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NVOCC Related

  • Certification & Notice Forms for Automated NVOCC
  • NVOCC Certification NVOCC Notice (2004/07/29 updated)


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  • 1 NVOCCs: What appears clear is that Customs will require NVOCCs¡¦ cargo descriptions and house bill of lading information to be filed electronically in AMS: ¡by the NVOCC itself obtaining a bond and becoming automated,by the NVOCC using a vessel carrier to file in AMS its cargo declaration and house bill of lading information for it ,P by the NVOCC using an automated NVOCC to file the information for it, orP by the NVOCC using an automated third party filing service.
    2 Data Element Requirements for Vessel Carrier: The vessel carrier does issue bills of lading to its NVOCC customer. Is there any information that a vessel carrier must include on its CF 1302 regarding containers it is transporting for an NVOCC that is filing in AMS?
    3 Second Notify Party: It is essential that a vessel carrier know of any hold messages regarding an NVOCC's box before vessel loading commences. It seems clear that a vessel carrier which is chartering slots would list the vessel operator in this situation. It is assumed an automated NVOCC would be required to list the vessel carrier with whom it has contracted. Is this correct? Would it have to also list the vessel operator if the vessel carrier is a slot charterer, or is the communication to the vessel operator in that case the responsibility of the slot charter?
    4 Co-loading: Is the master NVOCC the responsible filing party for all bills of lading in a co-loaded container?
    5 FROB Cargo: FROB cargo must be filed in AMS. Can an automated NVO file advance cargo declarations for FROB cargo (e.g., Japan to Canada on a vessel calling Seattle, then Vancouver) even though NVOs are unique creatures of U.S. law and the filer would not be considered an NVO in the Japan-Canada trade?
    6 Will NVOCCs have to use unique BL numbers?
    7 Will Customs accept using the master BL to identify individual NVO house bills at commodity item level indicating the shipper/consignee/notify party in the marks/description?
    8 Will automated NVOCCs be able to transmit their own in-bonds?
    9 How will automated NVOCCs be brought on line in AMS?
    10 How will NVOCCs that are authorized to file paper cargo declarations directly to Customs while in the process of becoming automated present cargo information to the ocean carrier?

  • NVOCC Related

    • Q : NVOCCs: What appears clear is that Customs will require NVOCCs' cargo descriptions and house bill of lading information to be filed electronically in AMS:

    - by the NVOCC itself obtaining a bond and becoming automated,
    - by the NVOCC using a vessel carrier to file in AMS its cargo declaration and house bill ..of lading information for it,
    - by the NVOCC using an automated NVOCC to file the information for it, or
    - by the NVOCC using an automated third party filing service.

    Answer:

    Bullet 1 - In this example, the automated NVOCC will file their cargo declarations directly to U.S. Customs. This process is the same as the carriers who file directly to Customs. The additional requirement is that the NVOCC must place the contracting vessel carrier (meaning the vessel carrier issuing the bill of lading to the NVOCC), not the vessel operating carrier in the second notify party location. Each second notify party that is identified will receive messages from Customs every time a bill of lading has been changed, held and released. The identifiers included in the transmission are:

    - SCAC - Bill of Lading #
    - Vessel Name - Disposition Code
    - Voyage # - Quantity
    - Manifest Sequence # - Entry Type
    - IMO # - Entry #
    - Port of Unlading - Action Date and Time
    - Date - Container #

    Bullet 2    – Due to business and IT issues, Customs will work on this via COAC to develop clear procedures. However, Customs has been made aware of several carriers who have developed procedures to input the NVOCCs bills of lading. Hopefully, a best practices document would be distributed amongst the carriers.

    Bullet 3     - In this example, the non-automated NVOCC must submit their cargo declaration information to the AMS NVOCC who is presenting the container to the carrier. The AMS NVOCC will input the cargo declaration as if it was their own. A freight forwarder or NVOCC can not be listed, only the designated shipper and consignee. Contracting vessel carrier must be listed as the second notify party.

    Bullet 4     - In this example, if the non-automated NVOCC elects to submit their cargo declaration information to a Service Provider or Port Authority to transmit to U.S. Customs, then the non-automated NVOCC must obtain an International Carriers Bond. The vessel carrier must be listed as the second notify party.
    NOTE: All parties must submit a hard copy of their cargo declaration to the carrier to comply with the requirement to maintain a copy of the manifest onboard the vessel.

    • Q : Data Element Requirements for Vessel Carrier: The vessel carrier does issue bills of lading to its NVOCC customer. Is there any information that a vessel carrier must include on its CF 1302 regarding containers it is transporting for an NVOCC that is filing in AMS?

    Answer: NVOCCs that become automated will be required to submit a completed cargo declaration to Customs. The automated NVOCC must include the vessel carrier that has contracted with the NVOCC as the second notify party. If the vessel carrier is transmitting the cargo declaration to Customs for a non-automated NVOCCs the NVOCC must provide complete cargo declaration for all bills of lading to the vessel carrier.


    Q : To whom and when would information pursuant to cargo examinations be made available?

    Answer: Holds and subsequent removal messages will be sent to the party that transmitted the manifest data to Customs through AMS and also to any parties designated for secondary notification. For carriers that submit paper cargo declarations, the party presenting the cargo declaration to Customs will receive the notifications.
    • Q : Second Notify Party: It is essential that a vessel carrier know of any hold messages regarding an NVOCC's box before vessel loading commences. It seems clear that a vessel carrier which is chartering slots would list the vessel operator in this situation. It is assumed an automated NVOCC would be required to list the vessel carrier with whom it has contracted. Is this correct? Would it have to also list the vessel operator if the vessel carrier is a slot charterer, or is the communication to the vessel operator in that case the responsibility of the slot charter?

    Answer: The automated NVOCC would be required to list the vessel carrier as the second notify party.


    Q : Is it correct that the Second Notify Party field must “be completed” by the NVOCC to include the vessel carrier transporting the box, and that without this field completed, the NVOCC's filing will be incomplete and not accepted?

    Answer: The second notify party will be a required field for NVOCCs.


    Q : What information is the Second Notify Party given other than access to Customs “hold” messages? Will container number and NVOCC SCAC code (or other identifier) be included in Second Notify Party information?

    Answer: The second notify party will receive messages from Customs every time a bill of lading has been changed, held, and released. Customs is currently evaluating the programming it would take to limit the information that is sent to second notify parties. The identifiers included in the transmission are:
    - SCAC - Bill of Lading #
    - Vessel Name - Disposition Code - Voyage #
    - Quantity - Manifest Sequence # - Entry Type
    - IMO # - Entry #
    - Port of Unlading - Action Date and Time
    - Date - Container #


    Q : If an automated NVOCC fails to list the ocean carrier as a second notify party, will Customs system reject the filing? If not, how would the carrier know that the cargo declaration has been filed? How would Customs communicate any holds to the ocean carrier?

    Answer: Customs has mandated that automated NVOCCs include the vessel-contracting carrier as the SNP. However, failure to include a SNP will not cause AMS to reject the filing because such a programming requirement would then apply to all AMS filers—not just NVOCCs. Customs advised that NVOCCs that fail to.


    Q : Does Customs have a program to inform NVOCCs, especially oversees NVOCCs, how to become AMS and bond compliant within 90 days?

    Answer: Presently, the Office of Information and Technology has a defined implementation program for automating carriers in AMS. These same requirements will be used to automate NVOCCs. Customs utilizes the Federal Register and Shipping Organizations, the carriers should be distributing information to their foreign shippers advising them of the new requirements.
    • Q : Co-loading: Is the master NVOCC the responsible filing party for all bills of lading in a co-loaded container? 

    Answer: Customs is defining the term "master NVOCC" as the party responsible for presenting the container to the vessel carrier. An automated master NVOCC will be the responsible filing party for all parties that are not automated. A non-automated master NVOCC will be responsible for providing paper cargo declaration to the carrier or an approved automated third party service provider for all parties that are not automated.


    Q : If all the NVOCCs in a co-loaded box are “automated”, can each NVOCC file the information needed from its own bills of lading in AMS?

    Answer: Automated Master NVOCC will be responsible for all paper cargo declarations. Any automated NVOCC that is co-loading must file directly to Customs in AMS. Non-automated NVOCC must provide the cargo declaration information to the master NVOCC or use a service provider/port authority that can transmit the information to Customs. Non-automated NVOCC will not be authorized to present their cargo declaration to the vessel operator, when co-loading with an automated master NVOCC.

    Non-automated master NVOCC must submit the cargo declaration for all non-automated parties co-loading within the container to the vessel carrier or a third party service provider for input into AMS. Automated NVOCCs that are co-loading, will be required to transmit their cargo declaration to Customs in AMS. All automated parties within the container must include the vessel carrier as the second notify party.


    Q : If each NVOCC can file, does the vessel carrier need to know how many NVOCCs are obliged to file in AMS for a container it is loading and transporting, and how would it know this? Will each co-loading NVOCC have to list the vessel carrier as the Second Notify Party for its filing to be acceptable?

    Answer: The automated NVOCCs will be required to give complete cargo declaration information for all bills of lading and have the vessel carrier as the second notify party. AMS will not notify the vessel carrier of how many NVOCCs have filed in AMS for a container. If this information is requested or needed by the vessel carrier it would not be captured in AMS.


    Q : The commentary states that if a non-automated NVOCC is co-loading with an automated “master” NVOCC, the non-automated NVOCC “must fully disclose and present the required manifest for their cargo to the automated NVOCC who would be required to present this information to Customs via vessel AMS.” If the non-automated co-loading NVOCC does not want to give its bill of lading information to the master NVOCC (a potential competitor), but comes to the vessel carrier to file its cargo declaration information via AMS, do the regulations permit this or is the AMS filing only to be done by the automated NVOCC?

    Answer: No, please refer back to previous answers provided in #37 Co-loading, question 2.
    • Q : FROB Cargo: FROB cargo must be filed in AMS. Can an automated NVO file advance cargo declarations for FROB cargo (e.g., Japan to Canada on a vessel calling Seattle, then Vancouver) even though NVOs are unique creatures of U.S. law and the filer would not be considered an NVO in the Japan-Canada trade? ble filing party for all bills of lading in a co-loaded container?

    Answer: Yes.
    • Q : Will NVOCCs have to use unique BL numbers?

    Answer: Although the use of unique BLs is not required, AMS will automatically reject any BL number used more than once during a three-year period. Therefore, in practice, all AMS filers must use unique BL numbers. Non-automated NVOCCs will not have this requirement.
    • Q : Will Customs accept using the master BL to identify individual NVO house bills at commodity item level indicating the shipper/consignee/notify party in the marks/description?

    Answer: No. A distinct BL must be assigned for every shipper/consignee.
    • Q : Will automated NVOCCs be able to transmit their own in-bonds?

    Answer: Yes. NVOCCs will have the ability to transmit their own in-bonds to Customs via AMS. The ability to transmit in bonds is part of the AMS certification process.
    • Q : How will automated NVOCCs be brought on line in AMS?

    Answer: Automated NVOCCs (under the same SCAC code) will be required to electronically file all manifest information to Customs via AMS. Depending on an NVOCCs electronic capabilities and agreement with Customs, implementation will be either port-by-port (by port of discharge) or nationwide.

    Further clarification from Customs regarding how an ocean carrier will know this, if approached by an NVOCC phasing in its AMS capabilities, may be warranted.
    • Q : How will NVOCCs that are authorized to file paper cargo declarations directly to Customs while in the process of becoming automated present cargo information to the ocean carrier?

    Answer: Customs was considering directing such NVOCCs to provide a sealed set of paper copies of the cargo declaration and the house bills of lading, for record purposes, to the ocean carrier before loading. At the request of carriers, Customs is reconsidering this approach.