printed forms, but
the instructions shall be followed.
(c) The port director, in his discretion, may accept a computer printout
instead of Customs Form 1302 for use at
a specific port. However, to ensure that
computer printouts may be used at all
ports, the private party or foreign government first must obtain specific approval from Headquarters, U.S. Customs Service.
(d) Forms which do not comply with
the requirements of this section are
not acceptable without the specific approval of the Commissioner of Customs.
Pt. 7
therein any special conditions he believes to be necessary or desirable, and
deliver it to the licensee.
(d) The master or owner shall keep
the license on board the vessel at all
times and exhibit it upon demand of
any duly authorized officer of the
United States. This license is personal
to the licensee and is not transferable.
(e) The Secretary of the Treasury or
the port director at whose office the license was issued may revoke the license if any of its terms have been willfully or intentionally violated or for
any other cause which may be considered prejudicial to the revenue or otherwise against the interest of the
United States.
[T.D. 72–211, 37 FR 16486, Aug. 15, 1972]
§ 4.101 Prohibitions against Customs
officers and employees.
[T.D. 79–255, 44 FR 57088, Oct. 4, 1979; T.D. 00–
22, 65 FR 16517, Mar. 29, 2000]
No Customs officer or employee
shall:
(a) Own, in whole or in part, any vessel except a yacht or other pleasure
boat;
(b) Act as agent, attorney, or consignee for the owner or owners of any
vessel, or of any cargo or lading on
board the vessel; or
(c) Import or be concerned directly or
indirectly in the importation of any
merchandise for sale into the United
States
§ 4.100 Licensing of vessels of less than
30 net tons.
(a) The application for a license to
import merchandise in a vessel of less
than 30 net tons in accordance with
section 6, Anti-Smuggling Act of August 5, 1935, shall be addressed to the
Secretary of the Treasury and delivered to the directors of the ports where
foreign merchandise is to be imported
in such vessel.
(b) The application shall contain the
following information:
(1) Name of the vessel, rig, motive
power, and home port.
(2) Name and address of the owner.
(3) Name and address of the master.
(4) Net tonnage of the vessel.
(5) Kind of merchandise to be imported.
(6) Country or countries of exportation.
(7) Ports of the United States where
the merchandise will be imported.
(8) Whether the vessel will be used to
transport and import merchandise
from a hovering vessel.
(9) Kind of document under which the
vessel is operating.
(c) If the port director finds that the
applicant is a reputable person and
that the revenue would not be jeopardized by the issuance of a license, he
may issue the license for a period not
to exceed 12 months, incorporating
[T.D. 78–394, 43 FR 49787, Oct. 25, 1978]
PART
7—CUSTOMS
RELATIONS
WITH INSULAR POSSESSIONS AND
GUANTANAMO BAY NAVAL STATION
Sec.
7.1 Puerto Rico; spirits and wines withdrawn from warehouse for shipment to;
duty on foreign-grown coffee.
7.2 Insular possessions of the United States
other than Puerto Rico.
7.3 Duty-free treatment of goods imported
from insular possessions of the United
States other than Puerto Rico.
7.4 Watches and watch movements from
U.S. insular possessions.
7.11 Guantanamo Bay Naval Station.
AUTHORITY: 19 U.S.C. 66, 1202 (General Note
3(i), Harmonized Tariff Schedule of the
United States), 1623, 1624; 48 U.S.C. 1406i.
79
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