Automation of CBP Form I-418 for Vessels, 73618-73631 [2021-27571]
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(D.C. Cir. 2015) (explaining that the
good cause exception applied because
‘‘commentators could not have said
anything during a notice and comment
period that would have changed’’ the
agency’s response to a judicial
decision). The Departments notified the
public in March that ‘‘if the injunction
remains in effect on December 31,
[2021,] the Departments may delay the
effective date of the Security Bars rule
further.’’ 86 FR at 15071.19
D. Unfunded Mandates Reform Act of
1995
This rule will not result in the
expenditure by state, local, and tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
in any one year, and it will not
significantly or uniquely affect small
governments. Therefore, no actions are
deemed necessary under the provisions
of the Unfunded Mandates Reform Act
of 1995.
B. Executive Order 12866 and Executive
Order 13563
E. Congressional Review Act
This rule is not a major rule as
defined by section 804 of the
Congressional Review Act (‘‘CRA’’). 5
U.S.C. 804. This rule will not result in
an annual effect on the economy of $100
million or more; a major increase in
costs or prices; or significant adverse
effects on competition, employment,
investment, productivity, innovation, or
on the ability of United States-based
enterprises to compete with foreign
based enterprises in domestic and
export markets. The Departments have
complied with the CRA’s reporting
requirements and have sent this rule to
Congress and to the Comptroller General
as required by 5 U.S.C. 801(a)(1).
Executive Orders 12866 (Regulatory
Planning and Review) and 13563
(Improving Regulation and Regulatory
Review) direct agencies to assess the
costs, benefits, and transfers of available
alternatives, and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits,
including potential economic,
environmental, public health and safety
effects, distributive impacts, and equity.
Executive Order 13563 emphasizes the
importance of quantifying both costs
and benefits, reducing costs,
harmonizing rules, and promoting
flexibility. Pursuant to Executive Order
12866, the Office of Information and
Regulatory Affairs of the Office of
Management and Budget determined
that this rule is ‘‘significant’’ under
Executive Order 12866 and has
reviewed this regulation.
C. Regulatory Flexibility Act
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The Departments have reviewed this
rule in accordance with the Regulatory
Flexibility Act, 5 U.S.C. 601 et seq., and
have determined that this rule to further
delay the effective date of the Security
Bars rule (85 FR 84160) will not have a
significant economic impact on a
substantial number of small entities.
Neither the Security Bars rule, nor this
rule to delay its effective date, regulate
‘‘small entities’’ as that term is defined
in 5 U.S.C. 601(6). Only individuals,
rather than entities, are eligible to apply
for asylum and related forms of relief,
and only individuals are placed in
immigration proceedings.
19 In response to the March Security Bars Delay
IFR, the Departments received one comment
objecting to a further delay. The commenter
asserted that implementation was needed to
mitigate the risk of the potential spread of deadly
communicable diseases by noncitizens from
countries where the disease was prevalent. As
noted, however, agencies have been enjoined from
applying bars to asylum eligibility and withholding
of removal when making a credible fear
determination.
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F. Executive Order 13132 (Federalism)
This rule will not have substantial
direct effects on the States, on the
relationship between the National
Government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. Therefore, in
accordance with section 6 of Executive
Order 13132, the Departments believe
that this rule will not have sufficient
federalism implications to warrant the
preparation of a federalism summary
impact statement.
G. Executive Order 12988 (Civil Justice
Reform)
This rule meets the applicable
standards set forth in section 3(a) and
3(b)(2) of Executive Order 12988.
H. Paperwork Reduction Act
This rule does not create new, or
revisions to existing, ‘‘collection[s] of
information’’ as that term is defined
under the Paperwork Reduction Act of
1995, Public Law 104–13, 44 U.S.C.
chapter 35, and its implementing
regulations, 5 CFR part 1320.
I. Executive Order 13175 (Consultation
and Coordination With Indian Tribal
Governments)
This rule does not have ‘‘tribal
implications’’ because it does not have
substantial direct effects on one or more
Indian tribes, on the relationship
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between the Federal Government and
Indian tribes, or on the distribution of
power and responsibilities between the
Federal Government and Indian tribes.
Accordingly, Executive Order 13175
(Consultation and Coordination with
Indian Tribal Governments) requires no
further agency action or analysis.
Alejandro N. Mayorkas,
Secretary, U.S. Department of Homeland
Security.
Dated: December 18, 2021.
Merrick B. Garland,
Attorney General, Department of Justice.
[FR Doc. 2021–28016 Filed 12–27–21; 8:45 am]
BILLING CODE 4410–30–P; 9111–97–P
DEPARTMENT OF HOMELAND
SECURITY
8 CFR Parts 251 and 258
U.S. Customs and Border Protection
19 CFR Part 4
[Docket No. USCBP–2021–0046; CBP Dec.
No. 21–19]
RIN 1651–AB18
Automation of CBP Form I–418 for
Vessels
U.S. Customs and Border
Protection, DHS.
ACTION: Interim final rule; solicitation of
comments.
AGENCY:
This rule amends the
regulations in title 8 and title 19 of the
Code of Federal Regulations (CFR)
regarding the submission of U.S.
Customs and Border Protection (CBP)
Form I–418, Passenger List—Crew List
(Form I–418) in paper form. Currently,
the master or agent of every commercial
vessel arriving in the United States,
with limited exceptions, must submit
Form I–418, along with certain
information regarding longshore work,
in paper form to CBP at the port where
immigration inspection is performed.
Most commercial vessel operators are
also required to submit a paper Form I–
418 to CBP at the final U.S. port prior
to departing for a foreign place. DHS is
modifying the applicable regulations to
provide for the electronic submission of
Form I–418. Under this rule, vessel
operators will be required to
electronically submit the data elements
on Form I–418 to CBP through an
electronic data interchange system (EDI)
approved by CBP in lieu of submitting
a paper form. This will streamline
vessel arrival and departure processes
by providing for the electronic
submission of the information collected
SUMMARY:
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on the Form I–418, eliminating
redundant data submissions,
simplifying vessel inspections, and
automating recordkeeping.
DATES:
Effective date: This rule is effective
February 28, 2022.
Comments due date: Comments must
be received on or before February 28,
2022.
ADDRESSES: You may submit comments,
identified by docket number, by the
following method:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments
via docket number USCBP–2021–0046.
Due to COVID–19-related restrictions,
CBP has temporarily suspended its
ability to receive public comments by
mail.
Instructions: All submissions received
must include the agency name and
docket number for this rulemaking. All
comments received will be posted
without change to https://
www.regulations.gov, including any
personal information provided. For
detailed instructions on submitting
comments and additional information
on the rulemaking process, see the
‘‘Public Participation’’ heading of the
SUPPLEMENTARY INFORMATION section of
this document.
Docket: For access to the docket to
read background documents or
comments received, go to https://
www.regulations.gov. Due to relevant
COVID–19-related restrictions, CBP has
temporarily suspended on-site public
inspection of submitted comments.
FOR FURTHER INFORMATION CONTACT: For
title 8 of the Code of Federal
Regulations inquiries, contact Stephen
Dearborn, Enforcement Programs
Division, Admissibility and Passenger
Programs, Office of Field Operations,
Stephen.M.Dearborn@cbp.dhs.gov or
(202) 344–1707; for title 19 of the Code
of Federal Regulations inquiries, contact
Brian Sale, Manifest and Security
Division, Cargo and Conveyance
Security, Office of Field Operations,
Brian.A.Sale@cbp.dhs.gov or (202) 325–
3338.
SUPPLEMENTARY INFORMATION:
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Table of Contents
I. Public Participation
II. Background
A. Overview
B. Current Commercial Vessel Arrival and
Departure Processing
C. Form I–418 Automation Test Program
D. Form I–418 Automation Regulations
E. Discussion of Regulatory Changes
1. 8 CFR part 251
2. 8 CFR part 258
3. 19 CFR part 4
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III. Statutory and Regulatory Requirements
A. Administrative Procedure Act
B. Executive Order 13563 (Improving
Regulation and Regulatory Review) and
Executive Order 12866 (Regulatory
Planning and Review)
C. Regulatory Flexibility Act
D. Unfunded Mandates Reform Act of 1995
E. Executive Order 13132
F. Executive Order 12988 Civil Justice
Reform
G. Paperwork Reduction Act
H. Privacy Interests
List of Subjects
Amendments to the Regulations
I. Public Participation
Interested persons are invited to
participate in this rulemaking by
submitting written data, views, or
arguments on all aspects of this interim
final rule. The Department of Homeland
Security (DHS) and U.S. Customs and
Border Protection (CBP) invite
comments that relate to the economic,
environmental, or federalism effects that
might result from this interim final rule.
Comments that will provide the most
assistance to CBP will reference a
specific portion of the interim final rule,
explain the reason for any
recommended change, and include data,
information, or authority that support
such recommended change.
II. Background
A. Overview
As discussed in detail below, current
regulations require commercial vessels
and their operators 1 to meet several
data submission requirements when
arriving in the United States from a
foreign place or outlying possession of
the United States and when departing
the United States for a foreign place or
outlying possession of the United States.
Both CBP and the U.S. Coast Guard
(USCG) collect information in these
contexts, and many of the data elements
that the two agencies collect overlap.
Some of this data must be submitted
electronically, while some of it must be
submitted on paper, such as the Form I–
418, Passenger List—Crew List. See
section 251.5 of title 8 of the Code of
Federal Regulations (8 CFR 251.5).
Through this rule, CBP is streamlining
the vessel arrival and departure
processes by eliminating redundant data
submissions, providing for the
electronic submission of the information
collected on the Form I–418,
simplifying vessel inspections, and
automating recordkeeping for the Form
I–418.
1 For the purposes of this document, vessel
‘‘operators’’ include masters or commanding
officers, or authorized agents, owners, or
consignees.
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The USCG requires commercial vessel
operators to submit a Notice of Arrival
(NOA) to the National Vessel Movement
Center (NVMC) 2 through its electronic
Notice of Arrival/Departure (eNOA/D)
system or via email in advance of U.S.
arrival.3 See 33 CFR 160.201–216. In
addition to other data elements, each
NOA must include information on the
crew and passengers on board the
vessel. See 33 CFR 160.206(a). Upon
satisfactory submission, USCG
processes the information via the
eNOA/D web portal and then the system
automatically transmits it to CBP as an
Advance Passenger Information System
(APIS) manifest. An APIS manifest is a
CBP pre-arrival requirement. See 8 CFR
231.1(a) and 19 CFR 4.7b.
In addition to the APIS manifest data,
which must be submitted electronically
to CBP prior to arrival, DHS regulations
require the master or agent of every
vessel arriving in the United States from
a foreign place or outlying possession of
the United States, with the exception of
certain vessels in the Great Lakes, to
present a manifest of all crewmen
onboard, on a Form I–418, to CBP at the
port of entry where immigration
inspection is performed.4 5 See 8 CFR
251.1(a)(1). Manifest information
collected on the Form I–418 includes
details about the passengers and
crewmen on board the vessel and
whether any of the crewmen will be
performing longshore work at any U.S.
port before the vessel departs from the
United States. See 8 CFR 251.1. If
longshore work is to be performed,
Form I–418 requires the vessel operator
to note which exception of the
Immigration and Nationality Act
permits the work. See 8 CFR
251.1(a)(2)(ii) and 258.2.
If manifest information changes after
the initial submission, the vessel
operator must update the APIS manifest
electronically through the eNOA/D
system. See 19 CFR 4.7b(b)(2)(ii).
Additionally, a CBP officer at the
coastwise port generally updates the
vessel’s original paper Form I–418 to
reflect any changes.
2 The NVMC was established by USCG in 2001 to
operate as a single clearinghouse for the submission
and processing of notice of arrival and departure
information for vessels entering and departing U.S.
ports and facilities.
3 When a vessel operator is in an area without
internet access or experiences technical difficulties,
and he or she has no shore-side support available,
the vessel operator may fax or phone the
submission to the NVMC. See 33 CFR 160.210(a).
4 For more information on the exemptions for
certain Great Lakes vessels, see 8 CFR 251.1(a)(3).
5 Due to the high volume of crew and passengers
on cruise ships, cruise ship operators generally
submit the two signature pages of the Form I–418
on paper along with a compact disc containing their
passenger and crew manifest details.
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Upon departure from the United
States, USCG collects updated manifest
information from commercial vessel
operators via a Notice of Departure
(NOD) submitted to the NVMC through
eNOA/D or another electronic format.
See 33 CFR 160.201–216. Also at the
time of departure, CBP requires vessel
operators to update their original paper
Form I–418 submission to include a list
of departing crew, crew changes, and
trip departure details.6 See 8 CFR 251.3.
A CBP officer at the port of departure
typically verifies any changes to the
Form I–418 information and sends the
updated form to the vessel’s first port of
arrival for final data reconciliation and
recordkeeping purposes.
Despite similarities in the vessel
arrival and departure data submitted in
accordance with the Form I–418, APIS,
and USCG requirements, data
transmitted electronically, such as
through eNOA/D, does not satisfy the
current Form I–418 regulatory
requirements, which state that Form I–
418 must be submitted in paper format.
See 8 CFR 251.5. As described in depth
below, these overlapping submission
requirements create a substantial burden
on vessel operators, and the
maintenance, verification, and storage of
the paper Form I–418 is a significant
burden on CBP officers and the agency
as a whole.
To reduce redundant data
submissions and to ease burdens on
vessel operators and the agency itself,
CBP is modifying its regulations to
allow for the electronic submission of
Form I–418 only. The updated
regulations require vessel operators to
submit the data elements required on
Form I–418 electronically via an
electronic data interchange system (EDI)
approved by CBP. Presently, the CBPapproved EDI is eNOA/D. Data
submitted via eNOA/D will be
automatically transmitted to CBP, which
will use the information to populate an
electronic version of the Form I–418.7
The information currently collected
through eNOA/D will satisfy the
required data elements for populating
the electronic version of the Form I–418
for CBP’s purposes. The act of
electronically submitting the data
elements required on Form I–418
constitutes the Master’s certification
that CBP baggage declaration
requirements have been made known to
6 Certain
Great Lakes vessels are also exempt from
this requirement. See 8 CFR 251.3(b).
7 The embark date required on Form I–418 is
transmitted to CBP via eNOA/D. The disembark
date/date separated (i.e., the date when a
crewmember permanently departs the vessel) is
calculated by CBP. This rule does not change this
practice.
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incoming passengers; that any required
CBP baggage declarations have been or
will simultaneously be filed as required
by law and regulation with the proper
CBP officer; that the responsibilities of
the vessel operator have been or will be
done as required by law or regulation
before the proper CBP officer; and that
there are no steerage passengers on
board the vessel. As explained further
below, CBP will no longer collect the
vessel operator’s signature for the
Master’s certification during inspection.
The electronically submitted
information will then be reviewed and
confirmed by the inspecting CBP officer.
This rule will streamline vessel arrival
and departure processes by eliminating
redundant data submissions,
simplifying vessel inspections, and
automating recordkeeping. Any changes
regarding the CBP-approved EDI will be
announced in a notice published in the
Federal Register.
B. Current Commercial Vessel Arrival
and Departure Process
Commercial vessels arriving at and
departing from U.S. ports of entry must
comply with statutory and regulatory
requirements to engage in U.S. trade.8
Commercial vessels, regardless of
whether they are cargo, non-cargo,9 or
cruise ships, traveling to a U.S. port of
entry from a foreign port or place must
begin their trip by submitting certain
manifest information electronically to
USCG and CBP prior to arrival. Once at
a U.S. port of entry, commercial vessels
must submit additional information and
undergo customs and immigration
inspections and processing. These
arrival requirements vary by commercial
vessel type and slightly differ by port of
entry.
1. Cargo and Non-Cargo Vessels
In general, upon a cargo or non-cargo
vessel’s arrival, CBP officers at the port
of entry travel to the vessel’s docking
station and board it. Next, CBP requests
and reviews the vessel’s entry and
manifest documentation, along with
passenger and crew passports and visas.
For manifest verification, the vessel’s
operator or agent typically submits two
copies of the vessel’s passenger and
crew manifest using Form I–418 to the
CBP officers aboard the vessel. CBP uses
the paper Form I–418 for crew and
8 The regulatory requirements concerning how
and when a vessel operator must submit an I–418
are contained in parts 251 and 258 of title 8 of the
Code of Federal Regulations, and in part 4 of title
19 of the Code of Federal Regulations.
9 For the purposes of this document, non-cargo
commercial vessels include all commercial vessels
other than cargo ships and cruise ships. Tugboats
fall under this classification.
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passenger admissibility inspections and
processing.
During the admissibility inspection
process, a CBP officer verifies the actual
crew and passengers on hand and those
departing the vessel using a copy of the
paper Form I–418, the previously
submitted APIS manifest, pre-arrival
screening results, and passports and
visas. Barring any unresolvable issues,
the CBP officer annotates the inspection
results, including any discrepancies, on
the paper Form I–418 submissions. The
CBP officer collects the vessel operator’s
signature on the form and signs and
stamps the documents. The CBP officer
then provides one copy of the signed,
stamped, and annotated Form I–418 to
the vessel operator to use during
coastwise travel and upon departure
from the United States. The CBP officer
at the first port of arrival retains the
other copy of the original signed,
stamped, and annotated Form I–418 for
subsequent data reconciliation and
recordkeeping purposes.
After the admissibility inspections
and processing are complete, the CBP
officers disembark the vessel, travel
back to their port office, manually
record the results of their inspections
and related actions into CBP data
systems, and send applicable Form I–
418 supporting documentation, to the
next port of arrival.
Once granted entry, the vessel may
engage in further coastwise travel
within the territorial waters of the
United States or depart the United
States. If manifest information changes
after initial submission, the vessel
operator must update the APIS manifest
electronically through the eNOA/D
system. The vessel operator must also
present the initial signed, stamped, and
annotated Form I–418 copy to a CBP
officer when requested at a coastwise
port of arrival.10 The CBP officers at
these subsequent ports of arrival update
the Form I–418 to reflect any manifest
changes, verify new supporting
documentation if applicable, take
admissibility actions as necessary, and
provide the updated Form I–418 to the
vessel operator for further U.S. travel
and ultimate departure. The CBP
officers at each coastwise port send a
copy of the updated Form I–418 to the
vessel’s first port of arrival for data
reconciliation and recordkeeping
purposes.
Upon departure from the United
States, USCG requires commercial
vessel operators to submit a NOD to
10 Per sections 235 and 252 of the Immigration
and Nationality Act, CBP may board and inspect
vessels at subsequent coastwise ports of arrival. See
8 U.S.C. 1225(d); See also 8 U.S.C. 1282.
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NVMC through eNOA/D or another
electronic format. CBP requires these
vessel operators to update their APIS
manifest electronically through the
eNOA/D system; update their paper
Form I–418 to include a list of departing
crew, crew changes, and trip departure
details; and submit the paper Form I–
418 to CBP. A CBP officer at the port of
departure verifies any additional
modifications to the form information
and sends the completed Form I–418
and supporting documentation to the
vessel’s first port of arrival. There, a
CBP officer manually reconciles the
original Form I–418 retained during the
initial arrival inspection with the
subsequently updated versions of the
form and related documentation.
CBP officers spend considerable time
vetting pre-arrival data, traveling to/
from a vessel, boarding/disembarking
the ship, and conducting admissibility
inspections and processing. In addition,
CBP officers typically spend 120
minutes (2 hours) performing postinspection processing for each vessel’s
paper Form I–418 submission from
arrival to departure.11 This includes the
time CBP spends manually recording
form information and actions into CBP
systems, communicating between ports
of arrival and departure, manually
validating and reconciling data,
gathering and sending supporting
documentation, physically storing and
shipping the manifest package, and
tracking the manifest package.
2. Cruise Ships
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Cruise ships follow slightly different
procedures from cargo and non-cargo
vessels upon arriving at a U.S. port of
entry. At their first port of arrival, cruise
ship crewmembers and passengers
generally offload the ship at a
designated terminal, where CBP officers
are stationed and readily available to
conduct customs and immigration
inspections and processing. Under the
standard arrival process, the cruise ship
operator generally provides two copies
of Form I–418’s complete passenger and
crew manifest with all printed pages.12
Cruise ship operators arriving at some
POEs submit just two copies of the two
signature pages of the paper Form I–418
and a compact disc of the manifest in
11 Source: Correspondence with CBP’s Office of
Field Operations on November 6, 2020.
12 An unknown number of cargo and non-cargo
vessel operators and cruise ship operators arriving/
departing at some POEs may provide additional
copies of the Form I–418 to CBP during each
standard arrival/departure. Source: Email
correspondence with CBP’s Office of Field
Operations on November 18, 2020.
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lieu of submitting numerous pages of
paper to CBP.
During the standard admissibility
inspection process, a CBP officer
validates and verifies the cruise ship’s
actual crew and passengers on hand and
those departing the vessel generally
using the Form I–418, the previously
submitted APIS manifest, pre-arrival
screening results, and passports and
visas. Any inspection results and
admission/landing rights from such
processing are directly recorded into
CBP data systems. During cruise ship
crew and passenger processing, the CBP
officer also collects the vessel operator’s
signature on the form copies, signs and
stamps the documents. The CBP officer
then provides one copy of the signed
and stamped Form I–418 or signature
pages for the vessel operator to retain
and use in coastwise travel and upon
departure from the United States. The
CBP officer at the first port of arrival
retains the other copy of the signed,
stamped, and annotated Form I–418 or
signature pages for subsequent data
reconciliation and recordkeeping
purposes.
Once granted entry, the cruise ship
may engage in further coastwise travel
or depart the United States. If manifest
information changes during coastwise
movement, the vessel operator must
update the APIS manifest electronically
through the eNOA/D system. The vessel
operator must also present the initial
signed, stamped, and annotated Form I–
418 signature pages to a CBP officer at
each coastwise port of arrival upon
request. The CBP officers at these
subsequent ports of arrival review the
Form I–418 or signature pages and
update CBP data systems to reflect any
manifest changes, verify new, applicable
supporting documentation, take
admissibility actions as necessary, and
provide the Form I–418 or signature
pages to the vessel operator for further
U.S. travel.
As discussed above, upon departure
from the United States, USCG requires
commercial vessel operators to submit a
NOD to the NVMC through eNOA/D or
another electronic format. CBP requires
these vessel operators to update their
APIS manifest electronically through an
approved system (currently, the eNOA/
D system) and submit the two signature
pages of the signed and stamped Form
I–418 to CBP. See 8 CFR 251.3. A CBP
officer at the port of departure verifies
any additional modifications to the form
information and sends the completed
Form I–418 signature page and
supporting documentation to the
vessel’s first port of arrival. There, a
CBP officer manually reconciles the
original Form I–418 signature page,
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supporting documentation, and
manifest compact disc with the
subsequently updated versions of the
form and related documentation.
In addition to time spent vetting prearrival data and conducting
admissibility inspections and
processing, CBP officers spend an
average of 20 minutes (0.333 hours)
performing post-inspection processing
for each cruise ship’s Form I–418
submission from arrival to departure.13
This includes the time CBP spends
manually validating and reconciling
data, gathering supporting
documentation, communicating
between ports of arrival and departure
(when necessary), physically storing
and shipping the manifest package, and
tracking the manifest package (when
necessary).
3. Additional Form I–418 Requirements
for Vessels Under Title 19 CFR
Part 4 of title 19 of the CFR provides
additional requirements as to when and
how a vessel operator must submit Form
I–418. Under 19 CFR 4.7(a), the master
of every vessel arriving in the United
States and required to make entry must
have on board a manifest that includes
Form I–418. In some instances, a vessel
operator may submit a Form I–418 in
lieu of the Crew’s Effects Declaration,
CBP Form 1304, with supporting
documentation. See 19 CFR 4.7(a),
4.7a(b)(2), and 4.81(d). However, when
given the option, most vessel operators
submit CBP Form 1304 instead of Form
I–418 with additional supporting
documentation, such as individual CBP
Forms 5129, Crew Member’s
Declaration.
C. Form I–418 Automation Test Program
Recognizing the need to reduce
redundant data collection and
implement a seamless process to receive
and use vessel arrival and departure
information under various regulations,
CBP developed a voluntary Form
I–418 automation test program. The
program tested CBP’s ability to gather
and reconcile information submitted for
eNOA/D, APIS, and other electronic
purposes for use in generating an
automated, electronic Form I–418. CBP
implemented this test in two phases as
described below. The test varied
somewhat across participating ports.
Although the automated test program is
still in operation at many ports of entry,
the test program will be replaced by the
regulatory program addressed in this
rule.
13 Source: Email correspondence with CBP’s
Office of Field Operations on June 2, 2020.
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CBP launched the first phase of the
voluntary automation test program at
four ports of entry in January 2011. The
first phase allowed CBP officers and
ports to evaluate the submission of
Form I–418 data in both electronic and
paper format to verify the similarity of
information captured and identify any
anomalies in the methods used.
Moreover, it allowed CBP officers to rely
solely on electronic manifest data
submissions to build a vessel’s
departure manifest, thus eliminating the
need for vessel operators to submit the
departure manifest in paper format.
By June 2011, CBP implemented the
second and final phase of the voluntary
test program, which fully transitioned
the submission of Form I–418 data to an
automated, paperless process for certain
commercial vessel operators. In place of
submitting the required I–418
information on the paper Form I–418,
vessel operators participating in the I–
418 Automation test program could
transmit this data through eNOA/D and
APIS data submissions. Under the
automation test, CBP systems
automatically compiled eNOA/D, APIS,
and any other electronic manifest data
submitted electronically by test
participants prior to arrival and at
departure into a pre-populated
electronic Form I–418. Upon a
participating cargo or non-cargo vessel’s
arrival, CBP largely pre-vetted the
electronic Form I–418 and printed out a
paper copy of the form for customs and
immigration inspection and processing
purposes.
As with current arrival requirements
for cargo and non-cargo commercial
vessels, a CBP officer then boarded the
vessel, conducted inspections,
annotated the admissibility inspection
results on the paper Form I–418,
collected the vessel operator’s signature
on the form, and signed and stamped
the document. Before disembarking the
vessel, the CBP officer had the vessel
operator make a copy of the signed,
stamped, and annotated paper Form
I–418 for further coastwise travel and
departure. The CBP officer then
returned to the port office to manually
record the inspection results and related
actions annotated on the original Form
I–418 into CBP data systems.
For cruise ships participating in the I–
418 Automation test program, CBP
generally pre-vetted the electronic Form
I–418, printed out a paper copy of the
Form I–418’s two signature pages, and
conducted passenger and crew
processing like the standard process at
a terminal. Instead of requiring the
submission of a full paper Form I–418
or manifest CDs, CBP officers largely
conducted arrival inspections and
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processing electronically at the
terminal. CBP officers also used the two
paper Form I–418 signature pages to
collect the vessel operator’s signature
and to sign and stamp the pages to
generally meet existing paper Form
I–418 retention requirements.
Before departing for their next port of
call, test participants could transmit any
manifest changes subsequent to the
initial inspection at the port of arrival
via the eNOA/D system. These changes
included, but were not limited to, the
sign-on or sign-off of crewmembers. As
under the standard commercial vessel
arrival/departure process, a CBP officer
at the next port of call verified that the
information submitted met the vessel’s
regulatory requirements. Upon
departure from the United States, a CBP
officer at the port of departure
performed an electronic reconciliation
of the vessel’s arrival, coastwise, and
departure manifest data and addressed
any discrepancies. Then, the officer sent
all paper documentation, typically via
fax, to the first port of arrival.
In 2015, CBP migrated to mobile
devices that allowed CBP officers to
electronically conduct Form I–418
processing for cargo and non-cargo
vessel arrivals (including I–418
Automation test program participants
and non-participants) at different ports
of entry, thereby removing the need to
print off a paper Form I–418. With these
devices, CBP officers directly recorded
the inspection results and related
actions into CBP data systems at the
time of inspection and processing. In
2016, CBP successfully deployed its
preexisting electronic signature
(hereafter, ‘‘e-signature’’) capability
through its mobile devices at five major
sea ports of entry. This tool allowed for
the electronic collection of vessel
operator and CBP officer signatures on
the Form I–418, which removed the
need to print off a copy of the Form
I–418 and have the vessel operator sign
it. Despite these streamlined electronic
processing methods, CBP continued to
also record vessel inspection results and
signatures on the paper form and
physically stamp the form to meet the
regulatory requirements in place
regarding the submission and retention
of paper Form I–418.
Most U.S. ports of entry along with
approximately 15 percent of cargo and
non-cargo vessels and 56 percent of
cruise ships are fully or partially
participating in the above-described
voluntary automation test program,
including electronic submissions and
e-signature capabilities.14
14 Based
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D. Form I–418 Automation Regulatory
Program
CBP is amending its regulations to
require the electronic submission of the
data elements required on Form I–418
in lieu of its current paper form. This
will streamline vessel arrival and
departure processes by eliminating
redundant data submissions,
simplifying vessel inspections, and
automating recordkeeping. The updated
regulations will require vessel operators
to electronically submit the data
elements required on the Form I–418 via
an EDI approved by CBP. CBP will
continue to use the eNOA/D system as
the approved EDI. Under this process,
CBP systems will compile eNOA/D,
APIS, and any other electronic manifest
data submitted by vessel operators to
the NVMC prior to arrival and at
departure into an automated CBP
system. CBP will use its system for all
commercial vessel crew and passenger
admissibility inspections and
processing, and thus generally establish
a fully paperless passenger and crew list
process for all commercial vessel
arrivals and departures. Any changes to
the CBP-approved EDI will be
announced in a notice published in the
Federal Register.
With this automated system, for each
commercial vessel arrival from a foreign
port or place, CBP will be able to prevet the vessel’s electronic passenger and
crew list, travel to/from and board/
disembark the vessel (for cargo and noncargo vessels only), conduct
inspections, and record the
admissibility inspection results and
related actions in real time using a
mobile device or computer station (for
the majority of cruise ships).15 During
arrivals/departures processed with
mobile devices, CBP officers will
directly record the inspection results
and related actions into CBP data
systems at the time of inspection and
processing, eliminating the need for
CBP officers to manually input the
inspection results and related actions
into CBP data systems later at the port
office. CBP will also use the mobile
devices to verify the electronically
submitted data during the inspection
process. The inspecting CBP officer will
no longer collect the vessel operator’s
signature for the Master’s certification,
as now the act of submitting the data
electronically will constitute
certification. Once the passenger and
crew list is verified electronically by the
inspecting CBP officer, CBP will
15 CBP processes the majority of cruise ship
arrivals at terminals using computer stations;
however, CBP now processes some cruise ship
arrivals using mobile devices.
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generate and transmit a read-only copy
of the electronic Form I–418, only upon
request, with an electronic CBP receipt
number, by email to the vessel operator
for use during coastwise movement or
upon departure from the United States.
The verified electronic passenger and
crew list will also be converted to a
writeable file and stored in CBP data
systems.
As in the automation test program,
before departing for their next port of
call, vessel operators will be able to
transmit any manifest changes
subsequent to the vessel’s inspection at
the first port of arrival via the NVMC.
A CBP officer at the next port of arrival
will verify these changes and record all
updates, inspection results, and related
actions in real time in the CBP system
using a mobile device or computer
station. The CBP officer will then save
the updated electronic passenger and
crew list in CBP data systems, and email
a read-only copy to the vessel operator,
if requested. Upon departure from the
United States, a CBP officer at the port
of departure will verify the vessel’s
arrival, coastwise, and departure
manifest data, which CBP data systems
will reconcile automatically, and
address any discrepancies. Thereafter,
the CBP officer will save the completed
electronic passenger and crew lists in
CBP data systems, where it will be
stored electronically for at least five
years. In the limited instances where a
paper Form I–418 is submitted, CBP
will continue its current process of
collecting, verifying, and physically
storing all paper Form I–418 supporting
documentation.
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E. Discussion of Regulatory Changes
DHS is amending parts 251 and 258
of title 8 of the CFR, as well as part 4
of title 19 of the CFR, as set forth below,
to automate Form I–418 and, in some
provisions, eliminate the option to
submit the Form I–418 in lieu of other
required forms in order to reflect current
trade practices and improve efficiency
in data submission. The amendments
also update the regulations to
incorporate ‘‘plain language’’ consistent
with Executive Order 13563,
‘‘Improving Regulation and Regulatory
Review’’ (76 FR 3821).
1. 8 CFR Part 251
Section 251.1 addresses ‘‘Arrival
manifests and lists’’ in the immigration
context. Section 251.1(a) sets out the
requirements for arrival manifests and
lists for vessels. Specifically, this
section requires the master or agent of
every vessel to submit a paper Form
I–418 to CBP at the port where
immigration inspection is performed
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and that the master or agent provide
certain information regarding longshore
work. This section is being amended to
reflect the new procedure through
which the information requested on
Form I–418 and about longshore work is
submitted electronically through an EDI
approved by CBP. Conforming
amendments are being made throughout
this section to accommodate the new
submission process. For instance, where
the regulations state that the master or
agent must ‘‘note on’’ the manifest
certain information about longshore
work, the regulations are being amended
to state that this information must now
be ‘‘indicate[d] in’’ the manifest,
because such additional information
and annotations will generally no longer
be collected on a hard copy, but will be
done through an electronic interface.
Section 251.1(a) is also being
amended to include two exceptions to
the new general rule that I–418 and
longshore work data be submitted
electronically. The first exception is
where the master or agent of the vessel
is unable to electronically submit the
data elements required on Form I–418
via an electronic data interchange
system approved by CBP due to
technical issues, such as when the
onboard computer system is
malfunctioning, or there is no internet
access, and there is no shore-side
support available. The second is where
CBP is experiencing technical
difficulties affecting its receipt or
processing of electronically submitted
information, or where CBP, in its
discretion, determines that a paper
Form I–418 is acceptable under the
circumstances presented by the master
or agent of a vessel. The latter includes,
but is not limited to, where there is a
medical or weather emergency, or, in
the case of longshore work, when
information and relevant data cannot be
submitted through the eNOA/D system
due to its format.
Lastly, additional minor amendments
are being made to section 251.1 to
incorporate ‘‘plain language’’ including
replacing the word ‘‘shall’’ with either
‘‘must’’ or ‘‘will’’, as appropriate.
Section 251.3 addresses ‘‘Departure
manifests and lists for vessels’’ in the
immigration context. Specifically, this
section requires the master or agent of
every vessel to submit a paper Form
I–418 to CBP at the port from which the
vessel is to depart directly to some
foreign place or outlying possession of
the United States. This section is being
amended to reflect the new procedure
through which the information
requested on the Form
I–418 is submitted electronically
through an EDI approved by CBP.
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73623
Section 251.3 is also being amended
to include two exceptions to the new
general rule that I–418 data be
submitted electronically. The first is
where the master or agent of the vessel
is unable to electronically submit the
data elements required on Form I–418
via an electronic data interchange
system approved by CBP due to
technical issues, such as when an
onboard computer system is
malfunctioning. The second exception
allows for a paper Form I–418 to be
submitted when CBP is experiencing
technical issues or where CBP, in its
discretion, determines that a paper
Form I–418 is acceptable under the
circumstances presented by the master
or agent of a vessel.
Section 251.5 requires the master or
commanding officer, or authorized
agent, owner, or consignee, of a
commercial vessel or commercial
aircraft arriving in or departing from the
United States to submit arrival and
departure manifests in a paper format in
accordance with §§ 251.1, 251.3, and
251.4. This section is being amended to
remove references to paper, as this
information will now be submitted
electronically in the vessel context.
2. 8 CFR Part 258
Section 258.2 requires masters and
agents who use nonimmigrant crewmen
to perform longshore work under one of
the exceptions listed in the section, to
indicate on the crew manifest that an
exception is being used and to note
which exception will be performed.
Among other things, it sets forth the
documentation that must be presented.
This section is being amended to reflect
the new procedure through which the
information requested on the Form I–
418 is submitted electronically through
an EDI approved by CBP. This rule does
not make changes to any of the other
documentation requirements in section
258.2. Additional minor amendments
are being made to section 258.2, such as
replacing the term ‘‘shall’’ with ‘‘must.’’
The term ‘‘Immigration and
Naturalization Service’’ is also being
updated and replaced with ‘‘CBP.’’
3. 19 CFR Part 4
Section 4.7 concerns ‘‘Inward foreign
manifest; production on demand;
contents and form; advance filing of
cargo declaration.’’ Pursuant to section
4.7(a), a paper Form I–418 is a required
document for the manifest. This section
is being amended to reflect the new
electronic submission of the data
elements required on Form I–418.
Section 4.7(a) is being amended to
require vessel operators to submit the
data elements required on Form I–418
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via the EDI approved by CBP, and to
provide that the electronic submission
will be considered part of the manifest
required under this section.
Section 4.7a addresses ‘‘Inward
manifest; information required;
alternative forms.’’ Pursuant to Section
4.7a(b)(2), the master of a vessel may, in
lieu of describing the articles on CBP
Form 1304, furnish a CBP Form I–418.
However, submitting CBP Form I–418
with the required CBP Form 5129
instead of CBP Form 1304 generally
takes more time for the trade
community to complete and takes more
time for CBP to review and process the
forms, as well as providing redundant
information contained in other required
forms. Therefore, to reflect current trade
practices and improve data submission
efficiency, this section is being amended
to remove the option of filing a paper
Form I–418 instead of CBP Form 1304.
Conforming edits are also being made to
section 4.7(a), for the same reason.
Sections 4.7a(d) and (e) are being
amended to incorporate the information
submission requirements contained in
section 4.7b concerning the APIS data.
Section 4.7a(e) is being amended to
remove the certification requirements.
Currently, the regulation requires a
paper form certification to be attached
to Form I–418. In light of the
automation of CBP Form I–418, it will
be impractical to require a paper form
certification. Under this rule, vessel
operators will be required to submit the
data elements required on CBP Form
I–418 via an electronic data interchange
system approved by CBP. The regulation
specifies that the act of electronically
submitting the data will serve as the
Master’s certification, as described
further in this preamble’s discussion of
the amendments to section 4.50.
Section 4.50 concerns the passenger
lists that the master of every vessel
arriving at a U.S. port from a foreign
port or place must submit. Specifically,
section 4.50(a) requires the master of the
vessel to submit Form I–418 if the vessel
is arriving from a noncontiguous foreign
territory and is carrying steerage
passengers. Section 4.50(a) is being
amended to reflect the new procedure
for submitting the data elements of
Form I–418 through an EDI approved by
CBP, including reference to the required
information required under section
4.7b(b)(3) for such passengers. Section
4.50 is also being amended to include a
new paragraph (c) that will replace the
paper form certification requirement in
section 4.7a(e). New subsection 4.50(c),
provides that by the act of submitting
the data elements required on CBP Form
I–418 via an electronic data interchange
system approved by CBP, the vessel
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operator certifies that CBP baggage
declaration requirements have been
made known to incoming passengers;
that any required CBP baggage
declarations have been or will
simultaneously be filed as required by
law and regulation with the proper CBP
officer; that the responsibilities of the
vessel operator have been or will be
done as required by law or regulation
before the proper CBP officer; and that
there are no steerage passengers on
board the vessel.
Section 4.81 addresses ‘‘Reports of
arrivals and departures in coastwise
trade.’’ Section 4.81(d) provides the
master of the vessel with an option of
either submitting the traveling Crew’s
Effects Declaration, Customs Form 1304,
or Form I–418 with attached Customs
Form 5129, with the port director upon
arrival at each port in the United States.
Like the amendment to remove the
option to submit Form I–418 in section
4.7a, this section is being amended to
remove the option of filing a Form I–418
instead of CBP Form 1304 to reflect
current trade practices and improve data
submission and efficiency.
Section 4.91 concerns the diversion of
a vessel and the transshipment of cargo.
Section 4.91(c) requires that when
inward foreign cargo or passengers are
transshipped to another vessel under
customs supervision, a separate
traveling manifest must be used for the
transshipped cargo or passengers.
Section 4.91(c) provides the master of
the vessel with the option of submitting
either a Cargo Declaration, CBP Form
1302, or Form I–418. This section is
being amended to reflect the new
procedure for submitting the data
elements of Form I–418 through an EDI
approved by CBP.
III. Statutory and Regulatory
Requirements
A. Administrative Procedure Act
The Administrative Procedure Act
(APA) generally requires agencies to
publish a notice of proposed rulemaking
in the Federal Register (5 U.S.C. 553(b))
and provide interested persons the
opportunity to submit comments (5
U.S.C. 553(c)). However, the APA
provides an exception to this prior
notice and comment requirement for
‘‘rules of agency organization,
procedure, or practice’’ 5 U.S.C.
553(b)(A). This interim final rule is a
procedural rule promulgated for
efficiency purposes that falls within this
exception.
This rule is procedural because it
merely automates an existing reporting
requirement for vessel masters or agents
pursuant to existing statutes and
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regulations. See 8 U.S.C. 1103, 1182,
1221, 1281, 1282; 8 CFR part 2; 19
U.S.C. 66, 1431, 1433, 1434, 1624, 2071
note; and 19 CFR part 4. The rule
changes the format in which vessel
masters or agents must present required
information to CBP. Under the amended
regulations, vessel masters or agents
will no longer be required to complete
and submit the paper Form I–418.
Instead, all required information must
be submitted to CBP electronically
through the electronic data interchange
system approved by CBP, which has
been the practice for most vessel
masters and agents by submitting the
information through eNOA/D. This rule
neither affects the substantive criteria by
which CBP officers inspect vessels upon
arrival or departure nor the nature of the
information required by CBP.
Although this procedural rule is
exempt from prior notice and comments
procedures, DHS is providing the public
with the opportunity to comment
without delaying implementation of this
rule. DHS will respond to the comments
received when it issues a final rule.
B. Executive Order 13563 (Improving
Regulation and Regulatory Review) and
Executive Order 12866 (Regulatory
Planning and Review)
Executive Orders 13563 (Improving
Regulation and Regulatory Review) and
12866 (Regulatory Planning and
Review) direct agencies to assess the
costs and benefits of available regulatory
alternatives and, if regulation is
necessary, to select regulatory
approaches that maximize net benefits
(including potential economic,
environmental, public health and safety
effects, distributive impacts, and
equity). Executive Order 13563
emphasizes the importance of
quantifying both costs and benefits, of
reducing costs, of harmonizing rules,
and of promoting flexibility.
The Office of Management and Budget
(OMB) has designated this rule a
‘‘significant regulatory action,’’ although
not economically significant, under
section 3(f) of Executive Order 12866.
Accordingly, the rule has been reviewed
by OMB. CBP has also prepared a
regulatory impact assessment to help
inform stakeholders of the impacts of
this rule, which CBP has summarized
below. The complete standalone
analysis can be found in the public
docket for this rulemaking at https://
www.regulations.gov. The standalone
analysis also focuses on the costs and
benefits experienced during the I–418
Automation test program period (FY
2011 through FY 2020).
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1. Executive Summary
Through the Automation of CBP Form
I–418 for Vessels Interim Final Rule,
CBP will amend its regulations under 8
CFR part 251, 8 CFR part 258, and 19
CFR part 4 to require the electronic
submission of the data elements
required from vessel operators on Form
I–418 in lieu of paper form submissions.
CBP will no longer require the paper
Form I–418. The updated regulations
will require vessel operators to
electronically submit the data elements
required on the Form I–418 via an EDI
approved by CBP. CBP will continue to
use USCG’s eNOA/D system as the
approved EDI. Under this process, CBP
systems will compile eNOA/D and other
electronic manifest data submitted by
vessel operators prior to arrival and at
departure into a passenger and crew list
format reflective of an electronic Form
I–418.16 The act of electronically
submitting the data elements required
on Form I–418 will also constitute the
(vessel) Master’s certification that the
manifest information is accurate,17 and
eliminate the current need to generally
collect Form I–418’s vessel master (or
operator) and CBP officer signatures for
certification.18 CBP will also retain its
authority to require paper Form I–418
submissions in the event of certain
technical difficulties, such as system
outages and disruptions, that make it
impossible to submit or receive manifest
data electronically, and according to
CBP discretion.19 This rule will
streamline vessel arrival and departure
processes by eliminating redundant data
submissions, simplifying vessel
inspections, and automating
recordkeeping.
CBP is currently operating an I–418
Automation test program, which serves
as the basis for the regulatory program.
The impact of the I–418 Automation
regulatory program will slightly differ
from the I–418 Automation test program
due to its complete paper Form I–418
automation, eased administrative
burdens, and elimination of signatures
and paper processing. With its
transition to a fully automated,
electronic passenger and crew list (i.e.,
Form I–418) process, the I–418
Automation regulatory program will
discontinue the test program. Under the
regulatory program, CBP systems will
automatically reconcile eNOA/D and
other manifest data submitted
electronically by vessel operators prior
to arrival and at departure into a
passenger and crew list format reflective
of an electronic Form I–418. This
transition will affect commercial vessel
operators and CBP.
Vessel operators will generally not
incur any costs from this rule, though
CBP will. CBP will sustain technology
and printing costs from the regulatory
program, including costs to maintain
mobile devices for real-time, electronic
processing and print paper Form I–418s
until the admissibility inspection
process is completely paperless. Across
the period of analysis, these monetized
costs will equal $45,000 in present
73625
value and $12,000 on an annualized
basis. These costs represent the total
costs of the rule.
Following this rule’s implementation,
vessel operators will enjoy $16.1 million
in monetized present value cost savings
from automated Form I–418
submissions and forgone printing and
dual processing between FY 2021 and
FY 2025 (using a 7 percent discount
rate). During the same period, CBP will
experience a total monetized present
value cost saving of $37.2 million from
the rule’s forgone printing requirements,
streamlined mobile processing and postinspection tasks, and forgone storage
and shipping costs (using a 7 percent
discount rate). CBP may dedicate these
cost savings to other agency mission
areas, such as improving border security
or facilitating trade. In total, the
monetized cost savings of this rule will
equal $53.3 million in present value and
$13.9 million on an annualized basis
over the period of analysis (using a 7
percent discount rate).
The Executive Summary Table
outlines the estimated costs and benefits
(cost savings) of the I–418 Automation
regulatory program from FY 2021 to FY
2025. As illustrated, the benefits (cost
savings) of this rule outweigh its costs,
with the total monetized net benefit (net
cost saving) of the regulatory program
measuring $53.3 million in present
value and $13.9 million on an
annualized basis (using a 7 percent
discount rate).
EXECUTIVE SUMMARY TABLE: NET BENEFIT (COST SAVING) OF I–418 AUTOMATION REGULATORY PROGRAM, FY 2021–
FY 2025
[2019 U.S. Dollars]
Present values
3% Discount
rate
Annualized values
7% Discount
rate
3% Discount
rate
7% Discount
rate
Total Cost ........................................................................................................
Total Benefit .....................................................................................................
$52,067
62,546,086
$45,458
53,306,084
$11,710
14,066,940
$11,863
13,910,918
Total Net Benefit .......................................................................................
62,494,018
53,260,626
14,055,230
13,899,055
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Notes: The estimates in this table are contingent upon CBP’s vessel arrival/departure projections as well as the discount rates applied. Estimates may not sum to total due to rounding.
16 The embark date required on Form I–418 is
transmitted to CBP via eNOA/D. The disembark
date/date separated (i.e., the date when a
crewmember permanently departs the vessel) is
calculated by CBP systems. This rule does not
change this practice.
17 This includes certifying that certification that
CBP baggage declaration requirements have been
made known to incoming passengers; that any
required CBP baggage declarations have been or
will simultaneously be filed as required by law and
regulation with the proper CBP officer; that the
responsibilities of the vessel operator have been or
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will be done as required by law or regulation before
the proper CBP officer; and that there are no
steerage passengers on board the vessel.
18 CBP officer signatures are generally dictated on
the form as a unique receipt number tied to the
officer. For the purposes of this analysis, CBP refers
to these receipt numbers as signatures.
19 The Automation of CBP Form I–418 for Vessels
Interim Final Rule describes particular exceptions
to the electronic submission requirement. In
particular, CBP will also retain its authority to
require paper submissions in the event the master
or agent of the vessel is unable to electronically
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submit the data elements required on Form I–418
via an electronic data interchange system approved
by CBP due to technical issues, such as when the
onboard computer system is malfunctioning or
there is no internet access, and there is no shoreside support available; CBP is experiencing
technical difficulties affecting its receipt or
processing of electronically submitted information;
or where CBP, in its discretion, determines that a
paper Form I–418 is acceptable under the
circumstances presented by the master or agent of
a vessel.
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2. Purpose of Rule
Commercial vessels arriving at and
departing from U.S. ports of entry
(POEs) must comply with statutory and
regulatory requirements to engage in
U.S. trade. As previously mentioned,
under current regulations commercial
vessels, regardless of whether they are
cargo, non-cargo,20 or cruise ships,
traveling to U.S. POEs from a foreign
port or place must begin their trip by
submitting similar manifest information
electronically to USCG through eNOA/
D and APIS, and then submitting the
same manifest data to CBP on the paper
Form I–418. At departure, commercial
vessels must submit similar departure
data to USCG and CBP. Despite
similarities in the vessel arrival and
departure data submitted per Form I–
418, APIS, and eNOA/D requirements,
current regulations do not allow data to
be transmitted electronically, such as
through eNOA/D or email, to satisfy
Form I–418’s passenger and crew list
submission requirement. In fact, failure
to submit the arrival or departure
manifest in paper format may result in
fines and penalties. To reduce
redundant data submissions and
automate manifest recordkeeping, CBP
launched the I–418 Automation test
program in 2011. This test has allowed
for the automated, electronic
submission of the data elements on
Form I–418 from test participants using
manifest data previously submitted
electronically to the NVMC through
eNOA/D, APIS, or other means. Based
on the successful operation of the test,
CBP now intends to establish the
automated, electronic Form I–418 data
submission process by regulation.
Through this rulemaking, CBP will
amend its regulations under 8 CFR part
251, 8 CFR part 258, and 19 CFR part
4 to require the electronic submission of
the data elements required from vessel
operators on Form I–418 in lieu of paper
form submissions. CBP will generally no
longer require the paper Form I–418.
The updated regulations will require
vessel operators to electronically submit
the data elements required on the Form
I–418 via an EDI approved by CBP. CBP
will continue to use the eNOA/D system
as the approved EDI. Under this process,
CBP systems will compile eNOA/D,
APIS, and any other electronic manifest
data submitted by vessel operators prior
to arrival and at departure into a
passenger and crew list format reflective
20 For the purposes of this analysis, non-cargo
commercial vessels include all commercial vessels
other than cargo ships and cruise ships. Tugboats
fall under this classification.
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of an electronic Form I–418.21 The act
of electronically submitting the data
elements required on Form I–418 will
also constitute the (vessel) Master’s
certification that the manifest
information is accurate,22 and eliminate
the current need to generally collect
Form I–418’s vessel master (or operator)
and CBP officer signatures for
certification.23 CBP will also retain its
authority to require paper Form I–418
submissions in the event of certain
technical difficulties, such as system
outages and disruptions, that make it
impossible to submit or receive manifest
data electronically, and according to
CBP discretion.24 This rule will
streamline vessel arrival and departure
processes by eliminating redundant data
submissions, simplifying vessel
inspections, and automating
recordkeeping.
3. Population Affected by Rule
This rule will affect commercial
vessel operators and CBP, though at
different magnitudes according to the
arriving vessel type and I–418
Automation test program participation
during the period of analysis spanning
from FY 2021 to FY 2025. To determine
the extent of the population affected by
this rule, CBP relies on historical
commercial vessel arrivals/departures
and test participation data.
From FY 2015 to FY 2019, cargo and
non-cargo vessel arrivals/departures of
I–418 Automation test program
participants grew at a compound annual
21 The embark date required on Form I–418 is
transmitted to CBP via eNOA/D. The disembark
date/date separated (i.e., the date when a
crewmember permanently departs the vessel) is
calculated by CBP systems. This rule does not
change this practice.
22 This includes certifying that certification that
CBP baggage declaration requirements have been
made known to incoming passengers; that any
required CBP baggage declarations have been or
will simultaneously be filed as required by law and
regulation with the proper CBP officer; that the
responsibilities of the vessel operator have been or
will be done as required by law or regulation before
the proper CBP officer; and that there are no
steerage passengers on board the vessel.
23 CBP officer signatures are generally dictated on
the form as a unique receipt number tied to the
officer. For the purposes of this analysis, CBP refers
to these receipt numbers as signatures.
24 As described above, CBP will retain its
authority to require paper submissions in the event
the master or agent of the vessel is unable to
electronically submit the data elements required on
Form I–418 via an electronic data interchange
system approved by CBP due to technical issues,
such as when the onboard computer system is
malfunctioning or there is no internet access, and
there is no shore-side support available; CBP is
experiencing technical difficulties affecting its
receipt or processing of electronically submitted
information; or where CBP, in its discretion,
determines that a paper Form I–418 is acceptable
under the circumstances presented by the master or
agent of a vessel.
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rate of 6.0 percent while non-participant
cargo and non-cargo vessel arrivals/
departures declined at a compound
annual rate of 1.9 percent. During the
same period, participant and nonparticipant cruise ship arrivals/
departures both grew at a compound
annual rate of 2.4 percent (see Table 1).
In the future, CBP projects that
commercial vessel arrivals/departures
will remain consistent with their more
conservative historical trends prior to
the COVID–19 pandemic beginning in
2020. Accordingly, CBP estimates that
future cargo and non-cargo vessel
arrivals/departures of I–418 Automation
test program participants will increase
increasing at a rate of 6.0 percent per
year, non-participant cargo and noncargo vessel arrivals/departures will
decrease at a rate of 1.9 percent per year,
and all cruise ship arrivals/departures
will increase at a rate of 2.4 percent per
year from their FY 2019 values between
FY 2021 and FY 2025.25 CBP believes
that these projections best represent the
normal, recent growth of commercial
vessel arrivals/departures while still
accounting for the projected economic
and travel slowdowns due to the
COVID–19 pandemic. CBP did not use
FY 2020 data as a basis for future
growth because it exhibits extreme,
abnormal drops in vessel arrivals/
departures due to the COVID–19
pandemic beginning during that year.
25 Based on historical commercial vessel data and
future commercial vessel demand outlooks. For
future cargo and non-cargo vessel outlook
information, see: Pallis, Athanasios A, et al.
Transport and Trade Facilitation: COVID–19 and
Maritime Transport Impact and Responses, United
Nations Conference on Trade and Development
(UNCTAD), Series No. 15, March 2021. Available at
https://unctad.org/system/files/official-document/
dtltlb2021d1_en.pdf. Accessed July 23, 2021; World
Bank Group. Global Economic Prospects. Chpt. 1.
World Bank Group Publishing. June 2021. Available
at https://openknowledge.worldbank.org/bitstream/
handle/10986/35647/9781464816659-ch01.pdf.
Accessed July 23, 2020; ‘‘Moody’s: Outlook for US
public ports revised to stable on strengthening
economic activity, improving cargo volumes.’’
Moody’s Investors Service, December 7, 2020.
Available at https://www.moodys.com/research
documentcontentpage.aspx?docid=PBC_1247050.
Accessed July 23, 2021; Ohse, Friedemann. ‘‘Will
2021 bring about recovery for the global maritime
industry?’’ OceanInsights, September 30, 2020.
Available at https://www.ocean-insights.com/
business-news/will-2021-bring-about-recovery-forthe-global-maritime-industry/?cli_
action=1602257398.7141/8. Accessed October 9,
2020. For future cruise ship outlook information,
see: Giese, Monique. ‘‘COVID–19 Impacts on Cruise
Industry.’’ KPMG, July 23, 2020. Available at
https://home.kpmg/xx/en/blogs/home/posts/2020/
07/covid-19-impacts-on-global-cruiseindustry.html. Accessed October 23, 2020;
McMahon, Shannon. ‘‘5 takeaways from the cruise
industry’s report on a return to sailing.’’
Washington Post, September 21, 2020. Available at
https://www.washingtonpost.com/travel/2020/09/
21/cruise-return-report-covid-19/. Accessed October
23, 2020.
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process. In contrast, the test program
will transition into a regulatory program
in which all commercial vessel
operators participate in an automated
Form I–418 data submission process
upon this rule’s implementation.
As previously stated, CBP does not
believe that this rule will directly affect
the future volume of commercial vessel
arrivals/departures, and thus predicts
that future commercial vessel arrivals/
departures will be the same with and
without this rule’s implementation (i.e.,
the baseline). As Table 1 shows, CBP
estimates that almost 424,000
commercial vessel arrivals/departures
will occur between FY 2021 and FY
2025, including 372,000 cargo and noncargo vessel arrivals/departures and
53,000 cruise ship arrivals/departures.
Nearly 98,000 (23 percent) of these
arrivals/departures will correspond to
former (or ongoing in the absence of this
rule) I–418 Automation test program
participants, while the remaining
326,000 (77 percent) will correspond to
non-former I–418 Automation test
program participants (or non-test
participants in the absence of this rule).
Nearly all of these vessel operators will
be affected by the rule. Of the arrivals/
departures of former (or ongoing) I–418
However, CBP recognizes the
uncertainty in this assumption and that
the rate of economic recovery from the
COVID–19 pandemic will depend on
many factors, including how quickly
businesses can recover, rates of
infection, and global supply chains. CBP
does not believe that this rule will
directly affect the volume of future
commercial vessel arrivals/departures,
and thus predicts that the projected
arrivals/departures will be the same
with and without this rule’s
implementation (i.e., the baseline).
To estimate future commercial vessel
arrivals/departures with and without
this rule, CBP first applies the projected
growth rates for cargo and non-cargo
vessel arrivals/departures of I–418
Automation test program participants
and non-participants (6.0 percent and
1.9 percent, respectively) and cruise
ship arrivals/departures (2.4 percent) to
their respective FY 2019 values (see
Table 1). CBP then projects the
estimates forward through the period of
analysis, FY 2021 to FY 2025. When
making such projections, CBP presumes
that the I–418 Automation test program
will continue to exist during the period
of analysis in the absence of any
rulemaking to automate the Form I–418
Automation test program participants,
CBP estimates that 50 percent will
correspond to participants who fully
participated in the test program and the
remainder will correspond to
participants who only partially
participated (see Table 1). According to
field interviews, the majority of vessel
operators participating in the I–418
Automation test program continued to
provide a paper Form I–418 upon
arrival/departure despite having
submitted an electronic Form I–418 to
ensure full compliance with CBP
regulations.26 For the purposes of this
analysis, CBP refers to these vessel
operators as those who partially
participated in the I–418 Automation
test program. Under the baseline, nonI–418 Automation test program
participants and 50 percent of test
program participants will continue to
submit paper Form I–418s with each
projected arrival/departure, while the
remaining test participants will submit
only automated versions of Form I–418
with each future arrival/departure.
Alternatively, with the rule, each
arrival/departure will presumably result
in an automated Form I–418
submission.
TABLE 1—PROJECTED COMMERCIAL VESSEL ARRIVALS AND DEPARTURES
FY 2019*
FY 2021
Number of
Cargo
& noncargo
vessels
Cruise
ships
Growth in Vessel Arrivals/Departures .........................
Vessel Arrivals/Departures .........................................
Form I–418 Submissions ............................................
............
64,155
64,155
............
4,319
4,319
Cargo
& noncargo
vessels
FY 2022
Cargo
& noncargo
vessels
Cruise
ships
FY 2023
Cargo
& noncargo
vessels
Cruise
ships
FY 2024
Cruise
ships
Cargo
& noncargo
vessels
2.4%
4,638
4,638
¥1.9%
59,416
59,416
FY 2025
Cruise
ships
Cargo
& noncargo
vessels
Cruise
ships
2.4%
4,749
4,749
¥1.9%
58,287
58,287
2.4%
4,863
4,863
Total, FY 2021–
FY 2025
Cargo
& noncargo
vessels
Cruise
ships
..............
302,946
302,946
............
23,202
23,202
Non-I–418 Automation Test Program Participants
I
I
I
¥1.9%
62,936
62,936
I
2.4%
4,423
4,423
I
¥1.9%
61,740
61,740
I
2.4%
4,529
4,529
I
¥1.9%
60,567
60,567
I
I
I
I
I
I
I
I–418 Automation Test Program Participants
Growth in Vessel Arrivals/Departures .........................
Total Vessel Arrivals/Departures ................................
Vessel Arrivals/Departures of Participants Fully
Participating in Test .........................................
Vessel Arrivals/Departures of Participants Partially Participating in Test .................................
Total Form I–418 Submissions + ................................
Form I–418 Submissions from Participants Fully
Participating in Test .........................................
Form I–418 Submissions from Participants Partially Participating in Test .................................
............
11,487
............
5,496
6.0%
12,176
2.4%
5,628
6.0%
12,907
2.4%
5,763
6.0%
13,681
2.4%
5,901
6.0%
14,502
2.4%
6,043
6.0%
15,372
2.4%
6,188
..............
68,638
............
29,523
5,744
2,748
6,088
2,814
6,454
2,882
6,841
2,951
7,251
5,743
11,487
2,748
5,496
6,088
12,176
2,814
5,628
6,453
12,907
2,881
5,763
6,840
13,681
2,950
5,901
7,251
14,502
3,022
7,686
3,094
34,320
14,763
3,021
6,043
7,686
15,372
3,094
6,188
34,318
68,638
14,760
29,523
5,744
2,748
6,088
2,814
6,454
2,882
6,841
2,951
7,251
5,743
2,748
6,088
2,814
6,453
2,881
6,840
2,950
7,251
3,022
7,686
3,094
34,320
14,763
3,021
7,686
3,094
34,318
14,760
10,292
10,292
74,248
74,248
10,539
10,539
73,918
73,918
10,792
10,792
73,659
73,659
11,051
11,051
371,584
371,584
52,725
52,725
Total
Vessel Arrivals/Departures .........................................
Form I–418 Submissions ............................................
75,642
75,642
9,815
9,815
75,112
75,112
10,051
10,051
74,647
74,647
* Not in period of analysis.
+ Form I–418s submitted in both electronic and paper format only counted as one form submission.
Note: Estimates may not sum to total due to rounding.
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4. Costs of Rule
This rule will automate the Form I–
418 process for all commercial vessel
operators and eliminate the regulatory
26 Although the I–418 Automation test program
waived the regulatory requirement to submit Form
I–418s by paper, certain test participants insisted on
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guidelines in place regarding the
submission and retention of paper Form
I–418s. These changes will generally not
introduce new costs to commercial
vessel operators, but they will introduce
some costs to CBP. If vessel operators
request a copy of their stamped and
annotated electronic Form I–418, which
they receive by paper now for CBP
processing, they will incur negligible
submitting paper Form I–418s to ensure full
compliance with CBP regulations. Source: Email
correspondence with CBP’s Office of Field
Operations on February 23, 2016.
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costs to do so.27 CBP will sustain
technology and printing costs from the
Form I–418 Automation regulatory
program, including costs to maintain
mobile devices for real-time, electronic
processing, and to print the paper Form
I–418 until the admissibility inspection
process is completely paperless. Across
the period of analysis, these monetized
costs will equal $46,000 in present
value and $12,000 on an annualized
basis (using a 7 percent discount rate).
These costs represent the total costs of
the rule, as illustrated in Table 2.
TABLE 2—TOTAL PRESENT VALUE AND ANNUALIZED COSTS OF I–418 AUTOMATION REGULATORY PROGRAM, FY 2020–
FY 2024
[2019 U.S. Dollars]
3% Discount rate
Present Value Cost ..................................................................................................................................
Annualized Cost .......................................................................................................................................
7% Discount rate
$52,067
11,710
$45,458
11,863
Note: The estimates in this table are contingent upon CBP’s vessel arrival/departure projections as well as the discount rates applied.
5. Benefits (Cost Savings) of Rule
Besides its costs to CBP, this rule will
provide considerable benefits (cost
savings) to vessel operators and CBP.
Following this rule’s implementation,
vessel operators will enjoy $16.1 million
in monetized present value cost savings
from forgone paper Form I–418
submissions and form printing between
FY 2021 and FY 2025 (using a 7 percent
discount rate). During the same period,
CBP will experience a total monetized
present value cost saving of $37.2
million from the rule’s avoided printing,
streamlined mobile post-inspection
processing and electronic recordkeeping
(using a 7 percent discount rate). CBP
may dedicate these cost savings to other
agency mission areas, such as improving
border security or facilitating trade. In
total, the monetized cost savings of this
rule will equal $53.3 million in present
value and $13.9 million on an
annualized basis over the period of
analysis (using a 7 percent discount
rate; see Table 3).
TABLE 3—TOTAL PRESENT VALUE AND ANNUALIZED BENEFITS (COST SAVINGS) OF I–418 AUTOMATION REGULATORY
PROGRAM FY 2020–FY 2024
[2019 U.S. Dollars]
3% Discount rate
Present Value Benefit ..............................................................................................................................
Annualized Benefit ...................................................................................................................................
7% Discount rate
$62,546,086
14,066,940
$53,306,084
13,910,918
Note: The estimates in this table are contingent upon CBP’s vessel arrival/departure projections as well as the discount rates applied.
6. Net Impact of Rule
Table 4 summarizes the monetized
costs and benefits (cost savings) of the
I–418 Automation regulatory program to
vessel operators and CBP from FY 2021
to FY 2025. As illustrated, the savings
from this rule outweigh its costs, with
the total monetized net cost saving of
the regulatory program measuring $53.3
million in present value and $13.9
million on an annualized basis (using a
7 percent discount rate).
TABLE 4—NET BENEFIT (COST SAVING) OF I–418 AUTOMATION REGULATORY PROGRAM, FY 2020–FY 2024
[2019 U.S. Dollars]
Present values
3% Discount
rate
Annualized values
7% Discount
rate
3% Discount
rate
7% Discount
rate
Total Cost ........................................................................................................
Total Benefit .....................................................................................................
$52,067
62,546,086
$45,458
53,306,084
$11,710
14,066,940
$11,863
13,910,918
Total Net Benefit .......................................................................................
62,494,018
53,260,626
14,055,230
13,899,055
Notes: The estimates in this table are contingent upon CBP’s vessel arrival/departure projections as well as the discount rates applied. Estimates may not sum to total due to rounding.
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C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.), as amended by the
Small Business Regulatory Enforcement
and Fairness Act of 1996, requires an
agency to prepare and make available to
the public a regulatory flexibility
analysis that describes the effect of a
proposed rule on small entities (i.e.,
small businesses, small organizations,
and small governmental jurisdictions)
when the agency is required to publish
a general notice of proposed rulemaking
for a rule. Since a general notice of
proposed rulemaking is not necessary
for this rule, CBP is not required to
prepare a regulatory flexibility analysis
for this rule.
27 Source: Correspondence with CBP’s Office of
Field Operations on November 24, 2020.
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D. Unfunded Mandates Reform Act of
1995
This rule will not result in the
expenditure by State, local, and tribal
governments, in the aggregate, or by the
private sector, of $100 million or more
in any one year, and it will not
significantly or uniquely affect small
governments. Therefore, no actions were
deemed necessary under the provisions
of the Unfunded Mandates Reform Act
of 1995.
E. Executive Order 13132
This rule will not have substantial
direct effects on the States, on the
relationship between the National
Government and the States, or on the
distribution of power and
responsibilities among the various
levels of government. Therefore, in
accordance with section 6 of Executive
Order 13132, DHS has determined that
this final rule does not have sufficient
federalism implications to warrant the
preparation of a federalism summary
impact statement.
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F. Executive Order 12988 Civil Justice
Reform
This rule meets the applicable
standards set forth in sections 3(a) and
3(b)(2) of Executive Order 12988.
Executive Order 12988 requires agencies
to conduct reviews on civil justice and
litigation impact issues before proposing
legislation or issuing proposed
regulations. The order requires agencies
to exert reasonable efforts to ensure that
the regulation identifies clearly
preemptive effects, effects on existing
federal laws or regulations, identifies
any retroactive effects of the regulation,
and other matters. DHS has determined
that this regulation meets the
requirements of Executive Order 12988
because it does not involve retroactive
effects, preemptive effects, or the other
matters addressed in the Executive
Order.
G. Paperwork Reduction Act
In accordance with the Paperwork
Reduction Act of 1995 (44 U.S.C. 3507),
an agency may not conduct, and a
person is not required to respond to, a
collection of information unless the
collection of information displays a
valid control number assigned by OMB.
The Form I–418 information collected
under 8 CFR part 251.1 and 8 CFR part
251.3 is included under OMB control
number 1651–0103. Under the
Automation of CBP Form I–418 for
Vessels rule, CBP systems will
automatically reconcile eNOA/D, APIS,
and any other manifest data submitted
electronically by vessel operators prior
to arrival and at departure to create an
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electronic version of Form I–418. CBP
will use the automated, electronic Form
I–418 for all commercial vessel crew
and passenger admissibility inspections
and processing, and thus generally
establish a completely paperless Form
I–418 process for all commercial vessel
arrivals and departures. CBP plans to
retain the paper Form I–418 and
conduct paper Form I–418 processing
only when the master or agent of the
vessel is unable to electronically submit
the data elements required on Form I–
418 via an electronic data interchange
system approved by CBP due to
technical issues, such as when the
onboard computer system is
malfunctioning or there is no internet
access, and there is no shore-side
support available; CBP is experiencing
technical difficulties affecting its receipt
or processing of electronically
submitted information; or where CBP, in
its discretion, determines that a paper
Form I–418 is acceptable under the
circumstances presented by the master
or agent of a vessel. CBP will conduct
such processing to not hinder, stop, or
otherwise penalize maritime traffic. In
accordance with the OMB Notice of
Action dated April 3, 2018, CBP will
submit a discontinuation request for
OMB control number 1651–0103 along
with this rule’s publication because this
information collection is duplicative.
H. Privacy Interests
DHS will ensure that all Privacy Act
requirements and policies are adhered
to in the implementation of this rule,
and will issue or update any necessary
Privacy Impact Assessment and/or
Privacy Act System of Records notice to
fully outline processes that will ensure
compliance with Privacy Act
protections.
List of Subjects
8 CFR Part 251
Air carriers, Airmen, Aliens, Maritime
carriers, Reporting and recordkeeping
requirements, Seamen.
8 CFR Part 258
Aliens, Longshore and harbor
workers, Reporting and recordkeeping
requirements, Seamen.
19 CFR Part 4
Exports, Freight, Harbors, Maritime
carriers, Oil pollution, Reporting and
recordkeeping requirements, Vessels.
Amendments to the Regulations
For the reasons stated in the
preamble, DHS is amending 8 CFR parts
251 and 258, and 19 CFR part 4, as set
forth below.
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TITLE 8—ALIENS AND
NATIONALITY
PART 251—ARRIVAL AND
DEPARTURE MANIFESTS AND LISTS:
SUPPORTING DOCUMENTS
1. The general authority citation for
part 251 continues to read as follows:
■
Authority: 8 U.S.C. 1103, 1182, 1221, 1281,
1282, 8 CFR part 2.
§ 251.1
[Amended]
2. Amend § 251.1 as follows:
a. Revise paragraph (a)(1);
b. Revise paragraph (a)(2) introductory
text;
■ c. In paragraph (a)(2)(i), remove the
word ‘‘notation’’ and add in its place
‘‘information’’;
■ d. In paragraph (a)(2)(ii) introductory
text, remove the words ‘‘shall note’’ and
adding in their place ‘‘must indicate’’;
■ e. In paragraph (a)(2)(iii)(A), remove
the words ‘‘shall note on’’ and adding in
their place ‘‘must indicate in’’;
■ f. In paragraph (a)(2)(iii)(B):
■ i. Remove the words ‘‘shall note on’’
and add in their place ‘‘must indicate
in’’; and
■ ii. Remove the the words ‘‘shall show’’
and add in their place ‘‘must show’’;
■ g. In paragraph (a)(2)(iv) introductory
text:
■ i. In the first sentence remove the
words ‘‘shall note on’’ and add in their
place ‘‘must indicate in’’; and
■ ii. In the second sentence, remove the
words ‘‘shall note’’ and add in their
place ‘‘must indicate’’;
■ h. In paragraph (a)(2)(v):
■ i. Remove the words ‘‘shall note on’’
and add in their place ‘‘must indicate
in’’; and
■ ii. Remove the words ‘‘will note the’’
and add in their place ‘‘will indicate
the’’;
■ i. In paragraph (a)(3)(i) introductory
text, remove the words ‘‘shall not be’’
and add in its place ‘‘is not’’;
■ j. In paragraph (a)(3)(ii), remove the
words ‘‘shall note the manifest in the
manner’’ and add in their place ‘‘must
follow the instructions’’;
■ k. In paragraph (a)(3)(iii):
■ i. Remove the words ‘‘shall not be’’
and adding in their place ‘‘is not’’; and
■ ii. remove the words ‘‘noted on’’ and
add in their place ‘‘indicated in’’;
■ l. In paragraph (a)(4), remove the
words ‘‘shall annotate Form I–418
presented at the onward port to
indicate’’ and add in their place ‘‘must
electronically submit via an electronic
data interchange system approved by
CBP’’;
■ m. In paragraph (a)(5), remove the
words ‘‘accompany the manifest’’ and
add in their place ‘‘be sent to CBP
■
■
■
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73630
Federal Register / Vol. 86, No. 246 / Tuesday, December 28, 2021 / Rules and Regulations
electronically or be presented to CBP
upon arrival at the port of immigration
inspection’’;
■ n. Add paragraph (a)(6);
■ o. In paragraph (b):
■ i. Remove the word ‘‘shall’’ wherever
it appears and add in its place ‘‘must’’;
■ ii. Remove the words ‘‘United States
Customs Service’’ and add in their place
‘‘CBP’’; and
■ iii. Remove the word ‘‘annotate’’ and
add in its place ‘‘electronically update
the data in’’;
■ p. In paragraph (c), remove the word
‘‘shall’’ and add in its place ‘‘must’’.
The revisions and addition read as
follows:
khammond on DSKJM1Z7X2PROD with RULES
§ 251.1
Arrival manifests and lists.
(a) * * * (1) General. Except as
provided in paragraph (a)(6) of this
section, the master or agent of every
vessel arriving in the United States from
a foreign place or an outlying possession
of the United States must submit a
manifest of all crewmen on board by
electronically submitting the data
elements required on CBP Form I–418,
Passenger List—Crew List, via an
electronic data interchange system
approved by CBP.
(2) Longshore work information.
Except as provided in paragraph (a)(6)
of this section, the master or agent of the
vessel must electronically submit via an
electronic data interchange system
approved by CBP an affirmation as to
whether crewmen aboard the vessel will
be used to perform longshore work at
any United States port before the vessel
departs the United States.
*
*
*
*
*
(6) Exception to the requirement to
submit Form I–418 data elements and
longshore work information
electronically. The master or agent of
any vessel that is arriving in the United
States from a foreign place or an
outlying possession of the United States,
and is required to submit a manifest,
may submit a paper Form I–418 to CBP
upon arrival at the port where
immigration inspection is performed
when:
(i) The master or agent of the vessel
is unable to electronically submit the
data elements required on Form I–418
via an electronic data interchange
system approved by CBP because there
is no internet access in that location or
onboard computers are experiencing
technical difficulties, and there is no
shore-side support available; or
(ii) CBP is experiencing technical
difficulties affecting its receipt or
processing of electronically submitted
information, or, in its discretion, CBP
determines that a paper Form I–418 is
acceptable under the circumstances
VerDate Sep<11>2014
20:57 Dec 27, 2021
Jkt 256001
presented by the master or agent of a
vessel.
*
*
*
*
*
PART 258—LIMITATIONS ON
PERFORMANCE OF LONGSHORE
WORK BY ALIEN CREWMEN
3. Amend § 251.3 by:
a. Revising paragraph (a); and
■ b. Adding a new paragraph (c);
The revision and addition read as
follows:
■
§ 251.3 Departure manifests and lists for
vessels.
■
■
■
■
(a) Form I–418, Passenger List-Crew
List. Except as provided in paragraphs
(b) and (c) of this section, the master or
agent of every vessel departing from the
United States directly to some foreign
place or outlying possession of the
United States must electronically
submit the data elements required on
Form I–418 via an electronic data
interchange system approved by CBP,
except when a manifest is not required
pursuant to section 251.1(a).
Submission of inaccurate or incomplete
data will be regarded as lack of
compliance with section 251(c) of the
Act.
*
*
*
*
*
(c) Exception to the requirement to
submit Form I–418 data elements
electronically. The master or agent of
any vessel that is departing from the
United States directly to some foreign
place or outlying possession of the
United States, and is required to submit
a manifest, may submit a paper Form I–
418 to CBP at the port from which such
vessel is to depart when:
(1) The master or agent of the vessel
is unable to submit the data elements
required on Form I–418 electronically
via an electronic data interchange
system approved by CBP because there
is no internet access in that location or
onboard computers are experiencing
technical difficulties, and there is no
shore-side support available; or
(2) CBP is experiencing technical
difficulties affecting its receipt or
processing of electronically submitted
information, or, in its discretion, CBP
determines that a paper Form I–418 is
acceptable under the circumstances
presented by the master or agent of a
vessel.
4. Amend § 251.5 as follows:
■ a. Revise the section heading; and
■ b. Remove the words ‘‘in a paper
format’’.
The revision reads as follows:
■
§ 251.5
crew.
*
PO 00000
*
Arrival and departure manifests for
*
Frm 00016
*
Fmt 4700
*
Sfmt 4700
5. The general authority citation for
part 258 continues to read as follows:
Authority: 8 U.S.C. 1101, 1103, 1281; 8
CFR part 2.
§ 258.2
[Amended]
6. Amend § 258.2 as follows:
a. In the introductory text, remove the
words ‘‘shall note’’ and add in their
place ‘‘must indicate’’;
■ b. In paragraph (a)(2), remove the
words ‘‘shall note on’’ and add in their
place ‘‘must indicate in’’;
■ c. In paragraph (b)(2)(i), remove the
words ‘‘states on the manifest, Form I–
418,’’ and add in their place ‘‘indicates
in the manifest, or on Form I–418 if
submitting the paper version,’’;
■ d. In paragraph (b)(2)(ii):
■ i. Remove the words ‘‘states on’’ and
add in their place ‘‘indicates in’’; and
■ ii. Remove the words ‘‘shall present’’
and add in their place ‘‘must present’’;
■ e. In paragraph (b)(2)(iii)(A), remove
the word ‘‘shall’’ and add in its place
‘‘must’’;
■ f. In paragraph (b)(2)(iii)(B):
■ i. Remove the word ‘‘shall’’ and add
in its place ‘‘must’’; and
■ ii. Remove the words ‘‘Immigration
and Naturalization Service’’ and add in
their place ‘‘CBP’’;
■ g. In paragraph (b)(2)(iv);
■ i. In the first sentence, remove the
words ‘‘states on’’ and add in their place
‘‘indicates in’’;
■ ii. In the second sentence, remove the
word shall and add in its place ‘‘must’’
and remove the words ‘‘shall note on’’
and add in their place ‘‘must indicate
in’’;
■ h. In paragraph (b)(3), in the third
sentence, remove the words ‘‘shall
annotate’’ and add in their place ‘‘must
indicate in’’;
■ i. In paragraph (b)(4):
■ i. In the first sentence, remove the
words ‘‘the Immigration and
Naturalization Service’’ wherever they
appear, and add in their place ‘‘CBP’’
and remove ‘‘258(c)(E)(i)’’ and add
‘‘258(c)(4)(E)(i)’’ in its place; and
■ ii. In the second sentence, remove the
words ‘‘The Service’’ and add in their
place ‘‘CBP’’; and
■ j. In paragraph (e):
■ i. In the first sentence, remove the
word ‘‘shall’’ and add in its place
‘‘must’’; and
■ ii. In the second sentence, remove
‘‘noted on the Form I–410’’ and add in
its place ‘‘indicated on the
electronically populated, or in the
circumstances specified in section 251.1
of this chapter, paper, Form I–418’’.
E:\FR\FM\28DER1.SGM
28DER1
Federal Register / Vol. 86, No. 246 / Tuesday, December 28, 2021 / Rules and Regulations
TITLE 19—CUSTOMS DUTIES
§ 4.7a. Inward manifest; information
required; alternative forms.
PART 4—VESSELS IN FOREIGN AND
DOMESTIC TRADES
*
7. The general authority citation for
part 4 continues to read 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.
8. Amend § 4.7 by revising paragraph
(a) to read as follows:
■
§ 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 must have on board the
vessel a manifest, as required by section
431, Tariff Act of 1930 (19 U.S.C. 1431),
and by this section. The manifest must
be legible and complete. If it is in a
foreign language, an English translation
must be furnished with the original and
with any required copies. The required
manifest consists 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, and
(3) Crew’s Effects Declaration, CBP
Form 1304, to which are attached
crewmembers’ declarations on CBP
Form 5129, if the articles will be landed
in the United States. Unless the
exception at 8 CFR 251.1(a)(6) applies
and a paper form is submitted, the
master must also electronically submit
the data elements required on CBP Form
I–418 via an electronic data interchange
system approved by CBP, which will be
considered part of the manifest. 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’’
must be inserted in item 16 of the Vessel
Entrance or Clearance Statement.
*
*
*
*
*
9. Amend § 4.7a as follows:
a. Remove paragraph (b)(2);
■ b. Redesignate paragraphs (b)(3) and
(b)(4) as paragraphs (b)(2) and (b)(3),
respectively;
■ c. Add paragraph (c)(5);
■ d. In paragraph (d), add the words
‘‘§ 4.7b and with’’ after ‘‘in accordance
with’’; and
■ e. Revise paragraph (e).
The addition and revision read as
follows:
■
khammond on DSKJM1Z7X2PROD with RULES
■
VerDate Sep<11>2014
20:57 Dec 27, 2021
Jkt 256001
*
*
*
*
(c) * * *
(5) Unaccompanied baggage must be
listed on CBP Form 1302, or transmitted
via an electronic data interchange
system approved by CBP.
*
*
*
*
*
(e) Passenger List. (1) The Passenger
List must be completed in accordance
with § 4.7b, § 4.50, and with the
requirements of applicable DHS
regulations administered by CBP (8 CFR
part 231).
*
*
*
*
*
■ 10. Amend § 4.50 as follows:
■ a. In paragraph (a), remove the second
sentence;
■ b. Add paragraph (c).
The addition reads as follows:
§ 4.50
Passenger lists.
*
*
*
*
*
(c) By the act of submitting the data
elements required on CBP Form I–418
via an electronic data interchange
system approved by CBP, the master
certifies that CBP baggage declaration
requirements have been made known to
incoming passengers; that any required
CBP baggage declarations have been or
will simultaneously be filed as required
by law and regulation with the proper
CBP officer; that the responsibilities of
the vessel operator have been or will be
done as required by law or regulation
before the proper CBP officer; and that
there are no steerage passengers on
board the vessel.
§ 4.81
[Amended]
11. In § 4.81, amend paragraph (d) by
removing the phrase‘‘, or Customs and
Immigration Form I–418 with attached
Customs Form 5129,’’.
■ 12. In § 4.85 amend paragraph (c)(1)
by:
■ a. In the third sentence, removing the
words ‘‘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,’’; and
■ b. Adding a sentence following the
third sentence.
The addition reads as follows:
■
§ 4.85 Vessels with residue cargo for
domestic ports.
*
*
*
*
*
(c) * * *
(1) * * * The master must also
update the data elements required on
CBP Form I–418 that were electronically
submitted via an electronic data
interchange system approved by CBP for
PO 00000
Frm 00017
Fmt 4700
Sfmt 4700
73631
any passengers on board that are
manifested for discharge at that port.
* * *
*
*
*
*
*
§ 4.91
[Amended]
13. In § 4.91 amend paragraph (c) by
removing, in the second sentence, the
words ‘‘Passenger List, Customs and
Immigration Form I–418’’ and adding in
their place ‘‘updated data elements
required on CBP Form I–418 that were
submitted electronically via an
electronic data interchange system
approved by CBP’’
■
Alejandro N. Mayorkas,
Secretary, U.S. Department of Homeland
Security.
[FR Doc. 2021–27571 Filed 12–27–21; 8:45 am]
BILLING CODE 9111–14–P
NUCLEAR REGULATORY
COMMISSION
10 CFR Parts 11, 25, and 95
[NRC–2020–0133]
RIN 3150–AK49
Access Authorization Fees
Nuclear Regulatory
Commission.
ACTION: Direct final rule.
AGENCY:
The U.S. Nuclear Regulatory
Commission (NRC) is amending its
regulations to update the access
authorization fees charged to NRC
licensees for work performed under the
Material Access Authorization Program
and the Information Access Authority
Program. The change in fees is due to an
increase in the review time for each
application for access authorization.
This amendment is prompted by a
recent audit of fees performed by an
external certified public accounting and
financial management services firm and
ensures that the NRC continues to
recover the full costs of processing
access authorization requests from NRC
licensees. The direct final rule also
makes two administrative changes to
revise definitions to include new
naming conventions for background
investigation case types and to specify
the electronic process for completing
security forms.
DATES: The final rule is effective March
14, 2022, unless significant adverse
comments are received by January 27,
2022. If the direct final rule is
withdrawn as a result of such
comments, timely notification of the
withdrawal will be published in the
Federal Register. Comments received
SUMMARY:
E:\FR\FM\28DER1.SGM
28DER1
]]>Agencies
[Federal Register Volume 86, Number 246 (Tuesday, December 28, 2021)]
[Rules and Regulations]
[Pages 73618-73631]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-27571]
-----------------------------------------------------------------------
DEPARTMENT OF HOMELAND SECURITY
8 CFR Parts 251 and 258
U.S. Customs and Border Protection
19 CFR Part 4
[Docket No. USCBP-2021-0046; CBP Dec. No. 21-19]
RIN 1651-AB18
Automation of CBP Form I-418 for Vessels
AGENCY: U.S. Customs and Border Protection, DHS.
ACTION: Interim final rule; solicitation of comments.
-----------------------------------------------------------------------
SUMMARY: This rule amends the regulations in title 8 and title 19 of
the Code of Federal Regulations (CFR) regarding the submission of U.S.
Customs and Border Protection (CBP) Form I-418, Passenger List--Crew
List (Form I-418) in paper form. Currently, the master or agent of
every commercial vessel arriving in the United States, with limited
exceptions, must submit Form I-418, along with certain information
regarding longshore work, in paper form to CBP at the port where
immigration inspection is performed. Most commercial vessel operators
are also required to submit a paper Form I-418 to CBP at the final U.S.
port prior to departing for a foreign place. DHS is modifying the
applicable regulations to provide for the electronic submission of Form
I-418. Under this rule, vessel operators will be required to
electronically submit the data elements on Form I-418 to CBP through an
electronic data interchange system (EDI) approved by CBP in lieu of
submitting a paper form. This will streamline vessel arrival and
departure processes by providing for the electronic submission of the
information collected
[[Page 73619]]
on the Form I-418, eliminating redundant data submissions, simplifying
vessel inspections, and automating recordkeeping.
DATES:
Effective date: This rule is effective February 28, 2022.
Comments due date: Comments must be received on or before February
28, 2022.
ADDRESSES: You may submit comments, identified by docket number, by the
following method:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments via docket number
USCBP-2021-0046.
Due to COVID-19-related restrictions, CBP has temporarily suspended
its ability to receive public comments by mail.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to https://www.regulations.gov, including any
personal information provided. For detailed instructions on submitting
comments and additional information on the rulemaking process, see the
``Public Participation'' heading of the Supplementary Information
section of this document.
Docket: For access to the docket to read background documents or
comments received, go to https://www.regulations.gov. Due to relevant
COVID-19-related restrictions, CBP has temporarily suspended on-site
public inspection of submitted comments.
FOR FURTHER INFORMATION CONTACT: For title 8 of the Code of Federal
Regulations inquiries, contact Stephen Dearborn, Enforcement Programs
Division, Admissibility and Passenger Programs, Office of Field
Operations, [email protected] or (202) 344-1707; for title
19 of the Code of Federal Regulations inquiries, contact Brian Sale,
Manifest and Security Division, Cargo and Conveyance Security, Office
of Field Operations, [email protected] or (202) 325-3338.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Public Participation
II. Background
A. Overview
B. Current Commercial Vessel Arrival and Departure Processing
C. Form I-418 Automation Test Program
D. Form I-418 Automation Regulations
E. Discussion of Regulatory Changes
1. 8 CFR part 251
2. 8 CFR part 258
3. 19 CFR part 4
III. Statutory and Regulatory Requirements
A. Administrative Procedure Act
B. Executive Order 13563 (Improving Regulation and Regulatory
Review) and Executive Order 12866 (Regulatory Planning and Review)
C. Regulatory Flexibility Act
D. Unfunded Mandates Reform Act of 1995
E. Executive Order 13132
F. Executive Order 12988 Civil Justice Reform
G. Paperwork Reduction Act
H. Privacy Interests
List of Subjects
Amendments to the Regulations
I. Public Participation
Interested persons are invited to participate in this rulemaking by
submitting written data, views, or arguments on all aspects of this
interim final rule. The Department of Homeland Security (DHS) and U.S.
Customs and Border Protection (CBP) invite comments that relate to the
economic, environmental, or federalism effects that might result from
this interim final rule. Comments that will provide the most assistance
to CBP will reference a specific portion of the interim final rule,
explain the reason for any recommended change, and include data,
information, or authority that support such recommended change.
II. Background
A. Overview
As discussed in detail below, current regulations require
commercial vessels and their operators \1\ to meet several data
submission requirements when arriving in the United States from a
foreign place or outlying possession of the United States and when
departing the United States for a foreign place or outlying possession
of the United States. Both CBP and the U.S. Coast Guard (USCG) collect
information in these contexts, and many of the data elements that the
two agencies collect overlap. Some of this data must be submitted
electronically, while some of it must be submitted on paper, such as
the Form I-418, Passenger List--Crew List. See section 251.5 of title 8
of the Code of Federal Regulations (8 CFR 251.5). Through this rule,
CBP is streamlining the vessel arrival and departure processes by
eliminating redundant data submissions, providing for the electronic
submission of the information collected on the Form I-418, simplifying
vessel inspections, and automating recordkeeping for the Form I-418.
---------------------------------------------------------------------------
\1\ For the purposes of this document, vessel ``operators''
include masters or commanding officers, or authorized agents,
owners, or consignees.
---------------------------------------------------------------------------
The USCG requires commercial vessel operators to submit a Notice of
Arrival (NOA) to the National Vessel Movement Center (NVMC) \2\ through
its electronic Notice of Arrival/Departure (eNOA/D) system or via email
in advance of U.S. arrival.\3\ See 33 CFR 160.201-216. In addition to
other data elements, each NOA must include information on the crew and
passengers on board the vessel. See 33 CFR 160.206(a). Upon
satisfactory submission, USCG processes the information via the eNOA/D
web portal and then the system automatically transmits it to CBP as an
Advance Passenger Information System (APIS) manifest. An APIS manifest
is a CBP pre-arrival requirement. See 8 CFR 231.1(a) and 19 CFR 4.7b.
---------------------------------------------------------------------------
\2\ The NVMC was established by USCG in 2001 to operate as a
single clearinghouse for the submission and processing of notice of
arrival and departure information for vessels entering and departing
U.S. ports and facilities.
\3\ When a vessel operator is in an area without internet access
or experiences technical difficulties, and he or she has no shore-
side support available, the vessel operator may fax or phone the
submission to the NVMC. See 33 CFR 160.210(a).
---------------------------------------------------------------------------
In addition to the APIS manifest data, which must be submitted
electronically to CBP prior to arrival, DHS regulations require the
master or agent of every vessel arriving in the United States from a
foreign place or outlying possession of the United States, with the
exception of certain vessels in the Great Lakes, to present a manifest
of all crewmen onboard, on a Form I-418, to CBP at the port of entry
where immigration inspection is performed.4 5 See 8 CFR
251.1(a)(1). Manifest information collected on the Form I-418 includes
details about the passengers and crewmen on board the vessel and
whether any of the crewmen will be performing longshore work at any
U.S. port before the vessel departs from the United States. See 8 CFR
251.1. If longshore work is to be performed, Form I-418 requires the
vessel operator to note which exception of the Immigration and
Nationality Act permits the work. See 8 CFR 251.1(a)(2)(ii) and 258.2.
---------------------------------------------------------------------------
\4\ For more information on the exemptions for certain Great
Lakes vessels, see 8 CFR 251.1(a)(3).
\5\ Due to the high volume of crew and passengers on cruise
ships, cruise ship operators generally submit the two signature
pages of the Form I-418 on paper along with a compact disc
containing their passenger and crew manifest details.
---------------------------------------------------------------------------
If manifest information changes after the initial submission, the
vessel operator must update the APIS manifest electronically through
the eNOA/D system. See 19 CFR 4.7b(b)(2)(ii). Additionally, a CBP
officer at the coastwise port generally updates the vessel's original
paper Form I-418 to reflect any changes.
[[Page 73620]]
Upon departure from the United States, USCG collects updated
manifest information from commercial vessel operators via a Notice of
Departure (NOD) submitted to the NVMC through eNOA/D or another
electronic format. See 33 CFR 160.201-216. Also at the time of
departure, CBP requires vessel operators to update their original paper
Form I-418 submission to include a list of departing crew, crew
changes, and trip departure details.\6\ See 8 CFR 251.3. A CBP officer
at the port of departure typically verifies any changes to the Form I-
418 information and sends the updated form to the vessel's first port
of arrival for final data reconciliation and recordkeeping purposes.
---------------------------------------------------------------------------
\6\ Certain Great Lakes vessels are also exempt from this
requirement. See 8 CFR 251.3(b).
---------------------------------------------------------------------------
Despite similarities in the vessel arrival and departure data
submitted in accordance with the Form I-418, APIS, and USCG
requirements, data transmitted electronically, such as through eNOA/D,
does not satisfy the current Form I-418 regulatory requirements, which
state that Form I-418 must be submitted in paper format. See 8 CFR
251.5. As described in depth below, these overlapping submission
requirements create a substantial burden on vessel operators, and the
maintenance, verification, and storage of the paper Form I-418 is a
significant burden on CBP officers and the agency as a whole.
To reduce redundant data submissions and to ease burdens on vessel
operators and the agency itself, CBP is modifying its regulations to
allow for the electronic submission of Form I-418 only. The updated
regulations require vessel operators to submit the data elements
required on Form I-418 electronically via an electronic data
interchange system (EDI) approved by CBP. Presently, the CBP-approved
EDI is eNOA/D. Data submitted via eNOA/D will be automatically
transmitted to CBP, which will use the information to populate an
electronic version of the Form I-418.\7\ The information currently
collected through eNOA/D will satisfy the required data elements for
populating the electronic version of the Form I-418 for CBP's purposes.
The act of electronically submitting the data elements required on Form
I-418 constitutes the Master's certification that CBP baggage
declaration requirements have been made known to incoming passengers;
that any required CBP baggage declarations have been or will
simultaneously be filed as required by law and regulation with the
proper CBP officer; that the responsibilities of the vessel operator
have been or will be done as required by law or regulation before the
proper CBP officer; and that there are no steerage passengers on board
the vessel. As explained further below, CBP will no longer collect the
vessel operator's signature for the Master's certification during
inspection. The electronically submitted information will then be
reviewed and confirmed by the inspecting CBP officer. This rule will
streamline vessel arrival and departure processes by eliminating
redundant data submissions, simplifying vessel inspections, and
automating recordkeeping. Any changes regarding the CBP-approved EDI
will be announced in a notice published in the Federal Register.
---------------------------------------------------------------------------
\7\ The embark date required on Form I-418 is transmitted to CBP
via eNOA/D. The disembark date/date separated (i.e., the date when a
crewmember permanently departs the vessel) is calculated by CBP.
This rule does not change this practice.
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B. Current Commercial Vessel Arrival and Departure Process
Commercial vessels arriving at and departing from U.S. ports of
entry must comply with statutory and regulatory requirements to engage
in U.S. trade.\8\ Commercial vessels, regardless of whether they are
cargo, non-cargo,\9\ or cruise ships, traveling to a U.S. port of entry
from a foreign port or place must begin their trip by submitting
certain manifest information electronically to USCG and CBP prior to
arrival. Once at a U.S. port of entry, commercial vessels must submit
additional information and undergo customs and immigration inspections
and processing. These arrival requirements vary by commercial vessel
type and slightly differ by port of entry.
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\8\ The regulatory requirements concerning how and when a vessel
operator must submit an I-418 are contained in parts 251 and 258 of
title 8 of the Code of Federal Regulations, and in part 4 of title
19 of the Code of Federal Regulations.
\9\ For the purposes of this document, non-cargo commercial
vessels include all commercial vessels other than cargo ships and
cruise ships. Tugboats fall under this classification.
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1. Cargo and Non-Cargo Vessels
In general, upon a cargo or non-cargo vessel's arrival, CBP
officers at the port of entry travel to the vessel's docking station
and board it. Next, CBP requests and reviews the vessel's entry and
manifest documentation, along with passenger and crew passports and
visas. For manifest verification, the vessel's operator or agent
typically submits two copies of the vessel's passenger and crew
manifest using Form I-418 to the CBP officers aboard the vessel. CBP
uses the paper Form I-418 for crew and passenger admissibility
inspections and processing.
During the admissibility inspection process, a CBP officer verifies
the actual crew and passengers on hand and those departing the vessel
using a copy of the paper Form I-418, the previously submitted APIS
manifest, pre-arrival screening results, and passports and visas.
Barring any unresolvable issues, the CBP officer annotates the
inspection results, including any discrepancies, on the paper Form I-
418 submissions. The CBP officer collects the vessel operator's
signature on the form and signs and stamps the documents. The CBP
officer then provides one copy of the signed, stamped, and annotated
Form I-418 to the vessel operator to use during coastwise travel and
upon departure from the United States. The CBP officer at the first
port of arrival retains the other copy of the original signed, stamped,
and annotated Form I-418 for subsequent data reconciliation and
recordkeeping purposes.
After the admissibility inspections and processing are complete,
the CBP officers disembark the vessel, travel back to their port
office, manually record the results of their inspections and related
actions into CBP data systems, and send applicable Form I-418
supporting documentation, to the next port of arrival.
Once granted entry, the vessel may engage in further coastwise
travel within the territorial waters of the United States or depart the
United States. If manifest information changes after initial
submission, the vessel operator must update the APIS manifest
electronically through the eNOA/D system. The vessel operator must also
present the initial signed, stamped, and annotated Form I-418 copy to a
CBP officer when requested at a coastwise port of arrival.\10\ The CBP
officers at these subsequent ports of arrival update the Form I-418 to
reflect any manifest changes, verify new supporting documentation if
applicable, take admissibility actions as necessary, and provide the
updated Form I-418 to the vessel operator for further U.S. travel and
ultimate departure. The CBP officers at each coastwise port send a copy
of the updated Form I-418 to the vessel's first port of arrival for
data reconciliation and recordkeeping purposes.
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\10\ Per sections 235 and 252 of the Immigration and Nationality
Act, CBP may board and inspect vessels at subsequent coastwise ports
of arrival. See 8 U.S.C. 1225(d); See also 8 U.S.C. 1282.
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Upon departure from the United States, USCG requires commercial
vessel operators to submit a NOD to
[[Page 73621]]
NVMC through eNOA/D or another electronic format. CBP requires these
vessel operators to update their APIS manifest electronically through
the eNOA/D system; update their paper Form I-418 to include a list of
departing crew, crew changes, and trip departure details; and submit
the paper Form I-418 to CBP. A CBP officer at the port of departure
verifies any additional modifications to the form information and sends
the completed Form I-418 and supporting documentation to the vessel's
first port of arrival. There, a CBP officer manually reconciles the
original Form I-418 retained during the initial arrival inspection with
the subsequently updated versions of the form and related
documentation.
CBP officers spend considerable time vetting pre-arrival data,
traveling to/from a vessel, boarding/disembarking the ship, and
conducting admissibility inspections and processing. In addition, CBP
officers typically spend 120 minutes (2 hours) performing post-
inspection processing for each vessel's paper Form I-418 submission
from arrival to departure.\11\ This includes the time CBP spends
manually recording form information and actions into CBP systems,
communicating between ports of arrival and departure, manually
validating and reconciling data, gathering and sending supporting
documentation, physically storing and shipping the manifest package,
and tracking the manifest package.
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\11\ Source: Correspondence with CBP's Office of Field
Operations on November 6, 2020.
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2. Cruise Ships
Cruise ships follow slightly different procedures from cargo and
non-cargo vessels upon arriving at a U.S. port of entry. At their first
port of arrival, cruise ship crewmembers and passengers generally
offload the ship at a designated terminal, where CBP officers are
stationed and readily available to conduct customs and immigration
inspections and processing. Under the standard arrival process, the
cruise ship operator generally provides two copies of Form I-418's
complete passenger and crew manifest with all printed pages.\12\ Cruise
ship operators arriving at some POEs submit just two copies of the two
signature pages of the paper Form I-418 and a compact disc of the
manifest in lieu of submitting numerous pages of paper to CBP.
---------------------------------------------------------------------------
\12\ An unknown number of cargo and non-cargo vessel operators
and cruise ship operators arriving/departing at some POEs may
provide additional copies of the Form I-418 to CBP during each
standard arrival/departure. Source: Email correspondence with CBP's
Office of Field Operations on November 18, 2020.
---------------------------------------------------------------------------
During the standard admissibility inspection process, a CBP officer
validates and verifies the cruise ship's actual crew and passengers on
hand and those departing the vessel generally using the Form I-418, the
previously submitted APIS manifest, pre-arrival screening results, and
passports and visas. Any inspection results and admission/landing
rights from such processing are directly recorded into CBP data
systems. During cruise ship crew and passenger processing, the CBP
officer also collects the vessel operator's signature on the form
copies, signs and stamps the documents. The CBP officer then provides
one copy of the signed and stamped Form I-418 or signature pages for
the vessel operator to retain and use in coastwise travel and upon
departure from the United States. The CBP officer at the first port of
arrival retains the other copy of the signed, stamped, and annotated
Form I-418 or signature pages for subsequent data reconciliation and
recordkeeping purposes.
Once granted entry, the cruise ship may engage in further coastwise
travel or depart the United States. If manifest information changes
during coastwise movement, the vessel operator must update the APIS
manifest electronically through the eNOA/D system. The vessel operator
must also present the initial signed, stamped, and annotated Form I-418
signature pages to a CBP officer at each coastwise port of arrival upon
request. The CBP officers at these subsequent ports of arrival review
the Form I-418 or signature pages and update CBP data systems to
reflect any manifest changes, verify new, applicable supporting
documentation, take admissibility actions as necessary, and provide the
Form I-418 or signature pages to the vessel operator for further U.S.
travel.
As discussed above, upon departure from the United States, USCG
requires commercial vessel operators to submit a NOD to the NVMC
through eNOA/D or another electronic format. CBP requires these vessel
operators to update their APIS manifest electronically through an
approved system (currently, the eNOA/D system) and submit the two
signature pages of the signed and stamped Form I-418 to CBP. See 8 CFR
251.3. A CBP officer at the port of departure verifies any additional
modifications to the form information and sends the completed Form I-
418 signature page and supporting documentation to the vessel's first
port of arrival. There, a CBP officer manually reconciles the original
Form I-418 signature page, supporting documentation, and manifest
compact disc with the subsequently updated versions of the form and
related documentation.
In addition to time spent vetting pre-arrival data and conducting
admissibility inspections and processing, CBP officers spend an average
of 20 minutes (0.333 hours) performing post-inspection processing for
each cruise ship's Form I-418 submission from arrival to departure.\13\
This includes the time CBP spends manually validating and reconciling
data, gathering supporting documentation, communicating between ports
of arrival and departure (when necessary), physically storing and
shipping the manifest package, and tracking the manifest package (when
necessary).
---------------------------------------------------------------------------
\13\ Source: Email correspondence with CBP's Office of Field
Operations on June 2, 2020.
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3. Additional Form I-418 Requirements for Vessels Under Title 19 CFR
Part 4 of title 19 of the CFR provides additional requirements as
to when and how a vessel operator must submit Form I-418. Under 19 CFR
4.7(a), the master of every vessel arriving in the United States and
required to make entry must have on board a manifest that includes Form
I-418. In some instances, a vessel operator may submit a Form I-418 in
lieu of the Crew's Effects Declaration, CBP Form 1304, with supporting
documentation. See 19 CFR 4.7(a), 4.7a(b)(2), and 4.81(d). However,
when given the option, most vessel operators submit CBP Form 1304
instead of Form I-418 with additional supporting documentation, such as
individual CBP Forms 5129, Crew Member's Declaration.
C. Form I-418 Automation Test Program
Recognizing the need to reduce redundant data collection and
implement a seamless process to receive and use vessel arrival and
departure information under various regulations, CBP developed a
voluntary Form I-418 automation test program. The program tested CBP's
ability to gather and reconcile information submitted for eNOA/D, APIS,
and other electronic purposes for use in generating an automated,
electronic Form I-418. CBP implemented this test in two phases as
described below. The test varied somewhat across participating ports.
Although the automated test program is still in operation at many ports
of entry, the test program will be replaced by the regulatory program
addressed in this rule.
[[Page 73622]]
CBP launched the first phase of the voluntary automation test
program at four ports of entry in January 2011. The first phase allowed
CBP officers and ports to evaluate the submission of Form I-418 data in
both electronic and paper format to verify the similarity of
information captured and identify any anomalies in the methods used.
Moreover, it allowed CBP officers to rely solely on electronic manifest
data submissions to build a vessel's departure manifest, thus
eliminating the need for vessel operators to submit the departure
manifest in paper format.
By June 2011, CBP implemented the second and final phase of the
voluntary test program, which fully transitioned the submission of Form
I-418 data to an automated, paperless process for certain commercial
vessel operators. In place of submitting the required I-418 information
on the paper Form I-418, vessel operators participating in the I-418
Automation test program could transmit this data through eNOA/D and
APIS data submissions. Under the automation test, CBP systems
automatically compiled eNOA/D, APIS, and any other electronic manifest
data submitted electronically by test participants prior to arrival and
at departure into a pre-populated electronic Form I-418. Upon a
participating cargo or non-cargo vessel's arrival, CBP largely pre-
vetted the electronic Form I-418 and printed out a paper copy of the
form for customs and immigration inspection and processing purposes.
As with current arrival requirements for cargo and non-cargo
commercial vessels, a CBP officer then boarded the vessel, conducted
inspections, annotated the admissibility inspection results on the
paper Form I-418, collected the vessel operator's signature on the
form, and signed and stamped the document. Before disembarking the
vessel, the CBP officer had the vessel operator make a copy of the
signed, stamped, and annotated paper Form I-418 for further coastwise
travel and departure. The CBP officer then returned to the port office
to manually record the inspection results and related actions annotated
on the original Form I-418 into CBP data systems.
For cruise ships participating in the I-418 Automation test
program, CBP generally pre-vetted the electronic Form I-418, printed
out a paper copy of the Form I-418's two signature pages, and conducted
passenger and crew processing like the standard process at a terminal.
Instead of requiring the submission of a full paper Form I-418 or
manifest CDs, CBP officers largely conducted arrival inspections and
processing electronically at the terminal. CBP officers also used the
two paper Form I-418 signature pages to collect the vessel operator's
signature and to sign and stamp the pages to generally meet existing
paper Form I-418 retention requirements.
Before departing for their next port of call, test participants
could transmit any manifest changes subsequent to the initial
inspection at the port of arrival via the eNOA/D system. These changes
included, but were not limited to, the sign-on or sign-off of
crewmembers. As under the standard commercial vessel arrival/departure
process, a CBP officer at the next port of call verified that the
information submitted met the vessel's regulatory requirements. Upon
departure from the United States, a CBP officer at the port of
departure performed an electronic reconciliation of the vessel's
arrival, coastwise, and departure manifest data and addressed any
discrepancies. Then, the officer sent all paper documentation,
typically via fax, to the first port of arrival.
In 2015, CBP migrated to mobile devices that allowed CBP officers
to electronically conduct Form I-418 processing for cargo and non-cargo
vessel arrivals (including I-418 Automation test program participants
and non-participants) at different ports of entry, thereby removing the
need to print off a paper Form I-418. With these devices, CBP officers
directly recorded the inspection results and related actions into CBP
data systems at the time of inspection and processing. In 2016, CBP
successfully deployed its preexisting electronic signature (hereafter,
``e-signature'') capability through its mobile devices at five major
sea ports of entry. This tool allowed for the electronic collection of
vessel operator and CBP officer signatures on the Form I-418, which
removed the need to print off a copy of the Form I-418 and have the
vessel operator sign it. Despite these streamlined electronic
processing methods, CBP continued to also record vessel inspection
results and signatures on the paper form and physically stamp the form
to meet the regulatory requirements in place regarding the submission
and retention of paper Form I-418.
Most U.S. ports of entry along with approximately 15 percent of
cargo and non-cargo vessels and 56 percent of cruise ships are fully or
partially participating in the above-described voluntary automation
test program, including electronic submissions and e-signature
capabilities.\14\
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\14\ Based on fiscal year (FY) 2019 data.
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D. Form I-418 Automation Regulatory Program
CBP is amending its regulations to require the electronic
submission of the data elements required on Form I-418 in lieu of its
current paper form. This will streamline vessel arrival and departure
processes by eliminating redundant data submissions, simplifying vessel
inspections, and automating recordkeeping. The updated regulations will
require vessel operators to electronically submit the data elements
required on the Form I-418 via an EDI approved by CBP. CBP will
continue to use the eNOA/D system as the approved EDI. Under this
process, CBP systems will compile eNOA/D, APIS, and any other
electronic manifest data submitted by vessel operators to the NVMC
prior to arrival and at departure into an automated CBP system. CBP
will use its system for all commercial vessel crew and passenger
admissibility inspections and processing, and thus generally establish
a fully paperless passenger and crew list process for all commercial
vessel arrivals and departures. Any changes to the CBP-approved EDI
will be announced in a notice published in the Federal Register.
With this automated system, for each commercial vessel arrival from
a foreign port or place, CBP will be able to pre-vet the vessel's
electronic passenger and crew list, travel to/from and board/disembark
the vessel (for cargo and non-cargo vessels only), conduct inspections,
and record the admissibility inspection results and related actions in
real time using a mobile device or computer station (for the majority
of cruise ships).\15\ During arrivals/departures processed with mobile
devices, CBP officers will directly record the inspection results and
related actions into CBP data systems at the time of inspection and
processing, eliminating the need for CBP officers to manually input the
inspection results and related actions into CBP data systems later at
the port office. CBP will also use the mobile devices to verify the
electronically submitted data during the inspection process. The
inspecting CBP officer will no longer collect the vessel operator's
signature for the Master's certification, as now the act of submitting
the data electronically will constitute certification. Once the
passenger and crew list is verified electronically by the inspecting
CBP officer, CBP will
[[Page 73623]]
generate and transmit a read-only copy of the electronic Form I-418,
only upon request, with an electronic CBP receipt number, by email to
the vessel operator for use during coastwise movement or upon departure
from the United States. The verified electronic passenger and crew list
will also be converted to a writeable file and stored in CBP data
systems.
---------------------------------------------------------------------------
\15\ CBP processes the majority of cruise ship arrivals at
terminals using computer stations; however, CBP now processes some
cruise ship arrivals using mobile devices.
---------------------------------------------------------------------------
As in the automation test program, before departing for their next
port of call, vessel operators will be able to transmit any manifest
changes subsequent to the vessel's inspection at the first port of
arrival via the NVMC. A CBP officer at the next port of arrival will
verify these changes and record all updates, inspection results, and
related actions in real time in the CBP system using a mobile device or
computer station. The CBP officer will then save the updated electronic
passenger and crew list in CBP data systems, and email a read-only copy
to the vessel operator, if requested. Upon departure from the United
States, a CBP officer at the port of departure will verify the vessel's
arrival, coastwise, and departure manifest data, which CBP data systems
will reconcile automatically, and address any discrepancies.
Thereafter, the CBP officer will save the completed electronic
passenger and crew lists in CBP data systems, where it will be stored
electronically for at least five years. In the limited instances where
a paper Form I-418 is submitted, CBP will continue its current process
of collecting, verifying, and physically storing all paper Form I-418
supporting documentation.
E. Discussion of Regulatory Changes
DHS is amending parts 251 and 258 of title 8 of the CFR, as well as
part 4 of title 19 of the CFR, as set forth below, to automate Form I-
418 and, in some provisions, eliminate the option to submit the Form I-
418 in lieu of other required forms in order to reflect current trade
practices and improve efficiency in data submission. The amendments
also update the regulations to incorporate ``plain language''
consistent with Executive Order 13563, ``Improving Regulation and
Regulatory Review'' (76 FR 3821).
1. 8 CFR Part 251
Section 251.1 addresses ``Arrival manifests and lists'' in the
immigration context. Section 251.1(a) sets out the requirements for
arrival manifests and lists for vessels. Specifically, this section
requires the master or agent of every vessel to submit a paper Form I-
418 to CBP at the port where immigration inspection is performed and
that the master or agent provide certain information regarding
longshore work. This section is being amended to reflect the new
procedure through which the information requested on Form I-418 and
about longshore work is submitted electronically through an EDI
approved by CBP. Conforming amendments are being made throughout this
section to accommodate the new submission process. For instance, where
the regulations state that the master or agent must ``note on'' the
manifest certain information about longshore work, the regulations are
being amended to state that this information must now be ``indicate[d]
in'' the manifest, because such additional information and annotations
will generally no longer be collected on a hard copy, but will be done
through an electronic interface.
Section 251.1(a) is also being amended to include two exceptions to
the new general rule that I-418 and longshore work data be submitted
electronically. The first exception is where the master or agent of the
vessel is unable to electronically submit the data elements required on
Form I-418 via an electronic data interchange system approved by CBP
due to technical issues, such as when the onboard computer system is
malfunctioning, or there is no internet access, and there is no shore-
side support available. The second is where CBP is experiencing
technical difficulties affecting its receipt or processing of
electronically submitted information, or where CBP, in its discretion,
determines that a paper Form I-418 is acceptable under the
circumstances presented by the master or agent of a vessel. The latter
includes, but is not limited to, where there is a medical or weather
emergency, or, in the case of longshore work, when information and
relevant data cannot be submitted through the eNOA/D system due to its
format.
Lastly, additional minor amendments are being made to section 251.1
to incorporate ``plain language'' including replacing the word
``shall'' with either ``must'' or ``will'', as appropriate.
Section 251.3 addresses ``Departure manifests and lists for
vessels'' in the immigration context. Specifically, this section
requires the master or agent of every vessel to submit a paper Form I-
418 to CBP at the port from which the vessel is to depart directly to
some foreign place or outlying possession of the United States. This
section is being amended to reflect the new procedure through which the
information requested on the Form I-418 is submitted electronically
through an EDI approved by CBP.
Section 251.3 is also being amended to include two exceptions to
the new general rule that I-418 data be submitted electronically. The
first is where the master or agent of the vessel is unable to
electronically submit the data elements required on Form I-418 via an
electronic data interchange system approved by CBP due to technical
issues, such as when an onboard computer system is malfunctioning. The
second exception allows for a paper Form I-418 to be submitted when CBP
is experiencing technical issues or where CBP, in its discretion,
determines that a paper Form I-418 is acceptable under the
circumstances presented by the master or agent of a vessel.
Section 251.5 requires the master or commanding officer, or
authorized agent, owner, or consignee, of a commercial vessel or
commercial aircraft arriving in or departing from the United States to
submit arrival and departure manifests in a paper format in accordance
with Sec. Sec. 251.1, 251.3, and 251.4. This section is being amended
to remove references to paper, as this information will now be
submitted electronically in the vessel context.
2. 8 CFR Part 258
Section 258.2 requires masters and agents who use nonimmigrant
crewmen to perform longshore work under one of the exceptions listed in
the section, to indicate on the crew manifest that an exception is
being used and to note which exception will be performed. Among other
things, it sets forth the documentation that must be presented. This
section is being amended to reflect the new procedure through which the
information requested on the Form I-418 is submitted electronically
through an EDI approved by CBP. This rule does not make changes to any
of the other documentation requirements in section 258.2. Additional
minor amendments are being made to section 258.2, such as replacing the
term ``shall'' with ``must.'' The term ``Immigration and Naturalization
Service'' is also being updated and replaced with ``CBP.''
3. 19 CFR Part 4
Section 4.7 concerns ``Inward foreign manifest; production on
demand; contents and form; advance filing of cargo declaration.''
Pursuant to section 4.7(a), a paper Form I-418 is a required document
for the manifest. This section is being amended to reflect the new
electronic submission of the data elements required on Form I-418.
Section 4.7(a) is being amended to require vessel operators to submit
the data elements required on Form I-418
[[Page 73624]]
via the EDI approved by CBP, and to provide that the electronic
submission will be considered part of the manifest required under this
section.
Section 4.7a addresses ``Inward manifest; information required;
alternative forms.'' Pursuant to Section 4.7a(b)(2), the master of a
vessel may, in lieu of describing the articles on CBP Form 1304,
furnish a CBP Form I-418. However, submitting CBP Form I-418 with the
required CBP Form 5129 instead of CBP Form 1304 generally takes more
time for the trade community to complete and takes more time for CBP to
review and process the forms, as well as providing redundant
information contained in other required forms. Therefore, to reflect
current trade practices and improve data submission efficiency, this
section is being amended to remove the option of filing a paper Form I-
418 instead of CBP Form 1304. Conforming edits are also being made to
section 4.7(a), for the same reason.
Sections 4.7a(d) and (e) are being amended to incorporate the
information submission requirements contained in section 4.7b
concerning the APIS data. Section 4.7a(e) is being amended to remove
the certification requirements. Currently, the regulation requires a
paper form certification to be attached to Form I-418. In light of the
automation of CBP Form I-418, it will be impractical to require a paper
form certification. Under this rule, vessel operators will be required
to submit the data elements required on CBP Form I-418 via an
electronic data interchange system approved by CBP. The regulation
specifies that the act of electronically submitting the data will serve
as the Master's certification, as described further in this preamble's
discussion of the amendments to section 4.50.
Section 4.50 concerns the passenger lists that the master of every
vessel arriving at a U.S. port from a foreign port or place must
submit. Specifically, section 4.50(a) requires the master of the vessel
to submit Form I-418 if the vessel is arriving from a noncontiguous
foreign territory and is carrying steerage passengers. Section 4.50(a)
is being amended to reflect the new procedure for submitting the data
elements of Form I-418 through an EDI approved by CBP, including
reference to the required information required under section 4.7b(b)(3)
for such passengers. Section 4.50 is also being amended to include a
new paragraph (c) that will replace the paper form certification
requirement in section 4.7a(e). New subsection 4.50(c), provides that
by the act of submitting the data elements required on CBP Form I-418
via an electronic data interchange system approved by CBP, the vessel
operator certifies that CBP baggage declaration requirements have been
made known to incoming passengers; that any required CBP baggage
declarations have been or will simultaneously be filed as required by
law and regulation with the proper CBP officer; that the
responsibilities of the vessel operator have been or will be done as
required by law or regulation before the proper CBP officer; and that
there are no steerage passengers on board the vessel.
Section 4.81 addresses ``Reports of arrivals and departures in
coastwise trade.'' Section 4.81(d) provides the master of the vessel
with an option of either submitting the traveling Crew's Effects
Declaration, Customs Form 1304, or Form I-418 with attached Customs
Form 5129, with the port director upon arrival at each port in the
United States. Like the amendment to remove the option to submit Form
I-418 in section 4.7a, this section is being amended to remove the
option of filing a Form I-418 instead of CBP Form 1304 to reflect
current trade practices and improve data submission and efficiency.
Section 4.91 concerns the diversion of a vessel and the
transshipment of cargo. Section 4.91(c) requires that when inward
foreign cargo or passengers are transshipped to another vessel under
customs supervision, a separate traveling manifest must be used for the
transshipped cargo or passengers. Section 4.91(c) provides the master
of the vessel with the option of submitting either a Cargo Declaration,
CBP Form 1302, or Form I-418. This section is being amended to reflect
the new procedure for submitting the data elements of Form I-418
through an EDI approved by CBP.
III. Statutory and Regulatory Requirements
A. Administrative Procedure Act
The Administrative Procedure Act (APA) generally requires agencies
to publish a notice of proposed rulemaking in the Federal Register (5
U.S.C. 553(b)) and provide interested persons the opportunity to submit
comments (5 U.S.C. 553(c)). However, the APA provides an exception to
this prior notice and comment requirement for ``rules of agency
organization, procedure, or practice'' 5 U.S.C. 553(b)(A). This interim
final rule is a procedural rule promulgated for efficiency purposes
that falls within this exception.
This rule is procedural because it merely automates an existing
reporting requirement for vessel masters or agents pursuant to existing
statutes and regulations. See 8 U.S.C. 1103, 1182, 1221, 1281, 1282; 8
CFR part 2; 19 U.S.C. 66, 1431, 1433, 1434, 1624, 2071 note; and 19 CFR
part 4. The rule changes the format in which vessel masters or agents
must present required information to CBP. Under the amended
regulations, vessel masters or agents will no longer be required to
complete and submit the paper Form I-418. Instead, all required
information must be submitted to CBP electronically through the
electronic data interchange system approved by CBP, which has been the
practice for most vessel masters and agents by submitting the
information through eNOA/D. This rule neither affects the substantive
criteria by which CBP officers inspect vessels upon arrival or
departure nor the nature of the information required by CBP.
Although this procedural rule is exempt from prior notice and
comments procedures, DHS is providing the public with the opportunity
to comment without delaying implementation of this rule. DHS will
respond to the comments received when it issues a final rule.
B. Executive Order 13563 (Improving Regulation and Regulatory Review)
and Executive Order 12866 (Regulatory Planning and Review)
Executive Orders 13563 (Improving Regulation and Regulatory Review)
and 12866 (Regulatory Planning and Review) direct agencies to assess
the costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility.
The Office of Management and Budget (OMB) has designated this rule
a ``significant regulatory action,'' although not economically
significant, under section 3(f) of Executive Order 12866. Accordingly,
the rule has been reviewed by OMB. CBP has also prepared a regulatory
impact assessment to help inform stakeholders of the impacts of this
rule, which CBP has summarized below. The complete standalone analysis
can be found in the public docket for this rulemaking at https://www.regulations.gov. The standalone analysis also focuses on the costs
and benefits experienced during the I-418 Automation test program
period (FY 2011 through FY 2020).
[[Page 73625]]
1. Executive Summary
Through the Automation of CBP Form I-418 for Vessels Interim Final
Rule, CBP will amend its regulations under 8 CFR part 251, 8 CFR part
258, and 19 CFR part 4 to require the electronic submission of the data
elements required from vessel operators on Form I-418 in lieu of paper
form submissions. CBP will no longer require the paper Form I-418. The
updated regulations will require vessel operators to electronically
submit the data elements required on the Form I-418 via an EDI approved
by CBP. CBP will continue to use USCG's eNOA/D system as the approved
EDI. Under this process, CBP systems will compile eNOA/D and other
electronic manifest data submitted by vessel operators prior to arrival
and at departure into a passenger and crew list format reflective of an
electronic Form I-418.\16\ The act of electronically submitting the
data elements required on Form I-418 will also constitute the (vessel)
Master's certification that the manifest information is accurate,\17\
and eliminate the current need to generally collect Form I-418's vessel
master (or operator) and CBP officer signatures for certification.\18\
CBP will also retain its authority to require paper Form I-418
submissions in the event of certain technical difficulties, such as
system outages and disruptions, that make it impossible to submit or
receive manifest data electronically, and according to CBP
discretion.\19\ This rule will streamline vessel arrival and departure
processes by eliminating redundant data submissions, simplifying vessel
inspections, and automating recordkeeping.
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\16\ The embark date required on Form I-418 is transmitted to
CBP via eNOA/D. The disembark date/date separated (i.e., the date
when a crewmember permanently departs the vessel) is calculated by
CBP systems. This rule does not change this practice.
\17\ This includes certifying that certification that CBP
baggage declaration requirements have been made known to incoming
passengers; that any required CBP baggage declarations have been or
will simultaneously be filed as required by law and regulation with
the proper CBP officer; that the responsibilities of the vessel
operator have been or will be done as required by law or regulation
before the proper CBP officer; and that there are no steerage
passengers on board the vessel.
\18\ CBP officer signatures are generally dictated on the form
as a unique receipt number tied to the officer. For the purposes of
this analysis, CBP refers to these receipt numbers as signatures.
\19\ The Automation of CBP Form I-418 for Vessels Interim Final
Rule describes particular exceptions to the electronic submission
requirement. In particular, CBP will also retain its authority to
require paper submissions in the event the master or agent of the
vessel is unable to electronically submit the data elements required
on Form I-418 via an electronic data interchange system approved by
CBP due to technical issues, such as when the onboard computer
system is malfunctioning or there is no internet access, and there
is no shore-side support available; CBP is experiencing technical
difficulties affecting its receipt or processing of electronically
submitted information; or where CBP, in its discretion, determines
that a paper Form I-418 is acceptable under the circumstances
presented by the master or agent of a vessel.
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CBP is currently operating an I-418 Automation test program, which
serves as the basis for the regulatory program. The impact of the I-418
Automation regulatory program will slightly differ from the I-418
Automation test program due to its complete paper Form I-418
automation, eased administrative burdens, and elimination of signatures
and paper processing. With its transition to a fully automated,
electronic passenger and crew list (i.e., Form I-418) process, the I-
418 Automation regulatory program will discontinue the test program.
Under the regulatory program, CBP systems will automatically reconcile
eNOA/D and other manifest data submitted electronically by vessel
operators prior to arrival and at departure into a passenger and crew
list format reflective of an electronic Form I-418. This transition
will affect commercial vessel operators and CBP.
Vessel operators will generally not incur any costs from this rule,
though CBP will. CBP will sustain technology and printing costs from
the regulatory program, including costs to maintain mobile devices for
real-time, electronic processing and print paper Form I-418s until the
admissibility inspection process is completely paperless. Across the
period of analysis, these monetized costs will equal $45,000 in present
value and $12,000 on an annualized basis. These costs represent the
total costs of the rule.
Following this rule's implementation, vessel operators will enjoy
$16.1 million in monetized present value cost savings from automated
Form I-418 submissions and forgone printing and dual processing between
FY 2021 and FY 2025 (using a 7 percent discount rate). During the same
period, CBP will experience a total monetized present value cost saving
of $37.2 million from the rule's forgone printing requirements,
streamlined mobile processing and post-inspection tasks, and forgone
storage and shipping costs (using a 7 percent discount rate). CBP may
dedicate these cost savings to other agency mission areas, such as
improving border security or facilitating trade. In total, the
monetized cost savings of this rule will equal $53.3 million in present
value and $13.9 million on an annualized basis over the period of
analysis (using a 7 percent discount rate).
The Executive Summary Table outlines the estimated costs and
benefits (cost savings) of the I-418 Automation regulatory program from
FY 2021 to FY 2025. As illustrated, the benefits (cost savings) of this
rule outweigh its costs, with the total monetized net benefit (net cost
saving) of the regulatory program measuring $53.3 million in present
value and $13.9 million on an annualized basis (using a 7 percent
discount rate).
Executive Summary Table: Net Benefit (Cost Saving) of I-418 Automation Regulatory Program, FY 2021-FY 2025
[2019 U.S. Dollars]
----------------------------------------------------------------------------------------------------------------
Present values Annualized values
---------------------------------------------------------------
3% Discount 7% Discount 3% Discount 7% Discount
rate rate rate rate
----------------------------------------------------------------------------------------------------------------
Total Cost...................................... $52,067 $45,458 $11,710 $11,863
Total Benefit................................... 62,546,086 53,306,084 14,066,940 13,910,918
---------------------------------------------------------------
Total Net Benefit........................... 62,494,018 53,260,626 14,055,230 13,899,055
----------------------------------------------------------------------------------------------------------------
Notes: The estimates in this table are contingent upon CBP's vessel arrival/departure projections as well as the
discount rates applied. Estimates may not sum to total due to rounding.
[[Page 73626]]
2. Purpose of Rule
Commercial vessels arriving at and departing from U.S. ports of
entry (POEs) must comply with statutory and regulatory requirements to
engage in U.S. trade. As previously mentioned, under current
regulations commercial vessels, regardless of whether they are cargo,
non-cargo,\20\ or cruise ships, traveling to U.S. POEs from a foreign
port or place must begin their trip by submitting similar manifest
information electronically to USCG through eNOA/D and APIS, and then
submitting the same manifest data to CBP on the paper Form I-418. At
departure, commercial vessels must submit similar departure data to
USCG and CBP. Despite similarities in the vessel arrival and departure
data submitted per Form I-418, APIS, and eNOA/D requirements, current
regulations do not allow data to be transmitted electronically, such as
through eNOA/D or email, to satisfy Form I-418's passenger and crew
list submission requirement. In fact, failure to submit the arrival or
departure manifest in paper format may result in fines and penalties.
To reduce redundant data submissions and automate manifest
recordkeeping, CBP launched the I-418 Automation test program in 2011.
This test has allowed for the automated, electronic submission of the
data elements on Form I-418 from test participants using manifest data
previously submitted electronically to the NVMC through eNOA/D, APIS,
or other means. Based on the successful operation of the test, CBP now
intends to establish the automated, electronic Form I-418 data
submission process by regulation.
---------------------------------------------------------------------------
\20\ For the purposes of this analysis, non-cargo commercial
vessels include all commercial vessels other than cargo ships and
cruise ships. Tugboats fall under this classification.
---------------------------------------------------------------------------
Through this rulemaking, CBP will amend its regulations under 8 CFR
part 251, 8 CFR part 258, and 19 CFR part 4 to require the electronic
submission of the data elements required from vessel operators on Form
I-418 in lieu of paper form submissions. CBP will generally no longer
require the paper Form I-418. The updated regulations will require
vessel operators to electronically submit the data elements required on
the Form I-418 via an EDI approved by CBP. CBP will continue to use the
eNOA/D system as the approved EDI. Under this process, CBP systems will
compile eNOA/D, APIS, and any other electronic manifest data submitted
by vessel operators prior to arrival and at departure into a passenger
and crew list format reflective of an electronic Form I-418.\21\ The
act of electronically submitting the data elements required on Form I-
418 will also constitute the (vessel) Master's certification that the
manifest information is accurate,\22\ and eliminate the current need to
generally collect Form I-418's vessel master (or operator) and CBP
officer signatures for certification.\23\ CBP will also retain its
authority to require paper Form I-418 submissions in the event of
certain technical difficulties, such as system outages and disruptions,
that make it impossible to submit or receive manifest data
electronically, and according to CBP discretion.\24\ This rule will
streamline vessel arrival and departure processes by eliminating
redundant data submissions, simplifying vessel inspections, and
automating recordkeeping.
---------------------------------------------------------------------------
\21\ The embark date required on Form I-418 is transmitted to
CBP via eNOA/D. The disembark date/date separated (i.e., the date
when a crewmember permanently departs the vessel) is calculated by
CBP systems. This rule does not change this practice.
\22\ This includes certifying that certification that CBP
baggage declaration requirements have been made known to incoming
passengers; that any required CBP baggage declarations have been or
will simultaneously be filed as required by law and regulation with
the proper CBP officer; that the responsibilities of the vessel
operator have been or will be done as required by law or regulation
before the proper CBP officer; and that there are no steerage
passengers on board the vessel.
\23\ CBP officer signatures are generally dictated on the form
as a unique receipt number tied to the officer. For the purposes of
this analysis, CBP refers to these receipt numbers as signatures.
\24\ As described above, CBP will retain its authority to
require paper submissions in the event the master or agent of the
vessel is unable to electronically submit the data elements required
on Form I-418 via an electronic data interchange system approved by
CBP due to technical issues, such as when the onboard computer
system is malfunctioning or there is no internet access, and there
is no shore-side support available; CBP is experiencing technical
difficulties affecting its receipt or processing of electronically
submitted information; or where CBP, in its discretion, determines
that a paper Form I-418 is acceptable under the circumstances
presented by the master or agent of a vessel.
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3. Population Affected by Rule
This rule will affect commercial vessel operators and CBP, though
at different magnitudes according to the arriving vessel type and I-418
Automation test program participation during the period of analysis
spanning from FY 2021 to FY 2025. To determine the extent of the
population affected by this rule, CBP relies on historical commercial
vessel arrivals/departures and test participation data.
From FY 2015 to FY 2019, cargo and non-cargo vessel arrivals/
departures of I-418 Automation test program participants grew at a
compound annual rate of 6.0 percent while non-participant cargo and
non-cargo vessel arrivals/departures declined at a compound annual rate
of 1.9 percent. During the same period, participant and non-participant
cruise ship arrivals/departures both grew at a compound annual rate of
2.4 percent (see Table 1). In the future, CBP projects that commercial
vessel arrivals/departures will remain consistent with their more
conservative historical trends prior to the COVID-19 pandemic beginning
in 2020. Accordingly, CBP estimates that future cargo and non-cargo
vessel arrivals/departures of I-418 Automation test program
participants will increase increasing at a rate of 6.0 percent per
year, non-participant cargo and non-cargo vessel arrivals/departures
will decrease at a rate of 1.9 percent per year, and all cruise ship
arrivals/departures will increase at a rate of 2.4 percent per year
from their FY 2019 values between FY 2021 and FY 2025.\25\ CBP believes
that these projections best represent the normal, recent growth of
commercial vessel arrivals/departures while still accounting for the
projected economic and travel slowdowns due to the COVID-19 pandemic.
CBP did not use FY 2020 data as a basis for future growth because it
exhibits extreme, abnormal drops in vessel arrivals/departures due to
the COVID-19 pandemic beginning during that year.
[[Page 73627]]
However, CBP recognizes the uncertainty in this assumption and that the
rate of economic recovery from the COVID-19 pandemic will depend on
many factors, including how quickly businesses can recover, rates of
infection, and global supply chains. CBP does not believe that this
rule will directly affect the volume of future commercial vessel
arrivals/departures, and thus predicts that the projected arrivals/
departures will be the same with and without this rule's implementation
(i.e., the baseline).
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\25\ Based on historical commercial vessel data and future
commercial vessel demand outlooks. For future cargo and non-cargo
vessel outlook information, see: Pallis, Athanasios A, et al.
Transport and Trade Facilitation: COVID-19 and Maritime Transport
Impact and Responses, United Nations Conference on Trade and
Development (UNCTAD), Series No. 15, March 2021. Available at
https://unctad.org/system/files/official-document/dtltlb2021d1_en.pdf. Accessed July 23, 2021; World Bank Group.
Global Economic Prospects. Chpt. 1. World Bank Group Publishing.
June 2021. Available at https://openknowledge.worldbank.org/bitstream/handle/10986/35647/9781464816659-ch01.pdf. Accessed July
23, 2020; ``Moody's: Outlook for US public ports revised to stable
on strengthening economic activity, improving cargo volumes.''
Moody's Investors Service, December 7, 2020. Available at https://www.moodys.com/researchdocumentcontentpage.aspx?docid=PBC_1247050.
Accessed July 23, 2021; Ohse, Friedemann. ``Will 2021 bring about
recovery for the global maritime industry?'' OceanInsights,
September 30, 2020. Available at https://www.ocean-insights.com/business-news/will-2021-bring-about-recovery-for-the-global-maritime-industry/?cli_action=1602257398.7141/8. Accessed October 9,
2020. For future cruise ship outlook information, see: Giese,
Monique. ``COVID-19 Impacts on Cruise Industry.'' KPMG, July 23,
2020. Available at https://home.kpmg/xx/en/blogs/home/posts/2020/07/covid-19-impacts-on-global-cruise-industry.html. Accessed October
23, 2020; McMahon, Shannon. ``5 takeaways from the cruise industry's
report on a return to sailing.'' Washington Post, September 21,
2020. Available at https://www.washingtonpost.com/travel/2020/09/21/cruise-return-report-covid-19/. Accessed October 23, 2020.
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To estimate future commercial vessel arrivals/departures with and
without this rule, CBP first applies the projected growth rates for
cargo and non-cargo vessel arrivals/departures of I-418 Automation test
program participants and non-participants (6.0 percent and 1.9 percent,
respectively) and cruise ship arrivals/departures (2.4 percent) to
their respective FY 2019 values (see Table 1). CBP then projects the
estimates forward through the period of analysis, FY 2021 to FY 2025.
When making such projections, CBP presumes that the I-418 Automation
test program will continue to exist during the period of analysis in
the absence of any rulemaking to automate the Form I-418 process. In
contrast, the test program will transition into a regulatory program in
which all commercial vessel operators participate in an automated Form
I-418 data submission process upon this rule's implementation.
As previously stated, CBP does not believe that this rule will
directly affect the future volume of commercial vessel arrivals/
departures, and thus predicts that future commercial vessel arrivals/
departures will be the same with and without this rule's implementation
(i.e., the baseline). As Table 1 shows, CBP estimates that almost
424,000 commercial vessel arrivals/departures will occur between FY
2021 and FY 2025, including 372,000 cargo and non-cargo vessel
arrivals/departures and 53,000 cruise ship arrivals/departures. Nearly
98,000 (23 percent) of these arrivals/departures will correspond to
former (or ongoing in the absence of this rule) I-418 Automation test
program participants, while the remaining 326,000 (77 percent) will
correspond to non-former I-418 Automation test program participants (or
non-test participants in the absence of this rule). Nearly all of these
vessel operators will be affected by the rule. Of the arrivals/
departures of former (or ongoing) I-418 Automation test program
participants, CBP estimates that 50 percent will correspond to
participants who fully participated in the test program and the
remainder will correspond to participants who only partially
participated (see Table 1). According to field interviews, the majority
of vessel operators participating in the I-418 Automation test program
continued to provide a paper Form I-418 upon arrival/departure despite
having submitted an electronic Form I-418 to ensure full compliance
with CBP regulations.\26\ For the purposes of this analysis, CBP refers
to these vessel operators as those who partially participated in the I-
418 Automation test program. Under the baseline, non-I-418 Automation
test program participants and 50 percent of test program participants
will continue to submit paper Form I-418s with each projected arrival/
departure, while the remaining test participants will submit only
automated versions of Form I-418 with each future arrival/departure.
Alternatively, with the rule, each arrival/departure will presumably
result in an automated Form I-418 submission.
---------------------------------------------------------------------------
\26\ Although the I-418 Automation test program waived the
regulatory requirement to submit Form I-418s by paper, certain test
participants insisted on submitting paper Form I-418s to ensure full
compliance with CBP regulations. Source: Email correspondence with
CBP's Office of Field Operations on February 23, 2016.
Table 1--Projected Commercial Vessel Arrivals and Departures
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
FY 2019* FY 2021 FY 2022 FY 2023 FY 2024 FY 2025 Total, FY 2021-FY
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ 2025
------------------
Cargo & Cargo & Cargo & Cargo & Cargo & Cargo & Cargo &
Number of non- Cruise non- Cruise non- Cruise non- Cruise non- Cruise non- Cruise non- Cruise
cargo ships cargo ships cargo ships cargo ships cargo ships cargo ships cargo ships
vessels vessels vessels vessels vessels vessels vessels
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Non-I-418 Automation Test Program Participants
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Growth in Vessel Arrivals/Departures............................. ....... ....... -1.9% 2.4% -1.9% 2.4% -1.9% 2.4% -1.9% 2.4% -1.9% 2.4% ........ .......
Vessel Arrivals/Departures....................................... 64,155 4,319 62,936 4,423 61,740 4,529 60,567 4,638 59,416 4,749 58,287 4,863 302,946 23,202
Form I-418 Submissions........................................... 64,155 4,319 62,936 4,423 61,740 4,529 60,567 4,638 59,416 4,749 58,287 4,863 302,946 23,202
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
I-418 Automation Test Program Participants
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Growth in Vessel Arrivals/Departures............................. ....... ....... 6.0% 2.4% 6.0% 2.4% 6.0% 2.4% 6.0% 2.4% 6.0% 2.4% ........ .......
Total Vessel Arrivals/Departures................................. 11,487 5,496 12,176 5,628 12,907 5,763 13,681 5,901 14,502 6,043 15,372 6,188 68,638 29,523
Vessel Arrivals/Departures of Participants Fully 5,744 2,748 6,088 2,814 6,454 2,882 6,841 2,951 7,251 3,022 7,686 3,094 34,320 14,763
Participating in Test.......................................
Vessel Arrivals/Departures of Participants Partially 5,743 2,748 6,088 2,814 6,453 2,881 6,840 2,950 7,251 3,021 7,686 3,094 34,318 14,760
Participating in Test.......................................
Total Form I-418 Submissions \+\................................. 11,487 5,496 12,176 5,628 12,907 5,763 13,681 5,901 14,502 6,043 15,372 6,188 68,638 29,523
Form I-418 Submissions from Participants Fully Participating 5,744 2,748 6,088 2,814 6,454 2,882 6,841 2,951 7,251 3,022 7,686 3,094 34,320 14,763
in Test.....................................................
Form I-418 Submissions from Participants Partially 5,743 2,748 6,088 2,814 6,453 2,881 6,840 2,950 7,251 3,021 7,686 3,094 34,318 14,760
Participating in Test.......................................
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Total
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Vessel Arrivals/Departures....................................... 75,642 9,815 75,112 10,051 74,647 10,292 74,248 10,539 73,918 10,792 73,659 11,051 371,584 52,725
Form I-418 Submissions........................................... 75,642 9,815 75,112 10,051 74,647 10,292 74,248 10,539 73,918 10,792 73,659 11,051 371,584 52,725
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* Not in period of analysis.
\+\ Form I-418s submitted in both electronic and paper format only counted as one form submission.
Note: Estimates may not sum to total due to rounding.
4. Costs of Rule
This rule will automate the Form I-418 process for all commercial
vessel operators and eliminate the regulatory guidelines in place
regarding the submission and retention of paper Form I-418s. These
changes will generally not introduce new costs to commercial vessel
operators, but they will introduce some costs to CBP. If vessel
operators request a copy of their stamped and annotated electronic Form
I-418, which they receive by paper now for CBP processing, they will
incur negligible
[[Page 73628]]
costs to do so.\27\ CBP will sustain technology and printing costs from
the Form I-418 Automation regulatory program, including costs to
maintain mobile devices for real-time, electronic processing, and to
print the paper Form I-418 until the admissibility inspection process
is completely paperless. Across the period of analysis, these monetized
costs will equal $46,000 in present value and $12,000 on an annualized
basis (using a 7 percent discount rate). These costs represent the
total costs of the rule, as illustrated in Table 2.
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\27\ Source: Correspondence with CBP's Office of Field
Operations on November 24, 2020.
Table 2--Total Present Value and Annualized Costs of I-418 Automation Regulatory Program, FY 2020-FY 2024
[2019 U.S. Dollars]
----------------------------------------------------------------------------------------------------------------
3% Discount rate 7% Discount rate
----------------------------------------------------------------------------------------------------------------
Present Value Cost...................................................... $52,067 $45,458
Annualized Cost......................................................... 11,710 11,863
----------------------------------------------------------------------------------------------------------------
Note: The estimates in this table are contingent upon CBP's vessel arrival/departure projections as well as the
discount rates applied.
5. Benefits (Cost Savings) of Rule
Besides its costs to CBP, this rule will provide considerable
benefits (cost savings) to vessel operators and CBP. Following this
rule's implementation, vessel operators will enjoy $16.1 million in
monetized present value cost savings from forgone paper Form I-418
submissions and form printing between FY 2021 and FY 2025 (using a 7
percent discount rate). During the same period, CBP will experience a
total monetized present value cost saving of $37.2 million from the
rule's avoided printing, streamlined mobile post-inspection processing
and electronic recordkeeping (using a 7 percent discount rate). CBP may
dedicate these cost savings to other agency mission areas, such as
improving border security or facilitating trade. In total, the
monetized cost savings of this rule will equal $53.3 million in present
value and $13.9 million on an annualized basis over the period of
analysis (using a 7 percent discount rate; see Table 3).
Table 3--Total Present Value and Annualized Benefits (Cost Savings) of I-418 Automation Regulatory Program FY
2020-FY 2024
[2019 U.S. Dollars]
----------------------------------------------------------------------------------------------------------------
3% Discount rate 7% Discount rate
----------------------------------------------------------------------------------------------------------------
Present Value Benefit................................................... $62,546,086 $53,306,084
Annualized Benefit...................................................... 14,066,940 13,910,918
----------------------------------------------------------------------------------------------------------------
Note: The estimates in this table are contingent upon CBP's vessel arrival/departure projections as well as the
discount rates applied.
6. Net Impact of Rule
Table 4 summarizes the monetized costs and benefits (cost savings)
of the I-418 Automation regulatory program to vessel operators and CBP
from FY 2021 to FY 2025. As illustrated, the savings from this rule
outweigh its costs, with the total monetized net cost saving of the
regulatory program measuring $53.3 million in present value and $13.9
million on an annualized basis (using a 7 percent discount rate).
Table 4--Net Benefit (Cost Saving) of I-418 Automation Regulatory Program, FY 2020-FY 2024
[2019 U.S. Dollars]
----------------------------------------------------------------------------------------------------------------
Present values Annualized values
---------------------------------------------------------------
3% Discount 7% Discount 3% Discount 7% Discount
rate rate rate rate
----------------------------------------------------------------------------------------------------------------
Total Cost...................................... $52,067 $45,458 $11,710 $11,863
Total Benefit................................... 62,546,086 53,306,084 14,066,940 13,910,918
---------------------------------------------------------------
Total Net Benefit........................... 62,494,018 53,260,626 14,055,230 13,899,055
----------------------------------------------------------------------------------------------------------------
Notes: The estimates in this table are contingent upon CBP's vessel arrival/departure projections as well as the
discount rates applied. Estimates may not sum to total due to rounding.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.), as amended
by the Small Business Regulatory Enforcement and Fairness Act of 1996,
requires an agency to prepare and make available to the public a
regulatory flexibility analysis that describes the effect of a proposed
rule on small entities (i.e., small businesses, small organizations,
and small governmental jurisdictions) when the agency is required to
publish a general notice of proposed rulemaking for a rule. Since a
general notice of proposed rulemaking is not necessary for this rule,
CBP is not required to prepare a regulatory flexibility analysis for
this rule.
[[Page 73629]]
D. Unfunded Mandates Reform Act of 1995
This rule will not result in the expenditure by State, local, and
tribal governments, in the aggregate, or by the private sector, of $100
million or more in any one year, and it will not significantly or
uniquely affect small governments. Therefore, no actions were deemed
necessary under the provisions of the Unfunded Mandates Reform Act of
1995.
E. Executive Order 13132
This rule will not have substantial direct effects on the States,
on the relationship between the National Government and the States, or
on the distribution of power and responsibilities among the various
levels of government. Therefore, in accordance with section 6 of
Executive Order 13132, DHS has determined that this final rule does not
have sufficient federalism implications to warrant the preparation of a
federalism summary impact statement.
F. Executive Order 12988 Civil Justice Reform
This rule meets the applicable standards set forth in sections 3(a)
and 3(b)(2) of Executive Order 12988. Executive Order 12988 requires
agencies to conduct reviews on civil justice and litigation impact
issues before proposing legislation or issuing proposed regulations.
The order requires agencies to exert reasonable efforts to ensure that
the regulation identifies clearly preemptive effects, effects on
existing federal laws or regulations, identifies any retroactive
effects of the regulation, and other matters. DHS has determined that
this regulation meets the requirements of Executive Order 12988 because
it does not involve retroactive effects, preemptive effects, or the
other matters addressed in the Executive Order.
G. Paperwork Reduction Act
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C.
3507), an agency may not conduct, and a person is not required to
respond to, a collection of information unless the collection of
information displays a valid control number assigned by OMB. The Form
I-418 information collected under 8 CFR part 251.1 and 8 CFR part 251.3
is included under OMB control number 1651-0103. Under the Automation of
CBP Form I-418 for Vessels rule, CBP systems will automatically
reconcile eNOA/D, APIS, and any other manifest data submitted
electronically by vessel operators prior to arrival and at departure to
create an electronic version of Form I-418. CBP will use the automated,
electronic Form I-418 for all commercial vessel crew and passenger
admissibility inspections and processing, and thus generally establish
a completely paperless Form I-418 process for all commercial vessel
arrivals and departures. CBP plans to retain the paper Form I-418 and
conduct paper Form I-418 processing only when the master or agent of
the vessel is unable to electronically submit the data elements
required on Form I-418 via an electronic data interchange system
approved by CBP due to technical issues, such as when the onboard
computer system is malfunctioning or there is no internet access, and
there is no shore-side support available; CBP is experiencing technical
difficulties affecting its receipt or processing of electronically
submitted information; or where CBP, in its discretion, determines that
a paper Form I-418 is acceptable under the circumstances presented by
the master or agent of a vessel. CBP will conduct such processing to
not hinder, stop, or otherwise penalize maritime traffic. In accordance
with the OMB Notice of Action dated April 3, 2018, CBP will submit a
discontinuation request for OMB control number 1651-0103 along with
this rule's publication because this information collection is
duplicative.
H. Privacy Interests
DHS will ensure that all Privacy Act requirements and policies are
adhered to in the implementation of this rule, and will issue or update
any necessary Privacy Impact Assessment and/or Privacy Act System of
Records notice to fully outline processes that will ensure compliance
with Privacy Act protections.
List of Subjects
8 CFR Part 251
Air carriers, Airmen, Aliens, Maritime carriers, Reporting and
recordkeeping requirements, Seamen.
8 CFR Part 258
Aliens, Longshore and harbor workers, Reporting and recordkeeping
requirements, Seamen.
19 CFR Part 4
Exports, Freight, Harbors, Maritime carriers, Oil pollution,
Reporting and recordkeeping requirements, Vessels.
Amendments to the Regulations
For the reasons stated in the preamble, DHS is amending 8 CFR parts
251 and 258, and 19 CFR part 4, as set forth below.
TITLE 8--ALIENS AND NATIONALITY
PART 251--ARRIVAL AND DEPARTURE MANIFESTS AND LISTS: SUPPORTING
DOCUMENTS
0
1. The general authority citation for part 251 continues to read as
follows:
Authority: 8 U.S.C. 1103, 1182, 1221, 1281, 1282, 8 CFR part 2.
Sec. 251.1 [Amended]
0
2. Amend Sec. 251.1 as follows:
0
a. Revise paragraph (a)(1);
0
b. Revise paragraph (a)(2) introductory text;
0
c. In paragraph (a)(2)(i), remove the word ``notation'' and add in its
place ``information'';
0
d. In paragraph (a)(2)(ii) introductory text, remove the words ``shall
note'' and adding in their place ``must indicate'';
0
e. In paragraph (a)(2)(iii)(A), remove the words ``shall note on'' and
adding in their place ``must indicate in'';
0
f. In paragraph (a)(2)(iii)(B):
0
i. Remove the words ``shall note on'' and add in their place ``must
indicate in''; and
0
ii. Remove the the words ``shall show'' and add in their place ``must
show'';
0
g. In paragraph (a)(2)(iv) introductory text:
0
i. In the first sentence remove the words ``shall note on'' and add in
their place ``must indicate in''; and
0
ii. In the second sentence, remove the words ``shall note'' and add in
their place ``must indicate'';
0
h. In paragraph (a)(2)(v):
0
i. Remove the words ``shall note on'' and add in their place ``must
indicate in''; and
0
ii. Remove the words ``will note the'' and add in their place ``will
indicate the'';
0
i. In paragraph (a)(3)(i) introductory text, remove the words ``shall
not be'' and add in its place ``is not'';
0
j. In paragraph (a)(3)(ii), remove the words ``shall note the manifest
in the manner'' and add in their place ``must follow the
instructions'';
0
k. In paragraph (a)(3)(iii):
0
i. Remove the words ``shall not be'' and adding in their place ``is
not''; and
0
ii. remove the words ``noted on'' and add in their place ``indicated
in'';
0
l. In paragraph (a)(4), remove the words ``shall annotate Form I-418
presented at the onward port to indicate'' and add in their place
``must electronically submit via an electronic data interchange system
approved by CBP'';
0
m. In paragraph (a)(5), remove the words ``accompany the manifest'' and
add in their place ``be sent to CBP
[[Page 73630]]
electronically or be presented to CBP upon arrival at the port of
immigration inspection'';
0
n. Add paragraph (a)(6);
0
o. In paragraph (b):
0
i. Remove the word ``shall'' wherever it appears and add in its place
``must'';
0
ii. Remove the words ``United States Customs Service'' and add in their
place ``CBP''; and
0
iii. Remove the word ``annotate'' and add in its place ``electronically
update the data in'';
0
p. In paragraph (c), remove the word ``shall'' and add in its place
``must''.
The revisions and addition read as follows:
Sec. 251.1 Arrival manifests and lists.
(a) * * * (1) General. Except as provided in paragraph (a)(6) of
this section, the master or agent of every vessel arriving in the
United States from a foreign place or an outlying possession of the
United States must submit a manifest of all crewmen on board by
electronically submitting the data elements required on CBP Form I-418,
Passenger List--Crew List, via an electronic data interchange system
approved by CBP.
(2) Longshore work information. Except as provided in paragraph
(a)(6) of this section, the master or agent of the vessel must
electronically submit via an electronic data interchange system
approved by CBP an affirmation as to whether crewmen aboard the vessel
will be used to perform longshore work at any United States port before
the vessel departs the United States.
* * * * *
(6) Exception to the requirement to submit Form I-418 data elements
and longshore work information electronically. The master or agent of
any vessel that is arriving in the United States from a foreign place
or an outlying possession of the United States, and is required to
submit a manifest, may submit a paper Form I-418 to CBP upon arrival at
the port where immigration inspection is performed when:
(i) The master or agent of the vessel is unable to electronically
submit the data elements required on Form I-418 via an electronic data
interchange system approved by CBP because there is no internet access
in that location or onboard computers are experiencing technical
difficulties, and there is no shore-side support available; or
(ii) CBP is experiencing technical difficulties affecting its
receipt or processing of electronically submitted information, or, in
its discretion, CBP determines that a paper Form I-418 is acceptable
under the circumstances presented by the master or agent of a vessel.
* * * * *
0
3. Amend Sec. 251.3 by:
0
a. Revising paragraph (a); and
0
b. Adding a new paragraph (c);
The revision and addition read as follows:
Sec. 251.3 Departure manifests and lists for vessels.
(a) Form I-418, Passenger List-Crew List. Except as provided in
paragraphs (b) and (c) of this section, the master or agent of every
vessel departing from the United States directly to some foreign place
or outlying possession of the United States must electronically submit
the data elements required on Form I-418 via an electronic data
interchange system approved by CBP, except when a manifest is not
required pursuant to section 251.1(a). Submission of inaccurate or
incomplete data will be regarded as lack of compliance with section
251(c) of the Act.
* * * * *
(c) Exception to the requirement to submit Form I-418 data elements
electronically. The master or agent of any vessel that is departing
from the United States directly to some foreign place or outlying
possession of the United States, and is required to submit a manifest,
may submit a paper Form I-418 to CBP at the port from which such vessel
is to depart when:
(1) The master or agent of the vessel is unable to submit the data
elements required on Form I-418 electronically via an electronic data
interchange system approved by CBP because there is no internet access
in that location or onboard computers are experiencing technical
difficulties, and there is no shore-side support available; or
(2) CBP is experiencing technical difficulties affecting its
receipt or processing of electronically submitted information, or, in
its discretion, CBP determines that a paper Form I-418 is acceptable
under the circumstances presented by the master or agent of a vessel.
0
4. Amend Sec. 251.5 as follows:
0
a. Revise the section heading; and
0
b. Remove the words ``in a paper format''.
The revision reads as follows:
Sec. 251.5 Arrival and departure manifests for crew.
* * * * *
PART 258--LIMITATIONS ON PERFORMANCE OF LONGSHORE WORK BY ALIEN
CREWMEN
0
5. The general authority citation for part 258 continues to read as
follows:
Authority: 8 U.S.C. 1101, 1103, 1281; 8 CFR part 2.
Sec. 258.2 [Amended]
0
6. Amend Sec. 258.2 as follows:
0
a. In the introductory text, remove the words ``shall note'' and add in
their place ``must indicate'';
0
b. In paragraph (a)(2), remove the words ``shall note on'' and add in
their place ``must indicate in'';
0
c. In paragraph (b)(2)(i), remove the words ``states on the manifest,
Form I-418,'' and add in their place ``indicates in the manifest, or on
Form I-418 if submitting the paper version,'';
0
d. In paragraph (b)(2)(ii):
0
i. Remove the words ``states on'' and add in their place ``indicates
in''; and
0
ii. Remove the words ``shall present'' and add in their place ``must
present'';
0
e. In paragraph (b)(2)(iii)(A), remove the word ``shall'' and add in
its place ``must'';
0
f. In paragraph (b)(2)(iii)(B):
0
i. Remove the word ``shall'' and add in its place ``must''; and
0
ii. Remove the words ``Immigration and Naturalization Service'' and add
in their place ``CBP'';
0
g. In paragraph (b)(2)(iv);
0
i. In the first sentence, remove the words ``states on'' and add in
their place ``indicates in'';
0
ii. In the second sentence, remove the word shall and add in its place
``must'' and remove the words ``shall note on'' and add in their place
``must indicate in'';
0
h. In paragraph (b)(3), in the third sentence, remove the words ``shall
annotate'' and add in their place ``must indicate in'';
0
i. In paragraph (b)(4):
0
i. In the first sentence, remove the words ``the Immigration and
Naturalization Service'' wherever they appear, and add in their place
``CBP'' and remove ``258(c)(E)(i)'' and add ``258(c)(4)(E)(i)'' in its
place; and
0
ii. In the second sentence, remove the words ``The Service'' and add in
their place ``CBP''; and
0
j. In paragraph (e):
0
i. In the first sentence, remove the word ``shall'' and add in its
place ``must''; and
0
ii. In the second sentence, remove ``noted on the Form I-410'' and add
in its place ``indicated on the electronically populated, or in the
circumstances specified in section 251.1 of this chapter, paper, Form
I-418''.
[[Page 73631]]
TITLE 19--CUSTOMS DUTIES
PART 4--VESSELS IN FOREIGN AND DOMESTIC TRADES
0
7. The general authority citation for part 4 continues to read 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.
0
8. Amend Sec. 4.7 by revising paragraph (a) to read as follows:
Sec. 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 must have on board the vessel a manifest, as
required by section 431, Tariff Act of 1930 (19 U.S.C. 1431), and by
this section. The manifest must be legible and complete. If it is in a
foreign language, an English translation must be furnished with the
original and with any required copies. The required manifest consists
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, and (3) Crew's Effects Declaration,
CBP Form 1304, to which are attached crewmembers' declarations on CBP
Form 5129, if the articles will be landed in the United States. Unless
the exception at 8 CFR 251.1(a)(6) applies and a paper form is
submitted, the master must also electronically submit the data elements
required on CBP Form I-418 via an electronic data interchange system
approved by CBP, which will be considered part of the manifest. 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'' must be inserted in item 16 of the
Vessel Entrance or Clearance Statement.
* * * * *
0
9. Amend Sec. 4.7a as follows:
0
a. Remove paragraph (b)(2);
0
b. Redesignate paragraphs (b)(3) and (b)(4) as paragraphs (b)(2) and
(b)(3), respectively;
0
c. Add paragraph (c)(5);
0
d. In paragraph (d), add the words ``Sec. 4.7b and with'' after ``in
accordance with''; and
0
e. Revise paragraph (e).
The addition and revision read as follows:
Sec. 4.7a. Inward manifest; information required; alternative forms.
* * * * *
(c) * * *
(5) Unaccompanied baggage must be listed on CBP Form 1302, or
transmitted via an electronic data interchange system approved by CBP.
* * * * *
(e) Passenger List. (1) The Passenger List must be completed in
accordance with Sec. 4.7b, Sec. 4.50, and with the requirements of
applicable DHS regulations administered by CBP (8 CFR part 231).
* * * * *
0
10. Amend Sec. 4.50 as follows:
0
a. In paragraph (a), remove the second sentence;
0
b. Add paragraph (c).
The addition reads as follows:
Sec. 4.50 Passenger lists.
* * * * *
(c) By the act of submitting the data elements required on CBP Form
I-418 via an electronic data interchange system approved by CBP, the
master certifies that CBP baggage declaration requirements have been
made known to incoming passengers; that any required CBP baggage
declarations have been or will simultaneously be filed as required by
law and regulation with the proper CBP officer; that the
responsibilities of the vessel operator have been or will be done as
required by law or regulation before the proper CBP officer; and that
there are no steerage passengers on board the vessel.
Sec. 4.81 [Amended]
0
11. In Sec. 4.81, amend paragraph (d) by removing the phrase``, or
Customs and Immigration Form I-418 with attached Customs Form 5129,''.
0
12. In Sec. 4.85 amend paragraph (c)(1) by:
0
a. In the third sentence, removing the words ``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,''; and
0
b. Adding a sentence following the third sentence.
The addition reads as follows:
Sec. 4.85 Vessels with residue cargo for domestic ports.
* * * * *
(c) * * *
(1) * * * The master must also update the data elements required on
CBP Form I-418 that were electronically submitted via an electronic
data interchange system approved by CBP for any passengers on board
that are manifested for discharge at that port. * * *
* * * * *
Sec. 4.91 [Amended]
0
13. In Sec. 4.91 amend paragraph (c) by removing, in the second
sentence, the words ``Passenger List, Customs and Immigration Form I-
418'' and adding in their place ``updated data elements required on CBP
Form I-418 that were submitted electronically via an electronic data
interchange system approved by CBP''
Alejandro N. Mayorkas,
Secretary, U.S. Department of Homeland Security.
[FR Doc. 2021-27571 Filed 12-27-21; 8:45 am]
BILLING CODE 9111-14-P
