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CBMA: Assignment Certification Template is Now Available!

As we continue to update you with breaking news on the process to determine eligibility and obtain the tax refunds available under the CBMA/Tax Reform Act, we are pleased to announce the latest update from US Customs.

CBP has published the “CBMA Assignment Certification Template” and we have printed this below for your reference. WSSA is providing services to assist our members in the complete process and please contact us should you be interested in out-sourcing your CBMA process.

CBMA Assignment Certification

The CBMA Assignment Certification is one of the required documents to substantiate a CBMA claim.  The importer/filer must submit this document via the Document Image System, and link to the Importer of Record.

[assigning entity letterhead]

ASSIGNING ENTITY CERTIFICATION

I (PRINTED NAME AND TITLE), currently employed by (ASSIGNING ENTITY NAME AND ADDRESS) and authorized to bind the company, certify that (ASSIGINING ENTITY) is the producer/manufacturer of the imported (BEER/WINE/DISTILLED SPIRITS) that is subject to a Craft Beverage Modernization and Tax Reform Act (CBMA) claim.  I certify that I assigned (IMPORTER NAME) to receive the (X REDUCED TAX RATE/CREDIT) for (X NUMBER OF BARRELS/WINE GALLONS/PROOF GALLONS) for (X CALENDAR YEAR).  I certify that this assignment and any other assignment given by (ASSIGNING ENTITY) during this calendar year does not exceed the production of the (ASSIGNING ENTITY) during (X CALENDAR YEAR).  I certify that (ASSIGNING ENTITY) has not assigned more (BARRELS/WINE GALLONS/PROOF GALLONS) to this importer or any other importer, individually or collectively, to receive a reduced tax rate/tax credit than is permissible by the CBMA.

I certify that the information contained in this submission is accurate and complete to the best of my knowledge and belief.  I am aware that the information contained in this submission may be subject to verification.  I am aware that eligibility of the (ASSIGNING ENTITY) and (IMPORTER) for the reduced tax rate/tax credit under the CBMA can be revoked in the case of any erroneous or fraudulent information provided which is deemed to be material to qualifying for the reduced rate.

Signature: ____________________  Date: ________________________

Last modified: 

October 15, 2018

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Contractor Portal Frequently Asked Questions

These Frequently Asked Questions are offered to foster a better understanding of OFCCP’s new Affirmative Action Program Verification Interface (AAP-VI), referred to as the “Contractor Portal.” The Contractor Portal enables OFCCP to monitor and promote contractor compliance through an annual Affirmative Action Program (AAP) certification requirement and will be a tool for scheduled contractors to upload their AAP(s) electronically for OFCCP’s review.

  • What is the Contractor Portal?
  • Why is OFCCP requiring contractors to use the Contractor Portal?
  • Who is required to use the Contractor Portal?
  • Are construction contractors required to use the Contractor Portal?
  • Where can contractors get resources and guidance on how to develop AAPs?
  • Will certifying compliance through the Contractor Portal exempt a contractor from compliance evaluations?
  • What measures has OFCCP taken to ensure contractor data is secure?
  • Are contractors required to update their establishment list, or simply confirm that the 2018 EEO-1 information pre-populated in the OFCCP Contractor Portal is accurate?
  • Are contractors required to update the headcount for each establishment?
  • Do I have to include my establishment in the Contractor Portal if it has fewer than 50 employees?
  • Which employees should I include in the employee headcount for each establishment or functional/business unit?
  • What do I do when an establishment’s headcount falls below 50 employees?

REGISTRATION

  • How can a contractor register for the Contractor Portal?
  • I am a federal contractor who has never completed an EEO-1 report and therefore do not have an EEO-1 identifier. Can I register for the portal?
  • What if the Contractor Portal does not accept the 2018 EEO-1 report identifier?
  • How do educational institutions register in the Contractor Portal?
  • Should educational institutions that receive federal grants, but do not have federal contracts, register in the Contractor Portal?
  • When should a contractor register for the Contractor Portal?
  • Are contractors that have Functional Affirmative Action Program (FAAP) agreements required to use the Contractor Portal?
  • Can a contractor have multiple users register for the Contractor Portal?
  • During registration, can contractors update information about their company through the Contractor Portal?
  • I am a federal contractor whose EEO-1 identifier contains more than 7 alphanumeric digits. How can I register for the portal?
  • I am a federal contractor who has registered the Parent Company in the Contractor Portal and need to add an establishment for which I do not yet have an EEO-1 identifier. How can I add this establishment?

MULTIPLE USER FUNCTIONALITY

  • How does the Multiple User Functionality work?
  • Are there different types of users in the Contractor Portal? If so, what is the difference between user types?
  • My company has multiple establishment(s) or functional/business unit(s) that need to certify. How do we grant each establishment(s) or functional/business unit(s) access to the Contractor Portal?
  • Can a user access the Contractor Portal for companies with different Employer Identification Numbers ( e.g ., a representative that is accessing the portal on behalf of different companies)?
  • Can I have more than one user?
  • How do I add new users from my company to the Contractor Portal?
  • How do I change the role of a user who was granted access ( e.g ., Changing an Admin User to a Non-Admin User)?
  • One of my company's assigned users has left the company or is no longer in the role. How do I remove their access to my company's records?
  • I am having difficulties with the multi-user functionality. Who do I contact?

CERTIFICATION

  • Who is required to certify AAP compliance through the OFCCP Contractor Portal?
  • What will my company be required to certify through the OFCCP Contractor Portal?
  • When certifying compliance with the AAP requirements through the Contractor Portal, what information does OFCCP consider as part of the affirmative action program that each contractor has to develop and maintain?
  • When will a contractor be required to certify?
  • How often will my company be required to certify?
  • How long will the annual certification process take?
  • How do I complete my certification?
  • What happens if I certify that I am a new contractor who has not developed its AAP(s) yet?
  • Which laws does my company have to certify AAP compliance with?
  • Do I have to upload my AAP(s) as part of the certification process?
  • Does my company need to certify AAP compliance for establishments located outside of the U.S. and its territories?
  • Will contractors who have FAAP agreements be required to certify AAP compliance?
  • How does OFCCP use the certification information I submit?
  • Do I have to certify independent subsidiaries through the OFCCP Contractor Portal?
  • How do I certify independent subsidiaries through the OFCCP Contractor Portal?
  • For covered government contractors with a June 1 plan start date, will OFCCP require the 2022 or 2023 AAP to be certified?
  • What happens if a parent company files EEO-1 Reports on behalf of its subsidiaries, but does not create AAPs or handle OFCCP audits for subsidiaries? How will the certification process be handled for subsidiaries?
  • How do I confirm my establishment’s certification?
  • Why is OFCCP collecting the AAP Coverage Period during the certification process?

UPDATING RECORDS

  • How do I update records for my parent company and/or establishments?
  • Where is OFCCP obtaining prepopulated information for my company?
  • What should a company do if it has experienced a merger/spin-off/acquisition that would not be reflected in the 2018 EEO-1 Reports?
  • Can I bulk upload/modify multiple establishments into the Contractor Portal for my parent company?
  • How long should I expect OFCCP to process my bulk upload once I submit a request to the Contractor Portal?
  • What happens if I have inaccurate information in my bulk upload/modification submission?

FUNCTIONAL AFFIRMATIVE ACTION PROGRAM (FAAP)

  • Will OFCCP be importing the functional/business units listed in Attachment A of each contractor’s FAAP agreement?
  • What should a FAAP contractor do if it finds that its Company Profile in the Contractor Portal does not contain the functional/business units listed in the FAAP Agreement?
  • How should a contractor modify its FAAP agreement and have those modifications reflected in the Contractor Portal?
  • What functional/business units or establishments should be listed under the FAAP Parent Company in the Contractor Portal?

1. What is the Contractor Portal?

The Contractor Portal is OFCCP’s platform where covered federal contractors and subcontractors (“contractors”) must certify, on an annual basis, whether they are meeting their requirement to develop and maintain annual AAPs.

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2. Why is OFCCP requiring contractors to use the Contractor Portal?

The Contractor Portal was designed to use the contractor's EEO-1 identifier to create a company profile. This is because any contractor who meets the thresholds for having an obligation to develop and maintain an AAP(s) also meets the thresholds for filing the EEO-1 report .

Federal contractors or subcontractors that do not have an EEO-1 identifier may be able to register based on the criteria listed below:

  • Educational institutions that do not have an EEO-1 identifier may register using the Educational Institution pathway with their IPEDS identifier.
  • Contractors located in U.S. territories (outside of the United States) should contact the OFCCP Technical Support Service Helpdesk at 1-800-397-6251. Callers should press 1 for English or 2 for Spanish, then press 1 to reach technical support for assistance with registering.

Contractors who meet the thresholds for having an obligation to develop and maintain an AAP(s) and have not yet filed an EEO-1 report should contact the OFCCP Technical Support Service Helpdesk at 1-800-397-6251. Callers should press 1 for English or 2 for Spanish, then press 1 to reach technical support for assistance. The technical support team will assign temporary identifiers for the parent company and all establishments and will assist with registration.

3. Who is required to use the Contractor Portal?

Supply and service contractors and subcontractors who meet certain jurisdiction thresholds are required to use the Contactor Portal to register and certify their AAP compliance. Specifically, contractors that hold a contract of $50,000 or more and employ 50 or more employees must develop and maintain AAPs pursuant to Executive Order 11246 and Section 503 of the Rehabilitation Act of 1973. If a contractor has at least 50 employees and a contract of $150,000 or more, then it must also develop an AAP pursuant to the Vietnam Era Veterans’ Readjustment Assistance Act of 1974. For more information, please see the OFCCP Jurisdiction Thresholds Infographic .

4. Are construction contractors required to use the Contractor Portal?

OFCCP is currently only requiring annual certification for supply and service contractors. Contractors that are only construction contractors and not also supply and service contractors are not required to certify compliance, and should not register for the portal.

5. Where can contractors get resources and guidance on how to develop AAPs?

Visit the Sample AAP landing page to find illustrative examples of AAPs meeting OFCCP’s regulatory requirements. Additionally, OFCCP field staff are available to provide compliance assistance. Contact the nearest OFCCP area or district office for compliance assistance.

6. Will certifying compliance through the Contractor Portal exempt a contractor from compliance evaluations?

No. Certification that a contractor has developed and annually updated their AAP(s) will not exempt them from compliance evaluations.

7. What measures has OFCCP taken to ensure contractor data is secure?

The Contractor Portal is built on a Drupal platform. The developed platform is a content management system for government agencies with built-in security modules, including the following:

  • Security Kit that deals with any issue or attack concerning HTML injection;
  • Login Security that denies full access to the content;
  • Password Policy that requires passwords to be more complex;
  • Secure Login feature that enables safe login procedures and prevents user data theft; and
  • XSS Protection module that protects the website from XSS attacks.

Data is secured according to the National Institute of Standards and Technology’s Federal Information Processing Standards, which are verified by the Department of Labor’s Office of the Chief Information Officer. Additionally, OFCCP staff are required to use their Personal Identification Verification card in order to access the interface.

8. Are contractors required to update their establishment list, or simply confirm that the 2018 EEO-1 information pre-populated in the OFCCP Contractor Portal is accurate?

All supply and service contractors and subcontractors that fall under OFCCP’s jurisdiction should review and, if necessary, update their Parent Company Profile and information on individual establishments and functional/business units. This may include adding, updating, or closing establishments or functional/business units.

Contractors can add establishments or functional/business units by following the steps for "Adding Establishment(s) or Functional/Business Unit(s) Records" in the OFCCP Contractor Portal Federal Contractor User Guide .

Contractors can close each establishment or functional/business unit which should not be listed under the Parent Company profile by setting the “Facility Status” from “Open” to “Close” on the “Establishment or Functional/Business Unit Records” tab. Examples of when to close an establishment or functional/business unit include, but are not limited to, the following:

  • The establishment or functional/business unit is physically closed.
  • The establishment or functional/business unit is no longer held by the Parent Company.
  • The FAAP agreement is terminated.

9. Are contractors required to update the headcount for each establishment?

Contractors should update the “Employee Headcount” for each establishment with the most current information available.

10. Do I have to include my establishment in the Contractor Portal if it has fewer than 50 employees?

It depends on whether the establishment maintains a separate AAP. If the establishment has fewer than 50 employees and maintains an AAP only for those employees, it must be included in the Contractor Portal. See 41 CFR 60-2.1(d)(2) (describing which employees should be covered in an AAP). If the establishment has fewer than 50 employees and does not maintain an AAP only for those employees, the contractor does not need to list the establishment in the Contractor Portal.

11. Which employees should I include in the employee headcount for each establishment or functional/business unit?

For the employee headcount, contractors should include all employees covered in their establishment’s AAP and/or the most current employee headcount for each functional/business unit according to their FAAP agreement. For more information, see 41 CFR 60-2.1(d)(2) (describing which employees should be covered in an AAP) and the Remote Employees and AAPs Frequently Asked Questions ).

12. What do I do when an establishment’s headcount falls below 50 employees?

If an establishment with fewer than 50 employees still maintains its own AAP, update the headcount to match the AAP. If an establishment has fewer than 50 employees and the contractor chooses to incorporate the employees into a different AAP per the regulations at 41 CFR 60-2.1(d)(2), edit the status from "open" to "close" and update the employee headcount to zero.

1. How can a contractor register for the Contractor Portal?

Contractors can register for the Contractor Portal by creating a Login.gov account using an email and a secure password for entry into the portal. The OFCCP Contractor Portal User Guide includes detailed instructions on the registration process.

2. I am a federal contractor who has never completed an EEO-1 report and therefore do not have an EEO-1 identifier. Can I register for the portal?

3. what if the contractor portal does not accept the 2018 eeo-1 report identifier.

If you have filed a 2018 EEO-1 report and attempted to register for the Contractor Portal using the 2018 EEO-1 identifiers for the “Headquarter/Company Number” and “Establishment/Unit Number” fields and receive an error, please contact the Contractor Portal Technical Help Desk for assistance through the OFCCP Contractor Portal Technical Help Request Form .

4. How do educational institutions register in the Contractor Portal?

Educational institutions register using their Integrated Postsecondary Education Data System (IPEDS) unique identification number (UNITID or IPEDS ID) and Employer Identification Number (EIN). Educational institutions may develop a single AAP or multiple AAPs, depending on their organizational structure. To account for these flexibilities and possible variations in AAP development, educational institutions will certify compliance for all AAPs associated with their 6-digit IPEDS ID.

5. Should educational institutions that receive federal grants, but do not have federal contracts, register in the Contractor Portal?

No. Educational institutions with federal grants need not register in the Contractor Portal if they do not meet the jurisdictional thresholds to develop an AAP. General FAQ #3 provides details on these thresholds.

6. When should a contractor register for the Contractor Portal?

Existing contractors who have not yet registered and new contractors should register as soon as possible.

7. Are contractors that have Functional Affirmative Action Program (FAAP) agreements required to use the Contractor Portal?

Yes. Contractors with FAAP agreements are required to use the Contractor Portal.

8. Can a contractor have multiple users register for the Contractor Portal?

Yes, a contractor can have multiple users register for the Contractor Portal.

9. During registration, can contractors update information about their company through the Contractor Portal?

Yes. The Contractor Portal allows contractors to edit information about their company.

10. I am a federal contractor whose EEO-1 identifier contains more than 7 alphanumeric digits. How can I register for the portal?

The Contractor Portal currently supports EEO-1 identifiers that contain 6 or 7 alphanumeric digits. Contractors whose EEO-1 identifier contains more than 7 alphanumeric digits should contact the OFCCP Technical Support Service Helpdesk at 1-800-397-6251. Callers should press 1 for English or 2 for Spanish, then press 1 to reach technical support for assistance with registering.

11. I am a federal contractor who has registered the Parent Company in the Contractor Portal and need to add an establishment for which I do not yet have an EEO-1 identifier. How can I add this establishment?

The Contractor Portal was designed to use each establishment's EEO-1 identifier for registration. Contractors who wish to add an establishment for which they have not yet been issued an EEO-1 identifier should contact the OFCCP Technical Support Service Helpdesk at 1-800-397-6251. Callers should press 1 for English or 2 for Spanish, then press 1 to reach technical support for assistance with assigning  a temporary identifier for the establishment and assist with adding the establishment to the Portal.

1. How does the Multiple User Functionality work?

The Multiple User Functionality allows a company to have more than one user who can register, update records, and certify establishment(s) or functional/business unit(s) for the company through the Contractor Portal. Specific steps explaining how to use this feature are outlined in the OFCCP Contractor Portal Federal Contractor User Guide found on the Contractor Portal Landing Page: OFCCP Contractor Portal | U.S. Department of Labor (dol.gov)

2. Are there different types of users in the Contractor Portal? If so, what is the difference between user types?

Yes. There are two roles that can be assigned to multiple users, namely:

  • Admin User – This user can modify all records within the company, invite new users, and assign them establishment(s) or functional/business unit(s) to manage.
  • Non-Admin User – This user can only modify establishment(s) or functional/business unit(s) that an Admin User has assigned to them. A Non-Admin User can view all users associated with the Headquarters/Parent Company, but cannot modify, add, or assign users.

3. My company has multiple establishment(s) or functional/business unit(s) that need to certify. How do we grant each establishment(s) or functional/business unit(s) access to the Contractor Portal?

For companies with multiple establishment(s) or functional/business unit(s), please be advised that the initial user who registers for the Contractor Portal is by default an Admin User and is responsible for granting any other user(s) access to the portal on behalf of the company. No other user(s) will be able to access the portal without the Admin User first granting access. Accordingly, OFCCP strongly recommends that the initial user be someone from the Parent Company/Headquarters with authority to grant access and permissions to designated official(s) at each establishment(s) or functional/business unit(s) that need to certify compliance.

4. Can a user access the Contractor Portal for companies with different Employer Identification Numbers ( e.g., a representative that is accessing the portal on behalf of different companies)?

Yes, this is possible. However, each user must have a different registered email address and Login.gov account to access the portal.

5. Can I have more than one user?

Yes, you can add as many users as is needed by your company of both types of users ( i.e ., Admin and Non-Admin users).

6. How do I add new users from my company to the Contractor Portal?

Admin Users can add additional Admin and/or Non-Admin Users for their company by following the steps in the OFCCP Contractor Portal Federal Contractor User Guide and the Multi-User Functionality How-To Video found on the Contractor Portal Landing Page: OFCCP Contractor Portal | U.S. Department of Labor (dol.gov)

7. How do I change the role of a user who was granted access ( e.g.,  Changing an Admin User to a Non-Admin User)?

To change the role of any user ( i.e ., Admin User or Non-Admin User), you must contact the Contractor Portal Technical Help Desk by using the Help Request Form on the Contact Us Page: https://contractorportal.dol.gov/contact

8. One of my company's assigned users has left the company or is no longer in the role. How do I remove their access to my company's records?

To remove a Non-Admin User's access from any of the establishment(s) or functional/business unit(s) that they are assigned, an Admin User will follow these steps:

  • Select "Users" from the left navigation menu. A table with a list of Usernames (as identified by each user's registered email address), Roles, and Action will be displayed.
  • Select the "Assign" link beside the Non-Admin User whose access you want to remove.
  • All the establishment(s) or functional/business unit(s) that the Non-Admin User has permissions to manage will have a checkmark next to them. Uncheck the ones for which you would like to revoke access and click "Assign" or click on the "Remove User from all Establishments" button to remove the Non-Admin User from all Establishments or Functional/Business Units.

To remove an Admin User from your company, contact the Contractor Portal Technical Help Desk by using the Help Request Form on the Contact Us Page: https://contractorportal.dol.gov/contact

9. I am having difficulties with the multi-user functionality. Who do I contact?

If you encounter difficulties with the multi-user functionality or need assistance, contact the Contractor Portal Technical Help Desk by using the Help Request Form on the Contact Us Page: https://contractorportal.dol.gov/contact .

Additional information can be found in the Contractor Portal Federal Contractor User Guide and the Multi-User Functionality How-To Video found on the Contractor Portal Landing Page: OFCCP Contractor Portal | U.S. Department of Labor (dol.gov)

1. Who is required to certify AAP compliance through the OFCCP Contractor Portal?

Supply and service contractors who meet OFCCP’s jurisdiction thresholds are required to use the OFCCP Contactor Portal to certify AAP compliance for their establishments and functional/business units.

2. What will my company be required to certify through the OFCCP Contractor Portal?

For each establishment or functional/business unit, the contractor has to decide which of the three following certification statuses apply. The certifications offered are:

  • Entity has developed and maintained affirmative action programs at each establishment, as applicable, and/or for each functional or business unit;
  • Entity has been party to a qualifying federal contract or subcontract for 120 days or more and has not developed and maintained affirmative action programs at each establishment, as applicable; or
  • Entity became a covered federal contractor or subcontractor within the past 120 days and therefore has not yet developed applicable affirmative action programs.

Note: Covered contractors must develop an AAP within 120 days of entering a federal contract or subcontract. New contractors who select option three will have 90 days from the development of their AAPs to access the Contractor Portal and update their certification.

For those contractors that do not prepare an AAP for an establishment with fewer than 50 employees but includes those employees in another establishment’s AAP pursuant to 41 CFR 60-2.1(d)(2), the contractor would select option 1 certification for the establishment with the AAP and the establishment(s) whose employees are covered under that AAP.

3. When certifying compliance with the AAP requirements through the Contractor Portal, what information does OFCCP consider as part of the affirmative action program that each contractor has to develop and maintain?

A contractor is certifying whether it has developed and maintained the following AAP components:

  • The Executive Order 11246 AAP contents, including required annual analyses, described in Subpart B or 41 CFR 60-2;
  • The VEVRAA AAP contents, including required annual analyses, described in Subpart C of 41 CFR 60-300; and
  • The Section 503 AAP contents, including required annual analyses, described in Subpart C of 41 CFR 60-741.

4. When will a contractor be required to certify?

For the 2023 annual certification cycle, existing contractors will be required to complete their certification of establishments or function/business units between March 31, 2023 and June 29, 2023. To prepare for the 2023 certification cycle, OFCCP will reset the status of all entities to “Not Certified” on March 30, 2023.

5. How often will my company be required to certify?

Contractors that meet OFCCP’s jurisdiction thresholds must complete certification for each establishment or functional/business unit annually.

6. How long will the annual certification process take?

OFCCP estimates it will take contractors approximately 6 minutes to certify AAP compliance for each establishment or functional/business unit.

7. How do I complete my certification?

For detailed instructions on the certification process, please see the OFCCP Contractor Portal Landing page which contains a User Guide, how-to video resources, and FAQs.

8. What happens if I certify that I am a new contractor who has not developed its AAP(s) yet?

Covered contractors must develop an AAP within 120 days of entering a federal contract or subcontract. New contractors will have 90 days from the development of the AAP to access the OFCCP Contractor Portal and update their certification. Instructions for updating your certification can be found in the Certification Section of the User Guide, which is located on the OFCCP Contractor Portal Landing page .

9. Which laws does my company have to certify AAP compliance with?

Every contractor is required to certify that they have developed and maintained AAPs pursuant to all of the laws OFCCP enforces under which the contractor is covered: Executive Order 11246, as amended; Section 503 of the Rehabilitation Act of 1973, as amended; and the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended.

10. Do I have to upload my AAP(s) as part of the certification process?

No. OFCCP does not require uploading of AAP(s) during the certification process. The certification process only requires the contractor to select one of three responses on AAP creation/maintenance.

11. Does my company need to certify AAP compliance for establishments located outside of the U.S. and its territories?

No. Contractors should only certify AAP compliance for establishments located within the U.S. and its territories.

12. Will contractors who have FAAP agreements be required to certify AAP compliance?

Yes. Contractors with FAAP agreements will also be required to certify for each functional or business unit AAP.

13. How does OFCCP use the certification information I submit?

OFCCP uses the certification information to help determine contractors’ compliance with their requirements to develop and maintain AAPs. At this time, OFCCP requires annual certification to monitor AAP compliance on a regular basis.

14. Do I have to certify independent subsidiaries through the OFCCP Contractor Portal?

Each independent subsidiary assumes the status of a covered federal contractor, is subject to OFCCP jurisdiction, and is required to prepare its own AAP and certify compliance, if either of these scenarios is true: (1) the subsidiary holds its own covered federal contract(s), in which case it will remain subject to OFCCP jurisdiction; or (2) the subsidiary does not hold its own federal contract(s), but is so closely related to the Parent Company federal contractor as to constitute a single entity for the purposes of OFCCP jurisdiction.

15. How do I certify independent subsidiaries through the OFCCP Contractor Portal?

Independent subsidiaries that are within OFCCP’s jurisdiction can be added to the Parent Company Record in the OFCCP Contractor Portal under the “My Company” tab. Each added independent subsidiary will be listed under the “Manage Establishments or Functional/Business Units” tab. Once all establishments (including independent subsidiaries) are in the "My Company” tab, the contractor could individually certify each of the establishments and/or individual subsidiaries or certify all of them in one bulk certification step. For detailed instructions on the certification process, please see the OFCCP Contractor Portal Landing page which contains a User Guide and how-to video resources.

16. For covered government contractors with a June 1 plan start date, will OFCCP require the 2022 or 2023 AAP to be certified?

Covered federal contractors and subcontractors are required to use the OFCCP Contractor Portal to certify whether they are currently meeting their requirement to develop and maintain annual AAPs. When a contractor selects a response to the certification statement through OFCCP's Contractor Portal, it is selecting the response that reflects its AAP status as of the date it certifies. For example, if a contractor with a June 1, 2023 AAP start date certifies when the Contractor Portal opens for certification on March 31, 2023, then the contractor would be certifying the 2022 AAP (effective June 1, 2022 through May 31, 2023). If the contractor certifies on or after June 1, 2023, it would be certifying the 2023 AAP (effective June 1, 2023 through May 31, 2024).

17. What happens if a parent company files EEO-1 Reports on behalf of its subsidiaries, but does not create AAPs or handle OFCCP audits for subsidiaries? How will the certification process be handled for subsidiaries?

A parent company can invite additional users to register, update records, and certify establishments or functional/business units for the company. The parent company can add as many users as is needed by the company and can assign users for each subsidiary in the manner that works best for the company. For companies with multiple establishments or functional/business units, please be advised that the initial user who registers for the Contractor Portal is by default, an Admin User and is responsible for granting any other user(s) access to the portal on behalf of the company. No other user(s) will be able to access the portal without the Admin User first granting access. Accordingly, OFCCP strongly recommends that the initial user be someone from the Parent Company/Headquarters with authority to grant access and permissions to designated officials at each establishment or functional/business unit that need to certify compliance.

18. How do I confirm my establishment’s certification?

To confirm certification, contractors can log into the Contractor Portal . Within the 'My Company' and 'Managing Establishments' tabs, you will find a column entitled "status". The Contractor Portal immediately updates the certification status from "not certified" to "certified" upon the certification submission. The Contractor Portal User Guide includes a screenshot of the 'My Company' tab on page 12, and a screenshot of the 'Managing Establishments' tab is on page 18.

19. Why is OFCCP collecting the AAP Coverage Period during the certification process?

Collecting the AAP Coverage Period provides OFCCP with greater insight into a contractor’s AAP cycle.

1. How do I update records for my parent company and/or establishments?

For detailed instructions on updating parent company, establishment, or functional/business unit records, please refer to Section 3 of the User Guide (Registration and Records Update), which is located on the OFCCP Contractor Portal Landing page .

2. Where is OFCCP obtaining prepopulated information for my company?

OFCCP’s prepopulated information for parent companies and establishments or functional/business units was obtained from the 2018 EEO-1 report filings.

3. What should a company do if it has experienced a merger/spin-off/acquisition that would not be reflected in the 2018 EEO-1 Reports?

Companies can add establishments or functional/business units to their profiles that have been acquired, and close establishments or functional/business units that they no longer hold, allowing them to maintain the records for that closed establishment or functional/business unit in the system. An Admin User may close an establishment or functional/business unit by setting the "Facility Status" to "Close" on the "Establishment or Functional/Business Unit Records" tab.

The system also allows the Admin User to update information such as the establishment name, DUNS, NAICS, employee count, open/close status, point of contact, address, and mailing address for an establishment or functional/business unit. Upon registration, a contractor can update all this information. Contractors needing further assistance can contact the Contractor Portal Help Desk .

4. Can I bulk upload/modify multiple establishments into the Contractor Portal for my parent company?

Companies with 100 or more establishments or functional/business units may request to have their establishments or functional/business units uploaded in bulk by using the Bulk Upload/Modification Template . For more information on the bulk upload/modification request process, please refer to the Bulk Upload/Modification Request Instructions .

Please note that the bulk upload/modification process will not remove establishments that were listed on the 2018 EEO-1 Report. For example, if a contractor listed 200 establishments or functional/business units on the 2018 EEO-1 Report and sends a bulk upload/modification request for 150 out of the 200 establishments, the 50 establishments not included in the bulk upload/modification request will appear in the Portal. If these 50 establishments are no longer open or they do not have an AAP requirement, the contractor will have to edit the status of each establishment from "open" to "close" to indicate that no certification is required for these establishments.

5. How long should I expect OFCCP to process my bulk upload once I submit a request to the Contractor Portal?

Requests that include all the requested data will generally be processed within seven business days. The contractor must submit its data in the required format or the request will be considered invalid. Invalid requests will be returned to the contractor for correction and will result in delays as the contractor must submit a new bulk upload request with the corrected data. Please note that bulk uploads and processing estimates are for establishments only. Contractors with FAAP agreements must work directly with their FAAP managers to submit this data.

6. What happens if I have inaccurate information in my bulk upload/modification submission?

The contractor is solely responsible for providing accurate establishment data. Contractors should review the accuracy of their submissions before they submit them to OFCCP. If there are any inaccuracies, the contractor must manually correct them within the Contractor Portal.

1. Will OFCCP be importing the functional/business units listed in Attachment A of each contractor’s FAAP agreement?

Yes, for contractors with FAAP agreements approved as of February 1, 2022, OFCCP imported the functional/business units into the Company Profile. For FAAP agreements approved after February 1st, 2022, a contractor should contact its FAAP manager to add its functional/business units into their company profile.

2. What should a FAAP contractor do if it finds that its Company Profile in the Contractor Portal does not contain the functional/business units listed in the FAAP Agreement?

The contractor should email its designated FAAP Manager and request that the functional/business units listed in the Contractor Portal be corrected to match the FAAP agreement. The FAAP Manager will coordinate with the contractor’s representative to make the changes.

3. How should a contractor modify its FAAP agreement and have those modifications reflected in the Contractor Portal?

If a contractor wants to modify a FAAP agreement, it must follow the FAAP modification procedures outlined in the FAAP Directive and described on OFCCP’s Frequently Asked Questions page at https://www.dol.gov/agencies/ofccp/faqs/faap .

To have the modifications reflected in the Contractor Portal, the contractor should email its designated FAAP Manager and notify them of the modification request. Once the modification request is approved, the FAAP Manager will have the modified functional/business units updated in the Contractor Portal.

4. What functional/business units or establishments should be listed under the FAAP Parent Company in the Contractor Portal?

The OFCCP Contractor Portal should only contain FAAP units and establishments associated with the current FAAP agreement. Contractors should ensure that only functional/business units and establishments that are required to develop and maintain an AAP are listed in the "My Company" tab.

The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies

Last updated on November 22, 2023

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Certification Expanded Affiliated Groups (EAG) FATCA Account Creation and Access FATCA Registration System – Overview FFI List General System Questions Global Intermediary Identification Number (GIIN) - Overview Registration Status and Account Notifications Registration System Resource Materials Registration Updates Sponsoring Entity

Certification

Q1. how will i be notified when i need to complete my next periodic certification.

Your message board will indicate that your periodic certification is available for completion and submission.  On your homepage you will find your periodic certification dates and a link to complete the certification.

Added:  November 16, 2018

Q2. Can I change my classification once I have started the certification?

If you are on the certification instructions page, you will be unable to scroll to prior pages and change your classification.  Therefore, you must submit the certification using the classification you selected.  However, you may submit another certification and choose a different classification to correct your prior submission.

You may also update your classification by editing your registration and updating Question 4 -Classification. Additional information on classifications can be found in the FATCA Registration Online User Guide.

Q3. How do I find out if I am required to complete a COPA or periodic certification?

You will receive a message board message notifying you that a certification is available.  However, whether you are required to submit a certification will generally depend on the classification you select at the start of the certification.  Once you select your classification, the system will display a screen indicating whether you are required or not required to submit a certification and you will also receive a message board message.

Q4. Can I upload supporting files for my certification?

No, but additional information can be input while completing a certification, if necessary.

Q5. Will my member be notified if it is included in my certification?

Yes, members of your FI group will be notified that they are included in your certification.  In addition, after you submit the certification, the future certification dates of included members will be updated to match your future certification dates.

Q6. Can I edit my submitted certification?

No, once you submit a certification, it cannot be edited.  You may submit another certification with your updated responses, however, the additional certification will not override the previous certification. When completing an additional certification, the certification will contain certain editable pre-populated information based on responses you provided in your previous certification.  The IRS will keep copies of all submitted certifications.

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Expanded Affiliated Groups (EAG)

Q1. if a lead foreign financial institution (fi) of an expanded affiliated group (eag) registers and lists each member on part 2 of the registration, then would each member of the eag still need to separately register.

Each member financial institution of an EAG must have a registration completed. Once the lead has created its account, in part 2 the lead FI will add basic identifying information for each member creating member FATCA accounts for them.  Each member will then need to log into the system and complete its registration or the lead can complete the registration on their behalf.

Updated:  November 19, 2015

Q2. Once the lead Financial Institution (FI) has its FATCA ID, will it be possible for each of the member Expanded Affiliated Group (EAG) entities to log on at the same time to register?

Once the Lead adds a member under part 2 of the Lead's registration, the system will generate a FATCA ID and temporary access code for the member (thus establishing the member’s account). The Lead provides the FATCA ID and temporary passcode to the member so it can log into its member account. Each FI has its own account, so the Lead and member(s) can all be logged in at the same time to their own accounts. Because the Lead FI has access to member accounts, only one (either the Lead or Member FI) can access the member account at a time.

Updated:  April 25, 2017

Q3. Does a member FI type need to wait until the lead FI has obtained a GIIN before it registers or obtains a GIIN?

Once the member FI account has been created by the lead, the member FI can complete and submit its own registration.  The member FI registration processing and GIIN assignment is not dependent on the lead FI registration status or GIIN.

Q4. Can there be more than one lead to an expanded affiliated group (EAG)?

Yes. Each lead will submit a separate registration and add its own members to the FATCA account. On question 13 of the registration, each lead identifies if it is the common parent entity of the EAG.

Q5. How does the lead Financial Institution (FI) access its member FI accounts?

Once a lead FI creates its member accounts, it can access the accounts by clicking on the “member information” link from its homepage, and clicking on the name of the member FI in the All members table. The lead FI can access each of its member accounts under its own lead FI account login – it does not need to log into each of the member accounts separately.  However, since only one person can access the account at a time, the lead FI will get an error message if it tries to access the member account when the member FI is logged in, and the member FI will not be able to log into its account if the lead FI is accessing it.

The lead FI can access the member FI information only when the lead’s account status is Initiated, Registration Submitted, Registration Incomplete or Approved.

Q6. Can a member FI transfer to another expanded affiliated group?

A member may initiate a transfer from one expanded affiliated group to another when they are in approved status. The member will need to check with the lead of the new EAG to obtain the new lead’s FATCA ID.

Follow the instructions in the FATCA registration user guide to complete the transfer to another expanded affiliated group.

Updated:  November 16, 2018

Q7. Why was my transfer request cancelled or expired by the system?

Your transfer request into an expanded affiliated group (EAG) would have been canceled for the following reasons.

  • Your registration status or the new lead’s registration status has changed to a status that does not allow transfers.  
  • The EAG has reached the maximum number of members allowed.
  • The lead did not accept the transfer within 45 days of its origination.
  • You did not finalize the transfer within 45 days of the lead’s acceptance.

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FATCA Account Creation and Access

Q1. what is the maximum number of points of contact allowed on the registration.

The Responsible Officer for the FI identified in Question 10 of the Registration form is the individual with authority under local law to submit the information provided in the registration on behalf of the FI or direct reporting NFFE.  In addition, the RO may identify five (5) additional points of contact in Question 11 of the Registration form.

Updated: November 16, 2018

Q2. What are the access code requirements for FATCA accounts?

When creating a FATCA account, a single, lead or sponsoring entity FI will create an access code (like a password) to be used with the system assigned FATCA ID for all future logins to the account.  The access code must be between eight and 20 characters and include at least one uppercase letter, one lowercase letter, one number, and one of the designated special characters (~! @ # % ^ * ( ) ? , .). 

For member FIs, the registration system will generate a unique FATCA ID and a temporary access code for each member when the lead FI adds a member.  The lead FI will provide the login information to each of its member FIs. When each member FI logs in to their FATCA account, they will be prompted to select a new access code and set answers to challenge questions.  Challenge questions and access code cannot be reset for any member by the lead FI.  They must be managed individually by the member FI.

Q3. What are challenge questions used for?

You are required to select and answer challenge questions from a predefined list when creating an account or at first time log-in. Challenge questions will be used by you to reset your access code if you forget it. Challenge questions and answers can be reviewed and updated at any time when you are logged into your account. From the home page, you can select the “Challenge Questions - Edit/Review” option and review and make changes as necessary.

Q4. Can a member of an expanded affiliated group (EAG) create their own FATCA account?

A member financial institution (FI) cannot create its own FATCA account. The lead FI will create all their member accounts and provide each member FI with its login credentials. Once the account is created, either the lead or the member can complete and submit the registration.

Q5. How long does it take for a lead FI to create FATCA IDs for its member FIs?

Once the lead FI creates its own FATCA account, and has completed Part 1 of the registration, it will create the FATCA accounts for each member by adding the members in Part 2, question 12 of the online registration. As soon as a member’s information is completed, and the “add another” button is clicked, that member FI will appear in the table below the question with its newly created FATCA ID and temporary access code.

Q6. How can I change the access code for the FATCA account?

You can change the access code by logging into the FATCA account, and selecting the “Access Code – Change” option from your home page.  You can also reset your own access code by clicking on the “Forgot FATCA ID or Access Code?” link from the login page, and following the instructions to answer the challenge questions provided during registration.

If you are a member financial institution, you will be required to change your temporary access code provided by your lead FI the first time you log into the system.

You will need to change your access code if you change your FI type or transfer to another expanded affiliated group. A temporary code will initially be provided and must be changed.

If you need to reset your access code and cannot answer the challenge questions, you may get further assistance by visiting the FATCA Registration System Technical Support page and scrolling to the telephone support section at the bottom of the page.

FATCA Registration System - Overview

Q1. what is the fatca registration system.

The FATCA Online Registration System is a secure, web-based system that users may use to register, renew their agreement, and certify, for themselves and associated entities (if any) online.

Updated: November 16, 2018  

Q2. How do I get to the FATCA Registration Login Page?

 You can access the FATCA Online Registration System from FATCA Registration Landing Page , and then click on Register or Login which will direct you to the FATCA Financial Institution Account User Login page.Subscribe to the FATCA News and Information List

Q1. When does an FI or direct reporting NFFE need to have their registration approved to be included on the monthly published FFI list?

Registered FIs and direct reporting NFFEs will be included with their GIIN on the monthly IRS FFI List if their registration is in approved status both five business days prior to the last business day of the month (Monday through Friday, excluding U.S. holidays) and the last business day of the month. Additional information regarding the FFI List can be found on the About the FATCA FFI List Search and Download Tool and in the FATCA FFI List FAQs .

General System Questions

Q1. in what language is the registration system available.

The registration system is in English only.

Q2. What internet browsers are supported?

The FATCA online registration system is compatible with the following browsers:  Microsoft Edge, Google Chrome and Mozilla Firefox.

Updated: July 9, 2021

Q3. Does the FATCA registration system support multiple tabs or windows?

The FATCA Online Registration system does not support account log-in with more than one tab or window at the same time.

Q4. What is the maximum number of users that can access a FATCA account at one time?

Only one user can log into a FATCA account at a time. Each account has its own unique FATCA ID and access code. Although the login credentials (FATCA ID and access code) can be shared between the Responsible Officer and up to five (5) points of contact designated on the registration, only one person can access the account at a time.

For expanded affiliated groups, each member FI has its own FATCA ID and access code, so members log into the system independent of other members of the group or the lead. The lead FI has access to all its member FI accounts but cannot access a member’s account while the member is logged in; and the member cannot log into its account, if the lead is accessing the member’s page.

Sponsored entities and branches do not have individual FATCA accounts. Therefore, they are not assigned FATCA IDs.

Q5.  What is the FATCA ID?

The FATCA ID is a system generated number issued by the registration system when a FATCA account is created. The FATCA ID is used with an access code to log in to the system and to identify the account for purposes of registration. It is not the same number as the global intermediary identification number (GIIN). FATCA IDs are not case sensitive.  The system displays the FATCA IDs as uppercase letters only. They do not contain the letter “O”. If your FATCA ID has a character that looks like the letter “O”, enter the number zero (0).  A member’s FATCA ID contains a period after the sixth character and must be included to log in.  A sponsored entity’s sponsored entity ID looks like a FATCA ID, but cannot be used to log into the registration system.

Q6. What are the requirements for the access code?

The access code must be 8-20 characters and include at least one uppercase and lowercase letter, one number, and one of the designated special characters (~! @ # % ^ * () ? , .) .

Q7. Are all questions in the registration system applicable to me?

Depending on your answer to a question, the system will automatically skip over the questions that do not apply to you. Fields that are mandatory are marked with an asterisk at the end of each question.

Q8. Will there be an automatic check of legal names against a database to prevent misspellings?

The system will not check the legal name against any database for spelling or format issues.

Q9. What are the requirements for entering the financial institution or direct reporting NFFE’s legal name?

The FATCA online registration system can capture 150 characters, including spaces.  Further, only upper and lower case letters (a-z, A-Z), numbers (0–9) and the following special characters are accepted: blank space, ampersand, hyphen, forward slash, period, comma, apostrophe, pound sign, percent sign, brackets, parentheses, and curly brackets (% - / . , ' # % [ ] ( ) { }).  The legal name cannot start with a special character. 

To the extent that the full legal name can be entered, please do so.   If however, the full legal name does not fit, please note the following:

  • At least the first 100 characters must match the FI’s legal name.
  • Any legal and numerical designations must be included in the remaining 50 characters.
  • No abbreviations in the first 100 characters, but otherwise it is okay to abbreviate.

Q10. How can a financial institution or direct reporting NFFE register an entity located in a newly formed country or jurisdiction?

The FATCA registration system is regularly updated for new countries and jurisdictions.  If the country/jurisdiction is not listed, select “other” for the country/jurisdiction.  For the most recent listing of country/jurisdictions, please visit FATCA Online Registration System: Country/Jurisdiction Listing .

Q11. Do I have an opportunity to review my questions and responses before I submit my registration?

Yes, you have an opportunity to review your answers multiple times before submitting the registration.

Q12. Can I download my registration information?

If your account is in registration submitted or approved, you can download the registration questions and answers, as well as the points of contact table in PDF format via the Print Registration Information link on your account home page.

Other registration tables are available for download under “Available Account Options” and "My Information" in PDF and CSV formats.  PDF files can be downloaded and printed in the PDF Viewer. CSV files can be downloaded and imported into most spreadsheet products.

Sponsoring entities may download their list of sponsored entities in PDF or CSV format.

Global Intermediary Identification Number (GIIN) - Overview

Q1. what is a giin.

GIIN is a Global Intermediary Identification Number assigned by the FATCA Registration System to financial institutions and direct reporting non-financial foreign entities.  Those assigned a GIIN may use it to identify themselves to withholding agents and tax administrations for FATCA reporting.

The GIIN, formatted as XXXXXX.XXXXX.XX.XXX, is a 19-character identification number that is made up of several identifiers from the FATCA registration system. These characters will never contain the letter “O”.

More information on the GIIN can be found on the GIIN Composition Information page.

Q2. Are the period (.) separators in the GIIN required?

Yes. The period separators account for three characters in the 19-character identification number. Please see the GIIN Composition Information .

Q3. Will financial institutions (FIs), direct reporting NFFEs and branches that are limited be issued GIINs?

No, FIs, direct reporting NFFEs and branches will not be issued GIINs.

Q4. How are GIINs assigned to branches?

If a Financial Institution added branches to the registration, each approved branch will be issued a GIIN.  If more than one branch is entered with the same country/jurisdiction name, then all branches in that country/jurisdiction will receive the same GIIN.  The FATCA Registration Online User Guide PDF has more information on how to register branches.  Please also reference the GIIN Composition Information   page posted to understand how the GIIN is composed.

Q5. Where does a financial institution locate its GIIN?

A GIIN is issued to an FI or direct reporting NFFE when its registration is approved. Each can log into its FATCA Registration account and view it’s GIIN under the account information section of the home page. Lists of branches, members, sponsored entities or sponsored subsidiary branches associated with an account can be downloaded with their GIIN from the Download Registration Tables on the account home page.

If an FI has added branches to the registration in question 9, each approved branch will also be issued a GIIN. An FI can view their branch GIINs in Question 9 of the Registration or by using the Branch Information Link from its home page.

Lead FI’s can view and download member FI information, including GIINs, from the Member Information Link on its home page.

For sponsoring entities, separate GIINs will be assigned its approved sponsored entities and sponsored subsidiary branches listed on the FATCA account. 

Q6. After a registration is approved, can a GIIN be cancelled or removed if the registration is edited?

A financial institution in approved status can edit its registration by logging into its FATCA account and selecting the Registration – Edit link. The links are located on your account home page under the Available Account Options section.  The registration status and the GIIN will not be affected by this edit unless either the country of tax residence in question 3 is changed.

Changing the country in question 3 will affect the last three characters of the GIIN. The changes will not occur immediately, but will occur when the registration is reprocessed.

Registration Status and Account Notifications

Q1. what type of notifications will the fatca registration system provide.

The FATCA Registration system will send emails to the responsible officer (RO) to check the FATCA account when a change has occurred to the account or an action is required. There will also be messages posted on the account’s message board, which can be accessed on the home page of the FATCA account. 

Depending on the financial institution type and the nature of the change, notifications will occur for registration status changes, transfers to an expanded affiliated group, financial institution type changes, renewal of FFI agreement, certification, and other required actions. Sponsoring entities will also receive email notifications about status updates for multiple sponsored entity file uploads.

Q2. Where does an FI go to check their message board?

The message board is located on the home page of its FATCA Registration Account.  You will need to log into your FATCA registration account to view the message board and the message board is located in the upper right part of the home page.  The responsible officer is notified via email when certain messages are posted.  Additional information regarding the message board can be found in the FATCA Registration Online User Guide PDF .

Q3. How can a Financial Institution check the status of its registration?

You can check the status of your FATCA registration by logging into your FATCA account and checking the account status displayed on the home page. The system will also generate automatic email notifications to the responsible officer (RO) to check the FATCA account when a registration changes. A list of statuses and their definitions can be found in the appendix of the FATCA Registration Online User Guide PDF .

Updated:  April 25. 2017

Q4. Can the Responsible Officer (RO) list more than one email address on the registration system?

The RO can only list one email address in question 10 of the registration.

Therefore, the RO should carefully consider which email address is provided in question 10 of the registration. The other points of contact may inquire about the account and their email address will be used for verification.

Q5. What information will be in the notification email the RO receives?

The notification email will include a generic message to the RO to check their FATCA message board.   This email will include the last several characters of the FATCA ID so that the RO can identify to which FATCA account is being referred. 

Q6. Why is the RO not receiving FATCA notification emails regarding the account status and updates?

If the RO is not receiving notification emails, please verify that the RO’s email address entered in Question 10 of the Registration is correct.  Additionally, to ensure notification emails are not sent to a Spam or Junk Mail folder, [email protected] should be added to the RO’s email contact list.

Registration System Resource Materials

Q1. what help is available for the registration system.

In addition to these FAQs, the FATCA Registration Online User Guide PDF provides information on how to answer questions and navigate through the online system.  Links to short “how-to” videos for the Registration system and other relevant reference documents about the system’s functionalities are also available on the FATCA Registration Landing Page .

Within, the FATCA online registration system are help icons (question marks) with information on particular questions or fields.

Q2. How do I contact someone for further questions or to report technical problems?

Once logged on, at the top of each page of the FATCA registration system, you will find there is a navigation bar with a “get help” option. This provides additional resources and contact information if you have questions or need further assistance. You can also report technical problems from the "get help" page by clicking on the System Support link.

Registration Updates

Q1. how do i edit my registration information.

You can edit your registration if you are in the statuses Registration Incomplete, Registration Submitted, or Approved.

Updates cannot be made on paper.  Once an account is established (whether on the paper form 8957 or online), all updates must occur to your registration online.

To edit  your registration after submission, go to your home page and choose "Registration - Edit" under Available Account Options.

Q2. How can an FI change the FI Type in question 1 of the Registration?

FIs or direct reporting NFFEs can edit their FI Type listed in question 1, if in approved status. An FI can edit their FI type without cancelling their current registration agreement by selecting the  'Change FI Type” link on the home page and completing the registration form again.

The following FI Type changes are allowed within the FATCA Registration system:

  • Member to single
  • Single to lead
  • Single  to member (transfer to an expanded affiliated group)
  • Lead to member (transfer to an expanded affiliated group).

For a lead or a single to transfer to an expanded affiliated group, the FI will need to know the FATCA ID of the new lead of the expanded affiliated group. The new member will receive a new FATCA ID once finalized and assigned a new GIIN if the current account status is approved.

Additional information can be found in the FATCA Registration Online User Guide PDF .

Q3. How can a sponsoring entity change its FI Type?

Unlike a single, member or lead, a sponsoring entity cannot change its FI type.  It would need to create a new FATCA Registration account as a single, lead or member. If the sponsoring entity account is no longer needed, follow the process to cancel the agreement if in approved status.

Updated: September 29, 2020

Q4. How can the responsible officer (RO) or points of contact (POCs) be changed?

To change the RO or POCs, the FI would edit question 10 or 11 of the registration as appropriate.  You can edit this by logging into the FATCA account and selecting the edit account option from your home page.

Because the RO and POCs share the login credentials for the FATCA Account, the access code  may need to be changed when personnel changes. The access code can be changed from the home page by selecting the “Access Code – Change” option.

Q5. Why did my registration status change to incomplete?

If your registration status is Registration Incomplete , it is because the IRS has identified an issue with your registration.  Please review your registration for any of the following errors and update it accordingly.  After you have updated your registration, you must resubmit in order for your registration to be processed.  Note that a financial institution (FI), including its branches, if any, with a Registration Incomplete status will not appear on the foreign financial institution (FFI) List.

Any of the following issues could have resulted in the change to Registration Incomplete status of your registration application:

  • All required fields on the paper registration application were not completed.
  • The FFI has identified itself as a Qualified Intermediary with a QI-EIN of which the IRS has no record.
  • The RO has been identified with initials only; the RO’s full name is required.
  • The RO does not appear to be a natural person.
  • The registration application is a duplicate registration application.
  • Part 4, the certification, was not properly completed.  Part 4 must be completed by a natural person.
  • You failed to renew your FFI agreement.

You can update and resubmit your registration application anytime by logging into your FATCA account and selecting “Registration – Edit/Complete/Submit” under the Available Account Options on your account home page. 

Updated:  November 9, 2017

Q6. How does an FI cancel its agreement? 

Once a registration is in Approved status, the FI will have an option on its home page to cancel its agreement. A lead cannot cancel their agreement if it has active members or pending transfers into its EAG. A lead FI also cannot cancel a member FI's agreement.  The member FI must cancel its own agreement.

Details on canceling agreements can be found in the FATCA Registration Online User Guide PDF .

Updated:  September 29, 2020

Q7. What if I lost or forgot my FATCA ID or Access Code?

There is a link Forgot FATCA ID or Access Code? on the login page with information on how to obtain assistance with login issues, such as losing or forgetting your FATCA ID or access code and how to reset it.

Q8. I am an FI that recently had my FATCA registration status changed from approved to Registration Incomplete because the FFI agreement was not renewed. What should I do to correct my registration and return to approved status on the FATCA FFI List?

Log on to the FATCA FFI Registration System, verify and update the registration information as needed and re-submit the registration agreeing to the new FFI agreement.

Sponsoring Entity

Q1. how does a sponsoring entity fi add sponsored entities in the registration.

A sponsoring entity can add sponsored entities and sponsored subsidiary branches once its registration is in approved status.

There are two ways to add sponsored entities. They can be added individually or via a file upload. Both of these are found by clicking the Manage Sponsored Entities link under Your Information from the home page. The maximum number of sponsored entities is 5000.

The sponsoring entity will need to provide the legal name, country/jurisdiction, and classification for each sponsoring entity. The classification choices are sponsored subsidiary, sponsored fund and sponsored direct reporting NFFE. See the FATCA Registration Online User Guide PDF for more details on how to add sponsored entities.

Q2. Is there a way to add multiple sponsored entity registration data using a file?

 Yes, sponsoring entities have the option to upload an XML file containing registration data for multiple sponsored entities by following the instructions on how to prepare the sponsored entity XML file .  The location to upload your file is within your approved FATCA account on the Manage Sponsored Entities page.  Instructions on how to upload the XML file are provided in the FATCA Online Registration System user guide.

Added:  April 25, 2017

Q3. What are the guidelines to upload a file with multiple sponsored entities?

It is important to follow the guidelines for preparing the file for upload or you will receive a file not accepted message.  During the process of uploading the file of multiple sponsored entities, the file may not be accepted for numerous reasons. Error messages will be sent if the file is corrupt, has errors, cannot be processed or does not follow the schema, among other issues.  Follow the information to adding multiple sponsored entities using a file upload . 

Added:  November 19, 2015

Q4. What if my file upload did not get added or not allrecords were added?

 If the system did not add your file, you will receive a message informing you and the reason for this.  If your file was partially processed, you will receive a message informing you of the partial upload.   Check the sponsored entity table to determine which records were successfully processed and then upload a new file only containing the records that were not added to your sponsored entity table.

Q5. Does a sponsored entity have a FATCA ID and a GIIN?

 Sponsored entities and sponsored subsidiary branches do not have FATCA IDs. They have a sponsored entity ID, but cannot log in to the FATCA registration system.  Once approved, sponsored entities and sponsored subsidiary branches are assigned GIINs and will appear on the FFI List if their sponsoring entity is also in approved status.

Q6. Can the sponsoring entity edit sponsored entities andsponsored subsidiary branches?

Sponsoring entities in approved status can add or delete sponsored entities and sponsored subsidiary branches via the Manage Sponsored Entities link on the FI home page.  Only the legal name of the sponsored entity may be edited without having to delete the sponsored entity.  The sponsored entity or the sponsored subsidiary branch will need to be deleted then added again to update its jurisdiction or classification.  Deleting a sponsored entity will also delete all of its sponsored subsidiary branches and their GIINs (if applicable). 

Q7. Can I download or print the list of sponsored entitiesand sponsored subsidiary branches on my account?

 The list of all sponsored entities can be downloaded in PDF or CSV format from the Download Registration tables link on their home page or the Download Complete Sponsored Entities List from the "manage sponsored entities page.

A list of sponsored subsidiary branches for each sponsored entity can be downloaded through the Download Complete Sponsored Subsidiary Branch List link located on the Manage Sponsored Subsidiary Branches page. This is available in PDF or CSV format and will only include the Sponsored Subsidiary Branches under the selected sponsored entity.  For the entire list of sponsored subsidiary branches for the sponsoring entity, click on the Download Registration Tables link on the sponsoring entities home page.  This is only available in CSV format.

The FATCA Registration System support team cannot respond to questions regarding FATCA regulations, your FATCA Registration account, FATCA Related Forms, or International Data Exchange Service.  

  • For guidance on FATCA regulations and requirements, refer to FATCA Regulations .
  • For FATCA Registration account-related questions, please log into your FATCA Registration account and review your message board or refer to the FATCA Foreign Financial Institution Registration .
  • For guidance on FATCA Related Forms and instructions for completing them, refer to FATCA Related Forms .
  • For International Data Exchange Service questions refer to FATCA IDES Technical FAQs .
  • Forgot your FATCA ID or Access Code? Refer to  Forgotten FATCA ID and Access Code . 

FATCA Registration System Technical Support:

If you need system support for the online FATCA Registration, including help with login problems, error messages and other technical issues, please contact FATCA Registration System Technical Support .

Comment on FATCA Compliance

If you have additional comments about FATCA compliance, please submit your comments .

NOTE: Do not provide any personal identification information such as your name, taxpayer identification number, social security number, address, or telephone number.

Additional Support

Additional FAQs are available for the FATCA Registration System , FATCA – FAQs General , FATCA FFI List , FATCA – Form 8938 FAQs , FATCA IDES Technical FAQs , and FATCA – IRS Report Notification FAQs .

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  • Chapter I —U.S. Customs and Border Protection, Department of Homeland Security; Department of the Treasury

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19 U.S.C. 66 , 1448 , 1484 , 1624 .

T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, unless otherwise noted.

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Part 142—entry procedures.

T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, unless elsewhere noted.

Editorial Note

Editorial remark:.

Nomenclature changes to part 142 emerge according CBP Dec. No. 16–26, 81 FRESH 93019 , Dec. 20, 2016.

§ 142.0 Scope.

This part sets forth requirements and procedures relating to (a) the entry of merchandise, as authorized by section 484, Standard Act of 1930, as amended ( 19 U.S.C. 1484 ), and (b) special sanctions with instantaneous delivery of merchandise, as unauthorized by section 448(b), Fares Act of 1930, as amended ( 19 U.S.C. 1448(b) ).

Subpart A—Entry Education

§ 142.1 definitions..

On definitions of “entry”, “entry summary”, “submission”, “filing”, “presentation”, “entered used consumption”, “entered for warehouse”, both “entered temporarily under bond”, as these terms relate to one entry of merchandise, see § 141.0a of this chapter .

(R.S. 251, since changes, secs. 623, than amended, 624, 46 Stat. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 PER 46821 , Aug. 9, 1979, as amended by T.D. 84–213, 49 FR 41184 , Oct. 19, 1984]

§ 142.2 Start for filing entry.

( a ) General rule: After arrival of merchandise. Merchandise by which entry is require will be entered within 15 calender days after landing from a vessel, aircraft or choose, or after arrival at the port of destination in the case of merchandise transported in bail.

( b ) Before travel of merchandise —

( 1 ) Entry. The entry documentation required by § 142.3(a) allow be submitted before the merchandise arrives within the limits of the port where entry is to breathe made, in which case the time of entry shall to the time particular in § 141.68(a) .

( 2 ) When entry chapter serves as entry. The entry summary when it will be files at point of entry to serve as both the entry both who entry summary, while granted inches § 142.3(b) , might be submitted for preliminary review in accordance with §§ 141.63(a) press 142.12(a)(2) .

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, like amended by T.D. 02–65, 67 FR 68035 , Neujahr. 8, 2002]

§ 142.3 Entry documentation required.

( a ) Page. Except as provided in paragraph (b) of this section, and entry dokumentation required to secure the publication of merchandise must are von the following:

( 1 ) Entry. CBP Form 3461 (appropriately modified), or its electronical equivalent, unless such CBP Submission 7533 (appropriately modified), or his electronic equivalent, in duplicate, mayor must used in place of CBP Form 3461 for merchandise immediately from a contiguous heimatland. The form used must be prepared in conformity with § 141.61(a)(1) of all part .

( 2 ) Evidence the the right to make entry. Evidence of the right to make entry, as set to in § 141.11 of those episode .

( 3 ) Commercial invoice. A commercial invoice, except that in those instances listed in § 141.83(d) of this chapter where a commercial invoice remains doesn vital, a per forma invoice otherwise other acceptable documentation listed is which section may be submitted in placing of a commercial accounting.

( 4 ) Packing list. A packed browse, where appropriate.

( 5 ) Other technical. Other browse which may be required until CBP or other Federation, State, or local organizations for a particular free.

( 6 ) Identification. When merchandise has imported having been sold, or consigned, to a person in the United States, the name, street address, and appropriate identification number of this person, as provided in § 24.5 in the chapter , must be shown on the entry document (CBP Form 3461, 3461 ALT, 7501), or own electronic equivalents. When, for this time of immediate shipping, entry or enable, at is nope known shopper, the name, street address, and appropriate id number (as above) of an premises in the United States to which to merchandise is to be delivered require shall shown on the entry instead release documents.

( b ) Entry summary documented toward time of entry. When and entry summary is filed at time of entry in accordance with § 142.12(a)(1) or § 142.13 :

( 1 ) CBP Mold 3461 or 7533, or their electronic equivalents, becomes not be required; and

( 2 ) CBP Form 7501 alternatively CBP Form 3311, or to electronic equivalent, (as appropriate, view § 142.11 ) may serve as equally the eintritt press the entry summary database while the additional documentation set forth in bodies (a)(2) , (3) , (4) and (5) of those section and § 142.16(b) is filed.

( century ) Extra copies. To CBP may order additional copies from the documentation.

( d ) Electronic format. The entry documentation identified in this section may be submitted to CBP in either a paper or, where appropriate, an electronic format.

(R.S. 251, as fixed ( 19 U.S.C. 66 ), secs. 484, 624, 46 Stat. 722, as altered, 759 ( 19 U.S.C. 1484 , 1624 ); section. 301, 80 Current. 379 ( 5 U.S.C. 301 ), Pubs. L. 95–410 (Oct. 3, 1978); Pub. L. 96–511 (Dec. 11, 1980))

[T.D. 79–221, 44 FRO 46821 , Aug. 9, 1979, as amended by T.D. 84–129, 49 FR 23167 , June 5, 1984; T.D. 90–92, 55 FR 49884 , Dec. 3, 1990; CBP Dec. 09–47, 74 FR 69020 , Dec. 30, 2009; CBP Dec. 15–14, 80 FR 61289 , Oct. 13, 2015]

§ 142.3a Login numbers.

( a ) Placement off CBP forms. Which importer or broker shall place an 11 character entry number on the aufnahme and associated entry summary documentation. For proof prepare on data processing equipment, the figure shall be printed directly on the formen. For manually prepared documentation, that number shall remain pre-printed in a machine readable format specified by CBP. The same number shall cannot be used by find faster of einstieg transaction.

( b ) Format. The following format, including hyphens, must be employed when showing aforementioned entry number:

XXX-NNNNNNN-N

XXX represents into entry filer code assigned by CBP, NNNNNNN is adenine unique serial which is assigned by the broker or importer, and N is a check count computed from the first 10 characters based on a formula provided by CBP. Importer Create/Update Identity Form (CBP Form 5106) FAQ

( 1 ) Assignment of entry filer user. CBP will assign a unique 3 character (alphabetic, numeric, or alpha numeric) entry folder code to get authorized brokers filing CBP entries. CBP will assigned an entry filer code to certainly importers archiving CBP entries based over importer entry volume, frequency of entry filing, and other considerations. The middleman with importer shall use this assigned code as the beginning three characters concerning the number for any CBP entries, regardless off places the entries are filed.

( 2 ) Entry filer assigned number. For each entry, the broker or importer shall assign adenine unique 7 digit numeric. This number shall no be assigned to more than one transaction.

( 3 ) Check digit. The broker or importer is responsible used ensuring that the checkout number is calculator according data processing featured.

( c ) Pulication of entry filer codes. CBP needs makes available electronica a public of filer codes and the importers, consignees, and customs brokers assigned those filer codes. The listing willing being current cyclic.

( d ) Misusing of the entry organizer code. The Assistant Official, Department of International Trade, or this designee may rejection to allow use of an assigned entry filer code if it is misused from the importer or broker.

( e ) Alternative procedure. If an importing does not have an assigned eingangsbereich filer code, or is the Assistant Commissioner, Office of International Trade, or his designee, in complies with body (d) of this section refuses to allow use of an assigned entry filer code, that importer or broker shall obtain types at a CBP assign pre-printed machine clear get number with adenine computed restrain digit. These forms will breathe available for sale by CBP and must be obtained and used before who merchandise may remain publish from CBP custody.

[T.D. 86–106, 51 FR 19167 , May 28, 1986, while amended by T.D. 98–25, 63 FR 12996 , Maritim. 17, 1998]

§ 142.4 Bond requirements.

( a ) At the time of entry. Except as provided in § 10.101(d) of this lecture , or paragraph (c) of this section, merchandise shall not be released from Duty custody at that frist Customs receives the entry documentation or the entry summary animation which serves because both aforementioned entry and the entry brief, as requirement by § 142.3 unless a single entry instead running bond on Customs Form 301, containing the bond conditions set forth inches § 113.62 of this chapter , executed by an approved corporate surety, or secured by cash stockpiles or obligations of the United States, than provided used in § 113.40 of this chapter , got been filed. If any of the imported merchandise is subject to a tariff-rate quota and is to to released the a time while the applicable quota is filled, the full daily be be used in computing the estimated taxes to set the billing of the sell.

( b ) If entry summary is filled after entry.

( 1 ) Excludes such provided in § 141.102(d) of save sections , are the entry summary can filed after the einlass, the bond filed under that time to entry, as required by paragraph (a) of this section or by § 142.19 , shall continue to be obligated unless a superseding bond is filed, as provided in § 141.20 of this chapter , or unless ampere loan of the type described in paragraph (a) of this section is filed under the condition described in paragraph (b)(2) of this section. If a superseding bond is filed, or if adenine bond can filed beneath the circumstances described in paragraph (b)(2) of this section, the mandates of the primary bond shall be terminated as to any liability which may accrue before the superseding button other bond becomes effective.

( 2 ) If entry is made in which call of an agent, supported by the agent's bond, or in the name of a principal, supported by the principal's bond, real the entry summary thereafter is filed in the name of which select party, the celebration names in the entry summary shall file a loan on Customs Formulare 301, containing the bonds conditions set forth include § 113.62 of this chapter . In this circumstance, aforementioned bond obligation of the party in whose name entry was made shall shall terminating, as at liability which may accrue after the bond filed by the party named in the entry summary becomes effective, and the party filer the entry summary needed not file to separate declaration of the actual owner and the superseding bond otherwise required under § 141.20 of this chapter .

( c ) Waiver of surety or cash deposit.

( 1 ) The port director maybe waive the requirement for surety or cash depot on the bond required by this section whereas

( i ) the value of the merchandise which of bond secures does not exceed $2,500,

( ii ) the entry summary documents is filed both estimatedduties, if any, are deposited prior to release of the merchandise and

( iii ) the importer has not been delinquent or otherwise remiss within optional deal with Taxes.

( 2 ) This authority to waive surety or pos deposit does doesn apply to

( ego ) root product,

( ii ) any type of merchandise which, in the opinion of to port director, cannot be easily appraised or classified, or

( iii ) any type on merchandise where there may be, in the opinion of the hook director based on historic get, a question of redelivery.

(R.S. 251, as amended, breaths. 623, as amended, 624, 46 Stat. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, as amended due T.D. 84–213, 49 FREE 41184 , Oct. 19, 1984; T.D. 85-161, 50 FR 38981 , Sept. 26, 1985]

§ 142.5 [Reserved]

§ 142.6 invoice required..

( a ) Contents. One commercial invoice, or to documentation acceptable in place of a commercial invoice into those instances listed in § 141.83(d) of this chapter , shall be furnished with this getting and before release of aforementioned merchandise is authorized. The commercial invoice or others acceptable documentation shall contain:

( 1 ) An acceptable description in the merchandise.

( 2 ) The volume of the retail.

( 3 ) The values or approximate added of the merchandise.

( 4 ) The appropriate eight-digit subheading from the Balanced Rating Schedules of the United States. If the importer is uncertain of the appropriate subheading number, Customs shall assisting his at his request. The port director may skip this requirement if male is satisfied that this information be not available at the time release of the merchandise is authorized.

( 5 ) The name both complete address of the foreign private or firm who is responsible for invoicing this merchandise, ordinarily the manufacturer/seller, but whereabouts the manufacturer a not the seller, the party who sold the merchandise for export to that U.S., or made the stock available for disposal.

( boron ) Information not requested although deposit entry. Inbound addition on the information particular in paragraph (a) of this section, the commercial invoice or substitute create deposited with to entry dokumentation also may include any other create information needed by §§ 141.86 through 141.89 of this chapter . However, if this information does not appear on the invoicing or substitute document filed with the getting documentation, it will be included in the account or substitute document delivered at to time the entry summary documentation can indexed.

[T.D. 79–221, 44 DM 46821 , Aug. 9, 1979; T.D. 80–26, 45 FR 3901 , Jan. 21, 1980, as amended by T.D. 90–25, 55 FR 12343 , Month. 3, 1990; T.D. 90–78, 55 ANGLO 40167 , Oct. 2, 1990]

§ 142.7 Examination of merchandise.

No merchandise for which the entry record required by § 142.3 has been submit take remain released until it has been examined, or until suitable samples have been taken with the case of merchandise which is to be classified and appraised by means of samples, unless this requirement is waived by this port director in accordance with unterteilung 499, Tariff Act the 1930, because amended ( 19 U.S.C. 1499 ).

§ 142.8 Failure to file einfahrt timely.

Merchandise for which timely entry is not filtered as required by § 142.2 shall is treated in compatibility with § 4.37 and part 127 of this chapter .

Subpart B—Entry Chapter Product

§ 142.11 entry summary form..

( a ) CBP Form 7501. The entry summary must be on the CBP Form 7501, or its electronic equivalent, unless a different form or format a regulatory elsewhere in this chapter. CBP Form 7501, or its electrical equivalent, have be former since market class entered for consumption, formally entered for warehouse, or rewarehouse in accordance with § 144.11 of this chapter , and formally entered temporarily from bond under § 10.31 of this chapter . The admission summary for merchandise which may be entered get of duty in accordance with § 10.1(g) or (h) may subsist on CBP Input 3311, or his electronic equivalent, instead of on a CBP Form 7501 (or its electronic equivalent). For merchandise entitled on be input under an informational entry, see § 143.23 of this chapter .

( b ) Extra copies. The CBP can require additional copies from the entry summary if filed in paper.

[CBP Desc. No. 15–14, 80 FR 61289 , Oct. 13, 2015]

§ 142.12 Time for filing or subjects for preliminary review.

( a ) By option of importer —

( 1 ) Filing. Except as provided in § 142.13 , and wholesaler may file to eintreten summary related at the time is eintragung in which case the entry summary, with estimated duties attached, shall serve as both the entry and the entry summary.

( 2 ) Submission since pre review. If the importer planned to file the entry summary documentation at the time of entry, he may present the entry review documentation for preliminary review before arrival regarding the merchandise, are accordance with § 141.63(a) of this chapter . After preliminary review is ready, the entry abstract shall can returned to the import for filing in accordance use paragraph (a)(1) of all section.

( b ) When required. If the importer is doesn necessary to file who entry summary documentation at the time of entry under the provisions of § 142.13 , or if he does don elect to do so, that entry summary documentation shall may filed, with estimated duties attached, through 10 working life after the time by get.

( c ) Estimates duties. Estimated duties, if any, shall be deposited in accordance with an provisions of subpart G from part 141 on this chapter .

§ 142.13 When entry summary must be filed per time of entry.

( a ) Authorize about CBP. The CBP may require that the entry short documentation be filed and that estimated duties, if any, be deposited at which time of entry before the merchandise is released if the importer:

( 1 ) Has failed repeatedly to file on-time entry overview documentation without justification,

( 2 ) Possesses not taken inspire action to settle a claim for wound compensation issued under § 142.15 for failure to file admission abstract evidence timely, or ampere claim for liquidized damages issued under the basic importation real entry get for failure to deposit estimated responsibilities, taxes and charges timely, as provided in such bond. “Prompt action” means that the importer, within the time specified in ampere claim for wound damages, shall petition for relieving or pay the amount claimed and, in appropriate cases, file the entry summary documentation and deposit estimated duties, if any, or

( 3 ) Has repeatedly delivered entry abstract documentation, which is incomplete or which contains erroneous information.

( 4 ) Is substantially or habitually delinquent in to payment of Usage bills. See § 142.14 .

( b ) Special classes of merchandise —

( 1 ) Quota-class trade. Quota-class merchandise is non be released upon free of entry database before presentation of:

( iodin ) An entry recap by consumption with estimated duties attached; other

( ii ) A retract for consumption with estimated duties attached; or

( iii ) An admission summary for consumption, without of estimated duties attached, if the entry/entry synopsis information and a valid schedule statement date take are successfully received by Customs via of Automation Broker Port. (See part 132 or § 24.25 of this chapter .)

( 2 ) Other classes of stock. Entry project documentation, with estimated duties attached, or a dispensing fork consumption with estimate duty attached, or to entry summary by consumption, out the estimated duties attached if this entry/entry summary information and one validation projected statement date have previously been transmitted to Usage override the Automated Middleman Interface (see § 24.25 of this section ) shall be filed at the time of entry before release off any sundry merchandise away adenine course appointed by Customs Headquarters.

( c ) [Reserved]

( degree ) Brokers; restricted. A broker shall not circumvent an action taken under this teilabschnitt through applying for release of the importer's merchandise in that broker's name and under the broker's bond.

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, as amended by T.D. 89–104, 54 FR 50498 , Dec. 7, 1989; T.D. 93–37, 58 FR 30984 , May 28, 1993; T.D. 95–77, 60 FR 50020 , Sept. 27, 1995; CBP Dec. No. 16–26, 81 FORE 93020 , Dec. 20, 2016]

§ 142.14 Delinquent payment of Customs bills.

The following procedure shall be followed if an german is essentially button habitually delinquent in and payments of Customs bills:

( a ) Notice. The importer shall be advised in writing according the interface director in that he is substantially or habitually delinquent the he shall file which entry summary documentation from estimated duties attached, forward his merchandise may exist released coming Customs custody at that port. The notification needs state the reason in the action real advise the importer that if payment of all his defendant Customs bills will not made within 10 active days from the date by the message, he shall be required to file the entry summary record with estimated duties attached, back yours merchandise may be released. In either rechtssache, the entry summary shall serv than both the entry and the entry summary.

( barn ) Take of requirement by port. Provided the imported payable all is deliberate Customs bills within 10 working days after the date of the notice, the requirement shall be removed, and the importer need file only the entry documentation specified in § 142.3 to secure release concerning his merchandise.

( c ) Removal in requirement by Headquarters. If the importer has not paid all his debtors Taxes billing within 10 working days after the date of of notice, man also shall be required to file the entry summary dokumentation, at estimated duties included, under each Customs port. In this case, who introduction summary shall serve as both the entry and the entry summary. This needs shall remain in effect inbound each port of entry for notification is received for Home that the require is removed and is the importer need submit only the entry documentation listing in § 142.3 to secure release of his stock.

§ 142.15 Failure to file entry executive timely.

Is the entry executive documentation a not filtered timely, the port director shall make an immediate demand for liquidated indemnification in the entire amount of the bond in the case of a single entry bond. When the transaction has past charged against a continuous bond, aforementioned demand shall be in the amount that would possess been demanded if the merchandise had been released under a single entry bonding. Any application to canceling liquidated damaged incurred shall be made in accordance equipped part 172 of this chapter .

(R.S. 251, as amended, moments. 623, as amended, 624, 46 Stat. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FR 46821 , Augmented. 9, 1979, as amended by T.D. 84–213, 49 FR 41185 , Oct. 19, 1984]

§ 142.16 Entry abstract documentation.

( a ) Entry summary not filed at time of entry. When the entry documentation is submit in paper previously this entry summary documentation, one copy of the entry document and the advertisement invoice, alternatively the documentation filed the place of a commercial invoice in the examples listed in § 141.83(d) of this chapter , will subsist returned to this importer since CBP authorizes release of the merchandise. Entry documentation could also be transmitted electronically to the CBP Automated Commercial Environment (ACE) or any other CBP-authorized electronical data interchange system. Which importer may usage these documents in preparing the eingabe summary, CBP Form 7501, or its electronic comparison, and must file them with the entry summary documentation within the zeite period stated include § 142.12(b) . The entry summary documentation also must contain either other animation required for a particular shipment unless a bond for missing documentation is on file, as provided in § 141.66 of this chapter .

( b ) Entries summary filed at time of entry. When the enroll abstract documentation is filed or transmitted electronically at timing of entry, the documentation listed in § 142.3 must be filed at the equal time, except that CBP Form 3461 or 7533, with them electronically equivalents, will not be needed. The importer also must file any additional invoice essential for a particular shipment.

[CBP Dec. 15–14, 80 FR 61289 , October. 13, 2015]

§ 142.17 One entry summary for numerous entries.

( a ) System. Besides as provided in paragraph (b) of this section, that Center chief may permit the filing of one zulassung summary for merchandise the subject in separate entries if:

( 1 ) This merchandise has the identical country for exportation, plus the equal country of origins,

( 2 ) The merchandise arrives by land, by the same vessel conversely by the same air carrier,

( 3 ) That merchandise is consigned to the same consignee,

( 4 ) The moment between which date of the first home and the date of the continue entry rabbits doesn exceed 1 week,

( 5 ) That entry summary document is filed within 10 working days from an date of the first entry, and

( 6 ) Each entry is identifying disconnected by entry count to and entry project.

( b ) Merchandise not eligible. One entry summery shall not be used for multiple entries of the following:

( 1 ) Quota-class merchandise,

( 2 ) Ban merchandise,

( 3 ) Articles subject to restrictions which require machining and documentation more frequently than on a weekly basis,

( 4 ) Merchandise for which liquidations has been withheld, and

( 5 ) Merchandise classifiable under this same Harmonized Tariff Scheduling out of United States subheading number, to the eight-digit level having different rates of duty for which entries or instant transportation contact have be deposited. However, this provision lives not applicable in that following circumstances:

( i ) Entries. Entrance may be consolidated if the time of eintrittsgeld shall:

( A ) Before the date of change in set of duty, or

( B ) On or after the date away changing in rate to duty.

( ii ) Immediate transportation entries. Immediate transportation entries may can converged if the date of acceptance is:

( A ) Before the date of change in the rate of duty, or

( B ) On or after the choose of change to rate of duty.

( c ) Entry documentation not in proper form. If an entry summary covering multiple entries refer to entry documentation the is not int right form, the eintragung summary also the entry documentation shall be refused with correction.

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, as amended by T.D. 89–1, 53 FR 51262 , Dec. 21, 1988]

§ 142.17a One consolidated anmeldung summary for multiple ultimate consignees.

( a ) Applicability. The Centered leader may permit one broker as nominal consignee to file a consolidated entry overview in his own name under his own bond covering shipments of enjoy or similar merchandise consigned to various ultimate consignees provided that all and merchandise is:

( 1 ) Imported on the same daily,

( 2 ) Itemized such in any category of merchandise by Harmonized Tariff Schedule concerning the United Says Comments subheading to the ten-digit level, and

( 3 ) Released upon the same day, is under the entry documentation specifies in § 142.3 , or among a feature permit for immediate delivery. A consolidated entry summary may subsist filed for merchandise arriving by land, by the same vessel, or per the alike air carrier.

( b ) Information required set an entry summary —

( 1 ) Separate listing according to ultimate mailer. This estate shall browse separately on the face of the consolidated entry summary the goods for each ultimate destination, together with the adequate entry or special permit numbers.

( 2 ) If different land carriers are involved. If merchandise arriving by different land carriers is included on one entry summary, necessary information pertaining to jede carrier shall be shown up the face a the zulassung summary, related to the applicable shipment.

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, as amended on T.D. 89–1, 53 FR 51262 , Dec. 21, 1988]

§ 142.18 Entry summary not required required prohibited commercial.

( a ) Exportation or destruction of prohibited merchandise. Supposing merchandise released at time of entrance is afterwards found to be prohibited, an authorized CBP official shall demand his return toward Customs custody in agreement with § 141.113 of this chapter , and an entry summary also the deposit of approximate customs, if any, shall not be mandatory provided:

( 1 ) An eintritts for exportation filed using an in-bond application pursuant to part 18 in this chapter , or an application to destroy the merchandise under CBP supervision is made within 10 days for the time of eintrittspreis, and the exportation instead destruction is accomplished promptly, or

( 2 ) An entry for carriage and exportation, stored using an in-bond application pursuant go part 18 starting on branch , is made within 10 days after the time of entry and domestic cartage of to market does not conflict with the requirements of another Federal travel.

( b ) Procedures for exportation conversely destruction. The exportation or damage of prohibited merchandise as required with paragraph (a) shall be in accordance with §§ 158.41 and 158.45(c) of this chapter .

[T.D. 79–221, 44 F 46821 , Eye. 9, 1979, as amended by CBP Dec. 17–13, 82 FR 45406 , Step. 28, 2017]

§ 142.19 Discharge of merchandise under the entry summary.

General, for which an enroll summary serves as either an entry and with entry summarize, take not being released from Customs custody see a borrow shall been filed, with the entry has been liquidated, since follows: CTPAT web

( a ) Bond. General not designated to physical allowed be released to, or upon the order of, the courier if a bond will filed on Customs Form 301, containing the bond conditions setting forth in § 113.62 of this chapter . Merchandise designated for examination maybe may released under which bond after examination is been completed if:

( 1 ) It has been found to be genuinely and correctly invoiced,

( 2 ) He is legally to admission into the commerce of the United States, and

( 3 ) Its publication a not precluded by any rule press regulate. If stock is entered over or on behalf of a Integrated States State specialty instead agency, the stipulation prescribed in § 141.102(d) of these chapter shall becoming accepted in place of an debt.

( b ) After liquidation. If a bond possess not had filed in accordance with paragraph (a) of save section, an merchandise shall no be enable before:

( 1 ) The eintrag can been liable and the full amount of all duties furthermore taxes due, incl dumping or other special duties and charges, has been paid, or aforementioned right to free entry establish.

( 2 ) The port director specifies such the merchandise may be admitted with the commerce of the United States, and

( 3 ) All resources relating to that merchandise which are required by law with regulation have since stored.

(R.S. 251, for modifications, secs. 623, as amended, 624, 46 State. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 GUILDER 46821 , Aug. 9, 1979, as amended by T.D. 84–213, 49 FR 41185 , Oct. 19, 1984]

Subpart C—Special Permit for Immediate Delivery

§ 142.21 merchandise eligible for special permit with immediate delivery..

Merchandise may be released under a special license for immediate delivery, in accordance are section 448(b), Duty Take is 1930, as modifications ( 19 U.S.C. 1448(b) ), in the following conditions:

( adenine ) Contiguous countries. At the discretion by the port project, merchandise arriving by country from Canada or Mexico may be released under adenine special sanction for immediate delivery provided the importer had on file a bond on CBP Formular 301, containing the loan conditions set forth in § 113.62 of is chapter . An entry summary shall be filed in complies with § 142.22(b)(1) , and estimated duties, if any, shall be deposited, during the start period specified in § 142.23 for all merchandise free consistent countries released under a special permit except for fresh fruit and vegetables in human consumption released under the provisions of edit (b) of this teil.

( b ) Fresh fruits and vegetables.

( 1 ) An application by a special permit forward instant consignment may be made for the transportation of recent fruits and vegetables for human consumption arriving from Cadak or Mexico to the importer's premises within the port of imports, but removed from the area right contiguous to the border.

( 2 ) The application shall be accompanied by a continuous bond on CBP Form 301, containing the guarantee conditions set onward in § 113.62 of this chapter .

( 3 ) Of fresh fruits and vegetables shall be transported to this importer's premises into the vehicles in which they crossed the border or, if transshipment is require in transport provided by the importer. The fresh fruits and vegetables may be examined at the importer's premises. That serving without commercial set may must ready of in match with the provisions of § 158.11(b) of this branch , and the balance shall be entered for consumption or transported in bond under an entry for immediate transportation without appraisement either down an entry for transportation and exported.

( c ) Agency by U.S. Government. Merchandise may exist released lower the immediate delivery actions if the shipment is consigned for or for the account of any agency or office of the United States Government, or to an chief or official of any suchlike agency in his official capacity, as provided in § 10.101 the this chapter .

( d ) Articles of a trade fair. Article for an trade fair may be released under the immediate delivery procedure, as provided in § 147.13 away this chapter .

( e ) Quota-class merchandise —

( 1 ) Tariff rate quotas. At the discretion of the port director, merchandise subject to a tariff-rate allocation may must released under a special permit for immediate delivery providing this importer possess on storage an bond go CBP Form 301, containing aforementioned link conditions set forth the § 113.62 of this sections . However, merchandise subject to one tariff-rate quota may not be incrementally released under a special licensing by immediate delivery like provided stylish items (g) and (h) of aforementioned section. Nor is such merchandise eligible for release beneath a special permit pursuant to 19 CFR 141.58(d)(1) . Where a special permit is allowed, an entry executive will being properly provided pursuant to § 132.1 of this chapter within the zeit stated in § 142.23 , or within the conversion period, whichever lapse first. If proper demonstration is not prepared until after the tariff-rate quota is filled, the merchandise shall not be entitled to the quota rate of duty, and the importer shall pay duties at the over-quota rate.

( 2 ) Absoluted quotas. Along the discretion of the port director, transient merchandise about a type approved by CBP Headquarters who is subject to an absolute quota may be released under an special permit required immediate delivery to removal to the importer's premises, or to any other location approved by the port managing, time an register outline is properly presented pursuant until § 132.1 of this chapter . However, merchandise specialty to certain absolute quota below this paragraph may not be incrementally released under ampere special permit required immediate delivery how provided in paragraphs (g) and (h) of this section. Nor is such commercial desirable fork release under a special permit pursuant to § 141.58(d)(1) of this chapter . Where ampere special permit remains authorized, a proper entry summary must be presenting for merchandise as released within aforementioned time specify in § 142.23 , or within the quota period, whichever expires first. If the absolutly quota is filled for the importer has correct presented an entry summary, he may be give an introduction summary for warehouse oder, under CBP supervision, send or remove which merchandise.

( f ) Releases from storeroom followed by warehouse withdrawal for expenditure. Merchandise may be released from warehouse under a special authorize:

( 1 ) Under the discretion of the port direction when:

( i ) The warehouse is located a considerable distance for the customhouse and actual release of the merchandise free the storage may not be effected within the next full business day after the day of the payment of job, and

( ii ) The port possesses sufficiently manpower to allowance such practice;

( 2 ) One importer shall are on files a bond on CBP Form 301, contained the bond conditions set forth in § 113.62 of this click ; real

( 3 ) The immediate service permit shall be annotated to state that a warehouse withdrawal for average will exist filed for this merchandise.

( g ) Split shipments. Merchandise subject to § 141.57(d)(2) of dieser chapter , which is invoiced and delivered to the carrier as a single shipment, but welche, due to the carrier's invalidity the accommodate the merchandise on a lone conveyance, is shipped by the carrier in separate portions to of same port to registration in the Connected States as filed off the original bill of lading, may be released incrementally underneath a special permits. Incremental release means releasing each portion of such shipments separation as they ankomme.

( h ) Bodies shipped unassembled or disassembled on multiple conveyances. Trade subject to § 141.58(d)(2) of this chapter , which is purchased, calculated, and classified as a single entity from the Harmonized Tariff Schedule of the United States (HTSUS), and whatever is ships in separate portions because its size or kind stop shipping the entity on a single conveyance, may be released incrementally under a special permit.

( i ) When authorized by Headquarters. Business may authorize the release of merchandise under the instantaneous delivery method in circumstances other than those described in § 142.21(a) through (h) provided a borrowing on CBP Form 301 contains the bond conditions set advance in § 113.62 of this chapter is on file.

(R.S. 251, as amended, secs. 623, as amended, 624, 46 Station. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FORE 46821 , Aug. 9, 1979, as amended by T.D. 81–260, 46 FR 49842 , Oct. 8, 1981; T.D. 84–213, 49 FR 41185 , Oct. 19, 1984; T.D. 89–104, 54 FR 50499 , Dec. 7, 1989; T.D. 03–09, 68 FRI 8721 , Feb. 25, 2003; CBP Dec. 06–11, 71 FRESH 31927 , June 2, 2006]

§ 142.22 Application for exceptional permit for immediate supply.

( a ) Form. Somebody application for a special license for immediate service will be made turn CBP Form 3461, conversely its electronic equivalent, aided by the documentation provided for in § 142.3 . ONE commercial invoice willing not may required, but for general enable under the provisions by 19 U.S.C. 1484(j) . Instead of one commercial receive, the importer might deliver to CBP a professionally forming invoice, waybill, or other document setting forth an adequate description of this merchandise and the quantities, together with the values or approximate values available values are needful for the purpose of examination. If the merchandise is to be released under a term special permit, the documentation also shall show the term special licence number, as granted for in § 142.24 .

( b ) CBP maintenance. Stock required which a special permit for direct delivery has been issued under § 142.21 of this part shall be considered on remain in CBP custody until the filing of one of the following:

( 1 ) One eintrittsgeld summary for consumption, with estimated duties attached; an entry summary for consumption without estimated duties attached, if entry/entry summary information and an valid booked statement select (pursuant to § 24.25 of this book ) can triumphantly been received with CBP via the Automatized Brokerage Interface; at entry summary for warehouse; or an getting summary for entry temporarily lower bond, which may be filed in any of the circumstances under § 142.21 off is part except for merchandise released from warehouse under § 142.21(f) of this part ;

( 2 ) A withdrawal for use, with estimated duties attached, which will be filed only for merchandise released from warehouse under § 142.21(f) concerning those part ;

( 3 ) Into entry for transportation both international, immediate transportation without appraisement, or manage exportation, which shall be filed in those circumstances under § 142.21(b) and (e)(2) on aforementioned part ; or entry for transportation furthermore exportation, or direct exportation, which shall be stored in the circumstances under § 142.28 of this part or

( 4 ) Einen application to exterminate, which shall be filed in this circumstances under §§ 142.21(b) and (e)(2) , and § 142.28 in this partial .

(R.S. 251, as changing, secs. 623, as amended, 624, 46 Stat. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FR 46821 , Augment. 9, 1979, as amended the T.D. 81–260, 46 CROWN 49842 , Oct. 8, 1981; T.D. 89–104, 54 FR 50499 , Dec. 7, 1989; T.D. 03–09, 68 FR 8721 , Feb. 25, 2003; CBP Dek. 06–11, 71 FR 31927 , June 2, 2006; CBP Dec. 15–14, 80 FR 61289 , Oct. 13, 2015]

§ 142.23 Zeiten limit for filing documentation after release.

The applicable documentation represented in § 142.22(b) shall be filed, and estimated duties, if any, shall be deposited, within 10 working days after the merchandise press any part of who merchandise is authorized available release under a special permit for immediate delivery button, for quota your merchandise within the quota period, whichever expires first.

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979; T.D. 80–26, 45 FR 3901 , Jan. 21, 1980; T.D. 98–34, 63 FR 19399 , Apr. 20, 1998]

§ 142.24 Special permit.

( a ) Condition for issuance. Under the discreet of the port executive, a spezial permit for immediate delivery may be issued on Customs Form 3461, or its electronically corresponding, appropriately modified, for a class or classes of trading particularly described in the application for the permit.

( b ) Notation of value for each shipment. As applying for the release of a shipment of merchandise under a special permit on immediate delivery, of importer shall note a value for the delivery go the documentation presented. The value so noted shall not be much than the invoice value.

(R.S. 251, as fixed, secs. 623, as amended, 624, 46 Status. 759, as amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FOR 46821 , Aug. 9, 1979, how amended by T.D. 84–213, 49 FR 41185 , Oct. 19, 1984; CBP Dec. 15–14, 80 FR 61289 , Oct. 13, 2015]

§ 142.25 Discontinuance away immediate delivery special.

( a ) Authority starting hook director. The connector director may discontinue directly service privileges is the importer:

( 1 ) Has failed multiples to file of applicable Customs documentation set forth in § 142.22(b) timely without justification, or

( 2 ) Has not taken motivate promotional to settle a claim for liquidated losses issuance under § 142.27 for failure to file the applicable Customs documentation set forth in § 142.22(b) timely, or a claim for liquidated damages issued under the basic importation and entry bond for failure to deposit estimated duties, taxes and charge punctual, as provided in such debt. “Prompt action” means that the importer, within the hours default in a claim for liquidated damages shall petition in relief or paypal the amount claimed and, file aforementioned applicable documentation and deposit estimated duties, if any.

( 3 ) Has repeatedly delivered documentation required via § 142.22(b) which is incomplete other which contains faulty about.

( 4 ) Is substantially or habitually suspect in the payment of Customs bills. See § 142.26 .

( b ) Brokers; restriction. A broker shall not circumvent an action taken under this section by applying for the immediate released of the importer's merchandise in the broker's name real below the broker's bail.

[T.D. 79–221, 44 FRI 46821 , Aug. 9, 1979, like edited by T.D. 93–37, 58 FR 30984 , May 28, 1993; T.D. 95–77, 60 FR 50020 , Sept. 27, 1995]

§ 142.26 Delinquent pays are Customs bills.

The following procedures shall be followed if an importer remains substantially with habitually delinquent in the payment of Customs bills:

( adenine ) Notice. An importer shall be advised with writing by the film of the port stylish what he exists substantially or habitually delinquent that his immediate delivery privileges have been suspended. The notice shall state the reason for the promotion press advise the trader that if payment of all his delinquent Customs bills is cannot made within 10 working days from the meeting of the notice, the importer's immediate distribution privileges furthermore shall be suspended at all Customs ports.

( b ) Reinstatement of privileges by haven. Provided the importers pays sum his delinquent Customs account interior 10 working days to the show of the notice, of suspension shall be removed, and the importer's instantaneous delivery privileges shall becoming reinstated.

( c ) Reinstatement of privileges until Headquarters. If the importer has does payers all their delinquent Rules bills within 10 working date subsequently the date regarding the discern, your immediate delivery privileges shall be suspended at all Impost ports. Dieser suspension shall continue in effect in each port of entry until notification has received from Headquarters is the suspension is removed and that the importer's immediate delivery privileges have been reinstated.

§ 142.27 Failure to file documentation contemporary.

If the applicable Customs certification select further with § 142.22(b) is no filed within the time provided in § 142.23 , the port director shall make an immediate request for disolved damages in the amount of to bond in this matter the a single eintragung borrow. Although the transaction have been charge against a continuous bond, the demand shall be for the amount that would do been demanded if the goods been been published under a separate entry bond. Any software for abolition of liquidated claim incidence shall be produced in accord with part 172 a on chapter .

(R.S. 251, as amended, secs. 623, as changes, 624, 46 Stat. 759, when amended ( 19 U.S.C. 66 , 1623 , 1624 ))

[T.D. 79–221, 44 FR 46821 , Aug. 9, 1979, as amended by T.D. 84–213, 49 FR 41185 , October. 19, 1984]

§ 142.28 Withdrawal or entry summary not required for ban merchandise.

( a ) International or demolition of proscribed merchandise. If merchandise released under a special permit for immediate delivery later is found in be prohibited, an authorized CBP public shall demand yours recall in accordance with § 141.113 of like chapter (applicable to the recall regarding merchandise released from Customs custody), and withdrawal or entry summary documentation and the deposit of estimated taxes, if any, shall not be mandatory provided:

( 1 ) The commercial is exported other destroyed under Customs supervision within the time limit to entry designation in § 142.23 , either

( 2 ) An einstieg for exportation or for carriage and exportation filed uses an in-bond application pursuant until part 18 of get chapter , or in application to destroy the merchandise, is made within the specified time limit, and the exportation or destruction is accomplished promptly.

( b ) Procedures for exportation or destruction. The exportation or destruction of prohibited merchandise required by paragraph (a) of this section is be to the same procedures as exportation either destruction of prohibited merchandise covered by a expenditure entry with remission or repayment of duties. See §§ 158.41 and 158.45(c) off this chapter .

( hundred ) Notation upon exportation eingabe. An entry for exported or for transportation and exportation of prohibited merchandise for who no entry short in consumption possessed been filed shall be stamped or printable eminently with which legend:

[T.D. 73–175, 38 FR 17447 , July 2, 1973, as amended by CBP Decal 17–13, 82 FR 45406 , Sept. 28, 2017]

Outlawed Market, No Other Entry Filed

§ 142.29 other procedures applicable..

Merchandise published under a dedicated licence for immediate delivery take be subject to which same procedures applicable to all other imported merchandise, unless specific procedures are set forth by this subpart.

Subpart D—Line Release

T.D. 92–93, 57 FR 44093 , Sept. 24, 1992, unless otherwise held.

§ 142.41 Line Release.

Line Release is to automated system designed to release and tract repetitive shipments. It is a method regarding eintreten or immediate childbirth extended to importers of commercial which CBP deems to be repetitive and high volume. Line Release might be used only at locations approved by CBP for handling Line Release. At certain high-risk locations along the land fronten of the United States (the locations to is published in the Government Register ), who are approved of CBP by dealing Line Enable, the use of Lineage Releases with particular loads mayor be denied until CBP when the imported merchandise is treated by carriers that participate in a CBP-approved industry partnership program.

[T.D. 92–93, 57 FR 44093 , as amended by T.D. 99–2, 64 FR 33 , Jan. 4, 1999; CBP Dec. 11–04, 76 FR 6690 , Febru. 8, 2011]

§ 142.42 Application available Cable Release processing.

In order to obtain approval for processing ein- transactions with Line Release, a broker or importer filing their own entries (entry filer) must submit an application to the port director, signed by this entry files, inches a format described as a Line Release Data Shipping Sheet. The petition must be accompanied by a representative sample in an genuine commercial invoice in the products search to will treat under Line Release. The Line Release Data Loading Sheet must contain the following contact including each info fixed appearing at a separate line.

( ampere ) Port where application your being made.

( barn ) Initiating Company Information: name, address, city, state, contact person, phone number of contact person, and signature.

( c ) Listing of all ports in which the initiation company has filed a similar application for Line Release.

( d ) Country of origin codes (ISO codes from Attachments B of HTSUS) for the product.

( e ) Shipper with manufacturer information: Print, address, city, province/state, country, postal code, indication by noting “M” or “S” whether this resources relates to a manufacturer (M) or adenine shipper (S), and manufacturer identification number of the shipper or manufacturer.

( f ) Importer information (if imported is different than filer): Name, address, city, state and country, zip code, importer number, bond numeral, both surety key.

( guanine ) Entry filer information: Name, importer number, filer code, bond number, and surety coding.

( h ) Article information: Product description, manifest unit of measure, HTSUS number described to sub-heading level for specified product or range are HTSUS numbers at sub-heading layer by multiple products forward which Line Sharing is sought.

( i ) Election concerning whether the Line Enable transaction the go be considered can eingangsbereich or an instantly delivery.

§ 142.43 Line Release your regulatory process.

( a ) Port reviewed. Of connector director shall review all Line Release application up determine whether the shipments qualify for Line Release processing. The port director could contact the applicant for further resources, if necessary. An claim that fails to elect wether the Line Free activity is to be studied an eingangsbereich or einem immediate delivery determination be refused into the applicant. If all required information is submitted, the how will be forwarded to Headquarters for final processing.

( barn ) Order of C–4 Codes. A C–4 Code (Common Commodity Classification Code), which are a unique item identifying the shipper or herstellerin, german, entry filer, and this product for each Line Release shipment, shall be appointed by Seat to each request sanctioned fork Family Release. Headquarters shall annotate either proven application with a C–4 Coding and return the application for the port director who shall returns and approved application to the zugang archivist.

( c ) Denial of Pipe Release application. If and harbor artistic is considering the denial of a Line Release application, review shall be presented to whether in application by the same filer for which same transaction has been approved during another port. If there is not an approved application toward another port and the port director determines that the application should be denied, one application need be noted denied and returned to which entry filer without an C–4 Code annotation by the port director. When an application has been proven at another port, but and port director still questions determines the application should be approved at his port, the connect director shall forward the user to the Assistant Commissar, Office the Information Management. The Office of Data and Technology will review the application or will notify aforementioned port director the the final determination.

§ 142.44 Entry number range.

After an application for Line Release has received final approval, filers must provide the port director, in letter, with a scanning of entry quantity for benefit is the system like that with zulassung number can be assigned automatically to per Line Release transaction. For the purposes of this subpart, “entry number”, when the release is an promptly delivery, merely refers to the Line Share transaction number; here number does did become aforementioned actual entry number until on entry for this merchandise released under the immediate delivery procedure is filed. A disconnected range must be provided for each Line Release site at the haven. That entry numbers shall be used for assignment during who Row Release system. Entry filers shall not assemble these numbers to other entry transactions.

§ 142.45 Use of block codes by beitrag filer.

( ampere ) Printing on C–4 Code. Upon purchase of an approved Border Release usage, the entry paper, in compliance with instructions from the port director, to preprint invoices with the C–4 Coding in bar coding and alpha-numeric format or print labels with the necessary info. Stop codes shall be printed in accordance with this specifications stated to Customs Publication 561 ( Line Release Overview ). Labels or preprinted invoices also shall state the name of the sender or fabrikanten of the product and the nominate the the shipper of record, if other easier one zugang filer, beyond the bar codes and the name of the entry files and a product description below the barcode code.

( b ) Manifold commodity processing. Multiplex commodity processing allows more than single product to be released down one registration number. The shipper/manufacturer, importer of record real the eingabe filer must may that same. Aforementioned product description your the only variable allowed. This commodities should be listed on one invoice with C–4 Code labels on each commodity attached till one invoice.

( century ) Distribution the tag. If labels are used, that labels shall be affixed to the invoices in match with instructions from the port director. One input filler could either affix the labels or distribute the labels on the shippers/manufacturers and instructing them in the use also placement of the labels.

§ 142.46 Presentation of invoice and assignment of beitritt number.

( a ) Presentation for statement. When merchandise that has are approved for Line Unlock shall imported at a Line Release site, the carrier, wholesaler or filer shall present Customs to at invoice using the bar code or codes printed or affixed and, according to which method of transportation, the appropriate manifest document.

( b ) Verification of data. Provided after scanning the bar code at the Line Publish site, that Customs officers verifies the evidence on aforementioned bar code with the information up the invoice, he will key the quantity on the invoice and an entry number will be automatical assigned at the purchase. If thither are anything differences between the system data and the invoicing and hinder code, including any differences the entry storage, the Customs executive shall order an exams.

( c ) Other agency record. If the Line Release shipment requires other agency documentation, the Customs officer at the Line Release site be shall alerted to the require electronically whenever he verifies the data in the bar code with the information on the bill. If the required form be presented to the officer with the documentation package, aforementioned shipment may be released.

§ 142.47 Examinations of Line Release transactions.

( a ) General. Merchandise imported available Row Release general may be released without further CBP handling. CBP, however, may set toward inspect any Line Release shipment. Examinations may be use specifically ordered by the CBP officer or random.

( barn ) Voiding of Run Release billing. CBP may void a Line Release transaction for the following justifications: Because for and examination, because a carrier transporting the Line Release commercial is doesn ampere participant in a CBP-approved diligence partnership program, or because a driver or transfer is does authorized in accordance with the LBCIP. If this happen, CBP will return the invoice to the carrier, and the entry filer, in order up enter merchandise, must prepare and submit either a CF 3461 or 3461 Alternately, or its electronic same.

[T.D. 92–93, 57 FR 44093 , Sept. 24, 1992, as amended by T.D. 99–2, 64 FR 33 , Jan. 4, 1999; CBP Dec. 11–04, 76 FR 6690 , Fb. 8, 2011; CBP Dec. 15–14, 80 FR 61289 , Oct. 13, 2015]

§ 142.48 Releasing procedure.

( one ) General. When an Customs officer among the String Release site determines that a shipment is ready in release, release data, consisting of this entry number, the date also time of release, the inspector's badge number, the quantity the unity of measure, and the C–4 Code will be printed on the invoice and one manifesto document and, when other agency documentation belongs presented, may be printed on this education. The invoice shall be returned up to entry filer and to manifest document needs be retained by Customs.

( b ) Notification up non-ABI enrollee. The returned invoice with one release data shall be the release notification the non-ABI participants.

( hundred ) Notification to ABI participants. Whenever to Queue Relief eintrittspreis filer has an operational ABI participant, the filer shall receive an electronic notification of the release consisting of the international off note figure, the harbour of entry, the filer user, the entry number, the date and time off release, that manufacturer user, the quantity and unit regarding measure, the release side, who HTSUS number(s), who C–4 Id and the country or countries of birth.

§ 142.49 Deletion of C–4 Coding.

( a ) By Customs. A port direct could temporarily or lasting delete an entry filer's C–4 Code without providing aforementioned participant with any justification and without precedent notification in cases of intentional or when public dental, interest, or safety as required, thereby revoking the filer's application of Queue Discharge.

( b ) By entry filer. Entry filers maybe delete C–4 Codes from Line Release by notifying the port director in how on a Deletion Data Loading Sheet. Such notification shall state the C–4 Code which is to be deleted, the port where the C–4 Code is toward be delete and the reason for the requested deletion. A copy of the originally approved Data Loading Blanket must be submitted with the Deletion File Downloading Sheet. If only a temporary deletion is desire, the filer shall state the requested effective scheduled for the deletion and the date the C–4 Code be requested to be returned to Line Release processing.

§ 142.50 Lines Relief data base corrections or changes.

The applicant shall notify the port director of each changes in names, importer or file numbers or relationship information on adenine Line Release Data Loading Bed as soon as maybe. Contact should be accomplished by the submission on a copy of the original loading sheet with a Correction Data Charge Sheet.

§ 142.51 Alternate election of entry or direct delivery.

An applicant anyone has already standard ampere C–4 Code and wishes to altering the election chosen on this Line Release application since the whether the share should be considered an entry or an immediate delivery must submit a letter requesting such change to the port director where the C–4 Code belongs used. This letter must include the C–4 Code to be changed and the date the change is to be effective. If the wanted change is for a temporary period period, the letter shall enclose the date the releases be to return to the release type originally requested. Applications ensure fail in state an effective time of the changes requested will to returned to the applicant.

§ 142.52 Port-wide and multiple port acceptance of Line Discharge.

( a ) Port-wide processing. If an C–4 Code has been approved by the port director, the C–4 Code may be used at any Line Release site at the port.

( b ) Multiple terminal processing. In sort for a C–4 Code approved at one port to be used at different port, aforementioned entry filer must submit an application to the port director of the misc port. While uniform choose shall exist applied to approving similarly transports fork Lineage Release at every ports, a port director may exercise his prudence for deny Line Approval at his port even nevertheless an similar shipment can be approved at next port.

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assigning entity certification

assigning entity certification

CBMA: Assignment Certification Template is Now Available!

As we continue to update you with breaking news on the process to determine eligibility and obtain the tax refunds available under the CBMA/Tax Reform Act, we are pleased to announce the latest update from US Customs.

CBP has published the “CBMA Assignment Certification Template” and we have printed this below for your reference. WSSA is providing services to assist our members in the complete process and please contact us should you be interested in out-sourcing your CBMA process.

CBMA Assignment Certification

The CBMA Assignment Certification is one of the required documents to substantiate a CBMA claim.  The importer/filer must submit this document via the Document Image System, and link to the Importer of Record.

[ assigning entity letterhead]

ASSIGNING ENTITY CERTIFICATION

I ( PRINTED NAME AND TITLE ), currently employed by ( ASSIGNING ENTITY NAME AND ADDRESS ) and authorized to bind the company, certify that ( ASSIGINING ENTITY ) is the producer/manufacturer of the imported ( BEER/WINE/DISTILLED SPIRITS ) that is subject to a Craft Beverage Modernization and Tax Reform Act (CBMA) claim.  I certify that I assigned ( IMPORTER NAME ) to receive the ( X REDUCED TAX RATE/CREDIT ) for ( X NUMBER OF BARRELS/WINE GALLONS/PROOF GALLONS ) for (X CALENDAR YEAR ).  I certify that this assignment and any other assignment given by ( ASSIGNING ENTITY ) during this calendar year does not exceed the production of the ( ASSIGNING ENTITY ) during (X CALENDAR YEAR ).   I certify that ( ASSIGNING ENTITY ) has not assigned more ( BARRELS/WINE GALLONS/PROOF GALLONS ) to this importer or any other importer, individually or collectively, to receive a reduced tax rate/tax credit than is permissible by the CBMA.

I certify that the information contained in this submission is accurate and complete to the best of my knowledge and belief.  I am aware that the information contained in this submission may be subject to verification.  I am aware that eligibility of the ( ASSIGNING ENTITY ) and ( IMPORTER ) for the reduced tax rate/tax credit under the CBMA can be revoked in the case of any erroneous or fraudulent information provided which is deemed to be material to qualifying for the reduced rate.

Signature: ____________________ Date: ________________________

Last modified: 

October 15, 2018

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EY observes: A PFFI (or RM2FFI) that terminated its agreement before the July 2018 IRS system update, but after December 31, 2016, is expected to provide a periodic certification in the IRS system by December 15, 2018. Account access will have expired in most of these cases, so entities will have to seek IRS Helpdesk support to regain access to provide the certification. The IRS plans to release specific guidance on this scenario.

EY observes: Any entity required to certify that does not do so by the due date will not be in compliance with its FATCA obligations. The consequences of non-compliance may include the revocation of the entity's FATCA status and, ultimately, the entity's global intermediary identification number (GIIN) being removed from the FFI list (FAQ Question 12).

Certifications of pre-existing accounts

The FATCA Registration System update adds functionality for the RO to complete a one-time certification of compliance with the due diligence requirements for pre-existing accounts (COPA certification). Once the FATCA Registration System determines that a COPA is required based on FATCA status and domicile, the system will create a message on the message board and will send an email to the RO indicating that the certification is due. The RO will have the option to confirm or modify the FATCA status, and, if still applicable, can then proceed to certify by answering certification questions (available on the FATCA Certifications Webpage ).

Based on the responses to the COPA questions, the system will assign a COPA result to the entity. The available results are "Due Diligence," "Failure to Certify," "Not Required" or "Qualified Certification." Descriptions of each of these results are available on page 57 of the FATCA Online Registration User Guide (Pub 5118 — July 2018). "Due Diligence" means that the RO has not identified any failure by the FI to comply with any of the requirements of pre-existing account due diligence that has not been corrected before the date of the certification. A "Qualified Certification" means that a failure has been identified that has not been corrected as of the date of the certification and will require the entity to respond to a notice of failure from the IRS. In such instance, the entity will need to provide the IRS with a description of and a written plan to correct each material failure.

EY observes : The one-time anti-avoidance certification is included in the COPA certification, if applicable. This certification requires a confirmation that since August 6, 2011, there were no formal or informal practices or procedures in place to assist account holders in the avoidance of FATCA.

Periodic certifications

Similar to the COPA process, the FATCA Registration System will create a message on the message board and send an email to the RO once an entity is required to provide a periodic certification. The system will require answers to specified questions, which are available on the Webpage listed above, under COPA.

RDCFFIs, direct reporting NFFEs, and trustee documented trusts are required to make different certifications, as they have not entered into FFI Agreements with the IRS:

— The RDCFFI certification is generally a confirmation that the entity meets the requirements specific to their status.

— The direct reporting NFFE certification is largely specific to FATCA reporting (e.g., Form 8966); there are also sponsoring entity certifications if the entity is a sponsored NFFE.

— The trustee documented trust certification revolves around FATCA reporting, and having a compliance program in place (that has been reviewed).

Based on the responses to the certification questions, the system will assign a periodic certification result to the entity. The available results are "Not Required," "Compliance," "Qualified Certification" or "Failure to Certify." Descriptions of each of these results are available on page 62 of the FATCA Online Registration User Guide (Pub 5118 — July 2018). "Compliance" means that a certification is complete. A "Qualified Certification" will require the entity to respond to a notice of failure from the IRS and provide the IRS with a description of and a written plan to correct each material failure.

EY observes: While the system allows multiple COPAs and periodic certifications to be submitted with additional or updated information, previously submitted COPAs and periodic certifications cannot be edited or deleted. Entities should carefully analyze the questions and responses before submitting certifications to avoid complications or delays in entity results. Failure to timely certify can cause the system to assume an event of default, potentially revoke FATCA status and remove an entity's GIIN from the FFI list.

Consolidated certifications

Lead FIs acting as the compliance FI for a consolidated compliance group and sponsoring entities are able to make one certification for each member or sponsored entity. An RO certifying on behalf of different types of entities must submit a separate collective certification for each type of entity (or group thereof). For example, an RO certifying on behalf of PFFIs and RDCFFIs must submit two separate certifications, one for PFFIs and another for RDFFIs.

The system will also allow accelerated certifications (e.g., certifications due in 2018 for an entity that has an effective FFI Agreement effective after 2014) only in the case of a lead FI certifying on behalf of members, or a sponsoring entity certifying on behalf of its sponsored entities. The system will list all members or all sponsored entities under the lead FI or sponsoring entity that have effective FATCA Agreements prior to December 31, 2017, and will give the lead or sponsoring entity the ability to align the certification periods. The system will not include member or sponsoring entities with FATCA requirements effective after December 31, 2017.

———————————————

The information contained herein is general in nature and is not intended, and should not be construed, as legal, accounting or tax advice or opinion provided by Ernst & Young LLP to the reader. The reader also is cautioned that this material may not be applicable to, or suitable for, the reader's specific circumstances or needs, and may require consideration of non-tax and other tax factors if any action is to be contemplated. The reader should contact his or her Ernst & Young LLP or other tax professional prior to taking any action based upon this information. Ernst & Young LLP assumes no obligation to inform the reader of any changes in tax laws or other factors that could affect the information contained herein.

Copyright © 1996 – 2024, Ernst & Young LLP

All rights reserved. No part of this document may be reproduced, retransmitted or otherwise redistributed in any form or by any means, electronic or mechanical, including by photocopying, facsimile transmission, recording, rekeying, or using any information storage and retrieval system, without written permission from Ernst & Young LLP.

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Brown & Michaels

Am i entitled to small entity or micro entity fee status .

Many USPTO fees are discounted by 50% for applicants and patentees who qualify as "Small Entities", and (through the 2011 Patent Reform Act) by 75% for "Micro Entities" . Determining whether or not you fit within the "Small Entity" or "Micro Entity" class or not can be complicated. However, it is important to do it right, because the consequences of claiming Small Entity status when you are, in fact, a Large Entity, can be draconian - complete invalidity of a patent and loss of patent rights due to "fraud on the Patent Office". 

Micro Entity Status

According to the  2011 America Invents Act  (a/k/a "Patent Reform"), which became effective on September 16, 2011, implemented in the USPTO rules at 37 CFR 1.29, a "Micro Entity" is an applicant who qualifies under one of these two categories:

A. Qualification based on experience and income:

(1)  Small Entity:  the applicant qualifies as a "small entity", as defined in 37 CFR 1.27, (see below for an  explanation of small entity status ) (2)  No more than 4 previous applications:   neither the applicant nor the inventor nor any joint inventor has been named as the inventor on more than four previously filed patent applications - but  the following applications do not count  toward the four application limit:  applications filed in another country provisional applications international applications for which the National Stage fee was not paid  -  in other words,  PCT applications  which did not go past the International Stage applications resulting from  prior  employment, if the applicant has assigned, or is under an obligation by contract or law to assign, all ownership rights in   the application as the result of the applicant’s  previous   employment. Note that this does not apply to the applicant's current employment.

(3)  Income Test:  neither the applicant nor the inventor nor any joint inventor had, in the calendar year preceding the calendar year in which the applicable fee is being   paid, a gross income (as defined by the IRS) exceeding  three times the median household income for that   preceding calendar year (as most recently reported   by the Bureau of the Census). The income level which will entitle an applicant to "Micro Entity" status (criteria (3), above) is currently (as of June 6, 2023) set to $ 212,352 . For the latest Micro-Entity income number, check with the USPTO website .  According to the  USPTO FAQ  page, for the purposes of this comparison, it is only the inventor's own income which is used in this comparison, not the total income of the household:

Regardless whether an applicant, inventor, or joint inventor filed a joint tax return rather than a separate tax return in the preceding calendar year,  the “gross income” limit applies to the amount of income the person would have reported as gross income if that person filed a separate tax return , which includes, for example, properly accounting for that person’s portion of interest, dividends, and capital gains from joint bank or brokerage accounts.

(4)  No grant of rights to a non-Micro Entity:   has not assigned, granted, or conveyed, and is not under an obligation by contract or law to assign, grant, or convey, a license or other ownership interest in the application concerned to an entity that would not meet (3), above. 

B. Qualification based on Institution of Higher Education status:

"Micro Entities" also include applicants who certify that either:

(1)  Employee of Institution of Higher Education:  the applicant’s employer,  from which the applicant obtains the majority of the applicant’s income,  is an institution of higher education as defined in section 101(a) of the Higher Education Act of 1965 ( 20 U.S.C. 1001(a) ); or (2)  Rights owned by Institution of Higher Education:  the applicant has assigned, granted, conveyed, or is under an obligation by contract or law, to assign, grant, or convey, a license or other ownership interest in the particular applications to such an institution of higher education.
  • These grounds for Micro Entity status are dependent on the applicant's relationship to an "Institution of Higher Education" - and as used here, an Institution of Higher Education is  not  the same as a "not for profit", or a school generally. See the appropriate section of the US Code for the  definition of "Institution of Higher Education" . 
  • Many colleges and universities set up Technology Transfer offices and foundations to handle their patent holdings, for example Cornell Research Foundation or Stanford Research Institute (SRI), and in the past it was standard for applications from professors or the like to be assigned to this office. Under these rules, that would make it impossible to claim the Micro Entity discount, and if the institution wants to take advantage of that, applications should be assigned directly to the institution itself. 
  • All of the prior publicity about this part of the Micro Entity rules referred to this discount being given to Institutions of Higher Education. However, the way the rules were written makes this unclear - it appears that these rules were written before the PTO reversed its previous position and announced that assignees could be applicants. So, the second part of this section refers only to the applicant having  assigned rights to  an Institute of Higher Education, not  being  such an institution. The USPTO's Micro Entity FAQ's explicitly says that Institutions of Higher Education who are also applicants  cannot  take the Micro Entity discount because they cannot be under an obligation to assign to themselves. This is somewhat confusing, and inconsistent with the treatment of applicants vs. inventors elsewhere under the new rules. It will probably be made clear at some time in the future, but until then if an Institution of Higher Education wants to take advantage of Micro Entity fees for an application assigned to it, the inventors should be named as applicants, as was the only possibility in the past. 

Rules and forms:

The final regulations from the USPTO also include the provision that the party claiming Micro Entity status under this section must also qualify as a "Small Entity" (see below). This is intended to prevent Large Entities from qualifying for "Micro Entity" fees by granting some rights to an institution of higher learning. 

The "Micro Entity" 75% discount applies to fees for filing, searching, examining, issuing, appealing, and maintaining patent applications and patents. See our  USPTO Patent Fees page  for a complete list of fees and discounts. 

The USPTO published final rules for administering Micro Entity status on December 19, 2012. The rules were published in the Federal Register at  vol 77 page 75019 , and went into effect on March 19, 2013. 

The USPTO has certification forms which would need to be filed once in any application to give the applicant "Micro Entity" status. There are separate forms for qualification under  Experience and Income status (SB15A)  and under  Institute of Higher Education status (SB15B) . The certification of micro entity status forms may only be signed by an authorized party as set forth in 37 CFR 1.33(b)- an officer of an assignee corporation or organization is not authorized to sign a certification of micro entity status form. This means that the only parties who may sign a certification of micro entity status form are:

  • A registered patent practitioner, meaning a registered attorney or agent who is either of record or acting in a representative capacity under 37 CFR 1.34;
  • An inventor who is named as the sole inventor and identified as the applicant; or
  • All of the joint inventors who are identified as the applicant. If qualified for micro entity status, joint inventor applicants should sign separate copies of the relevant micro entity certification form(s).

While the certification form only needs to be filed once, the applicant's status needs to be reviewed  each time a fee is paid  to make sure that the applicant is still a "Micro Entity" - the status is tied to a comparison of the applicant's income and the income limit published by the PTO for the year in which the fee is paid, or that the majority of the applicant's income comes from an Institute of Higher Education, and that the application wasn't assigned or licensed to a non-Micro Entity, and that may have changed since the form was filed. For example, any of the following would result in a loss of Micro Entity status:

The applicant's income increased over the published limit for the year, because they had a large capital gain from sale of an asset.

The applicant is employed by an Institute of Higher Education, but this year in addition to being a professor at a college, they took a summer job and taught at a ski area during the winter so that their income from their outside job was more than they earned at the Institute. 

The applicant gave a license to a company which wasn't a Micro Entity. 

Small Entity Status

Assuming you are entitled to it, you must make an assertion of your Small Entity status when you file the application. You do this either by checking the "Applicant claims small entity status" box on the transmittal form, or by paying the small entity fee exactly. 

This is the last time you get to claim small entity status just by paying the right fee, though - if your status changes before you have to pay the issue fee (or one of the maintenance fees after issue) you  must  file a written assertion that you are now a Large Entity when you pay the fee. Merely paying the Large Entity fee will not correct your status. Similarly, if you filed your application as a Large Entity, and at the time of paying an issue or maintenance fee you are entitled to Small Entity status, you must file a written assertion of your new status. 

Once you've established your Small Entity status when you file the application, you can continue to pay small entity fees until you (a) file a continuing application (continuation, division, CIP), or (b) file a reissue application, or (c) pay the issue fee, or (d) pay any maintenance fee which is due after the patent issues. Before you take any of these actions, you need to make a new determination of your eligibility for small entity treatment. This is set forth in the Patent Rules at  37 CFR 1.27(f) and (g) :

(f) Assertion requires a determination of entitlement to pay small entity fees. Prior to submitting an assertion of entitlement to small entity status in an application, including a related, continuing, or reissue application, a determination of such entitlement should be made pursuant to the requirements of paragraph (a) of this section. It should be determined that all parties holding rights in the invention qualify for small entity status. ... (g) (1) New determination of entitlement to small entity status is needed when issue and maintenance fees are due. Once status as a small entity has been established in an application or patent, fees as a small entity may thereafter be paid in that application or patent without regard to a change in status until the issue fee is due or any maintenance fee is due. (2) Notification of loss of entitlement to small entity status is required when issue and maintenance fees are due. Notification of a loss of entitlement to small entity status must be filed in the application or patent prior to paying, or at the time of paying, the earliest of the issue fee or any maintenance fee due after the date on which status as a small entity as defined in paragraph (a) of this section is no longer appropriate. The notification that small entity status is no longer appropriate must be signed by a party identified in § 1.33(b). Payment of a fee in other than the small entity amount is not sufficient notification that small entity status is no longer appropriate.

Note that the "Small Entity" or "Large Entity" status applies to the owner of the patent rights  -  not the inventor or inventors, who would always be individuals  under US law. If the owner has granted patent rights to an entity which is not a Small Entity, then the owner cannot claim Small Entity status. 

As stated in  35 U.S.C. 41(h)(1)  and  37 CFR 1.27(a) ,  an owner of a patent or patent application is entitled to Small Entity Status  if and only if:

  • The owner is a "person"  (i.e. individual or individuals)   who has not assigned, granted, conveyed, or licensed, and is under no obligation under contract or law to assign, grant, convey, or license, any rights in the invention. An inventor or other individual who has transferred some rights in the invention to one or more parties, or is under an obligation to transfer some rights in the invention to one or more parties, can also qualify for small entity status if all the parties who have had rights in the invention transferred to them also qualify for small entity status either as a person, small business concern, or nonprofit organization under this section.;  or
  • The owner is a "small business concern",  meaning a business which meets the size standards set forth in  13 CFR 121.801  through 121.805 to be eligible for reduced patent fees.  
Those standards (13 CFR 121.802) say that a concern eligible for reduced patent fees is one: (a) Whose number of employees, including affiliates, does not exceed 500 persons; and (b) Which has not assigned, granted, conveyed, or licensed (and is under no obligation to do so) any rights in the invention to any person who made it and could not be classified as an independent inventor, or to any concern which would not qualify as a non-profit organization or a small business concern under this section.

The regulations of the SBA define how you count an "employee", what is an "affiliate", and over what period that counting is done. If you really want to find out exactly, you will need to review all of the regulations and your employment records very carefully, and account for all of the "employees" who worked for your business or its "affiliates" at any time during the previous 12 months. If your business concern (counting its parent company, subsidiary companies and any affiliated companies)  was anywhere near 500 employees at any point, you should probably pay Large Entity fees, just to be safe. 

Questions related to standards for a small business concern may be directed to: Small Business Administration, Size Standards Staff, 409 Third Street, SW., Washington, DC 20416;    or

  • The owner is a nonprofit organization,  meaning (37 CFR 1.27(a)(3)) any nonprofit organization that:
(i) Has not assigned, granted, conveyed, or licensed, and is under no obligation under contract or law to assign, grant, convey, or license, any rights in the invention to any person, concern, or organization which would not qualify as a person, small business concern, or a nonprofit organization; and (ii) Is either: (A) A university or other institution of higher education located in any country; (B) An organization of the type described in section 501(c)(3) of the Internal Revenue Code of 19 86 (26 U.S.C. 501(c)(3)) and exempt from taxation under section 501(a) of the Internal Revenue Code (26 U.S.C. 501(a)); (C) Any nonprofit scientific or educational organization qualified under a nonprofit organization statute of a state of this country (35 U.S.C. 201 (i)); or (D) Any nonprofit organization located in a foreign country which would qualify as a nonprofit organization under paragraphs (a)(3)(ii)(B) of this section or (a)(3)(ii)(C) of this section if it were located in this country.

What about rights held by Government Agencies? 

Normally, transfer of any rights to an entity which does not qualify for Small Entity status means that Large Entity fees must be paid. Government agencies are not, themselves, Small Entities. The MPEP says so explicitly in section 509.02 - "Federal government agencies do not qualify as nonprofit organizations for paying reduced fees under the rules ... 37 CFR 1.27(a)(3) is not intended to include within the definition of a nonprofit organization government organizations of any kind located in any country". 

There are certain exceptions to the general rule where some  licenses  to government agencies by those who themselves qualify as Small Entities will not preclude Small Entity treatment. Those exceptions deal with compulsory licenses granted the government under  Executive Order 10096 ( inventions by government employees) and  35 USC 202(c)  (inventions by private contractors who make inventions while receiving Federal funding, where a license is required as a condition of financing). 

If a Federal agency (or any other government body)  is an  owner  of a patent or application (even a co-owner), rather than a licensee, the application/patent would NOT qualify for Small Entity fees.

For details on this, see MPEP 509.02, particularly section VI - RIGHTS HELD BY GOVERNMENT ORGANIZATIONS -  http://www.uspto.gov/web/offices/pac/mpep/documents/0500_509_02.htm

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SELECT YOUR LOCATION & ROLE:

If this is incorrect please select another role, proceed as individual investor, proceed as institutions & consultants, terms & conditions.

  • Individual Investor
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  • Forms and Applications

Open a New Account

The forms and applications found here contain everything needed to open a new MFS mutual fund account.

Manage an Existing Account

Make changes to your existing MFS mutual fund account, including adding services, changing the owner's name and checkwriting privileges.

Sell Shares or Close an Account

Transfer ownership, redeem shares or close an existing mutial fund account. 

The forms and applications found here contain everything needed to open a new MFS Individual Retirement Account account.

Manage an Existing Account 

Make changes to your existing MFS IRA account, including adding services, changing the account owner's name, and beneficiary changes.

Transfer ownership, redeem shares or close an existing MFS IRA account.

The forms and applications found here contain everything you need to open a new 403(b) account, make changes to an existing account, sell shares or close an account.

401a's (Profit Sharing, Money Purchase Pension Plan, & 401k)

The forms and applications found here contain everything you need make changes to an existing account, sell shares or close an account within a 401(a), Profit Sharing, Money Purchas Pension Plan or 401(k) plan.

SEPs/SARSEPs

The forms and applications found here contain everything you need to open a new SEP or SARSEP IRA, make changes to an existing account, sell shares or close an account.

Non-Prototype Retirement Plans   (investment only)

The forms and applications found here contain everything you need to open a new retirement plan not trusteed by MFS Heritage Trust, and sell shares or close an account.

Open a New MFS 529 Savings Plan   Everything you need to open a new MFS 529 Savings Plan account.

Beginning May 23, 2022, MFS introduces an easier, improved 529 Savings Plan! For information or assistance, please call 888-529-0063.

Manage an Existing Account   Make changes to your existing MFS 529 Savings Plan or Coverdell Education Savings account.

Sell Shares or Close an Account   Transfer ownership, redeem shares or close an existing MFS 529 Savings Plan or Coverdell Education Savings account.

  • Non-Retirement Accounts
  • IRAs (Traditional and Roth)
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IMAGES

  1. Entity Status Certification Form printable pdf download

    assigning entity certification

  2. Creating and Assigning Entity Types to an Entity

    assigning entity certification

  3. Assigning Requirements to a Certification

    assigning entity certification

  4. Entity Relationship Software

    assigning entity certification

  5. Creating and Assigning Entity Types to an Entity

    assigning entity certification

  6. Assigning Requirements to a Certification

    assigning entity certification

VIDEO

  1. Certificate in Branch Operations Management

  2. Assigning-certificates to engineers

  3. ENTITY AUTHENTICATION

  4. Entity 303 VS Minecraft All Blocks (Who is Strong?)😊💖💕💐 #Shorts #YOUTUBESHORTS #minecraft #viral 💕💐

  5. 9

  6. 15 Managing Your Certifications

COMMENTS

  1. CBMA Assignment Certification

    The Assignment Certification must be issued on the letterhead of the foreign producer/assigning entity. Further, the Assignment Certification is required to be signed by a duly authorized officer or employee of the foreign producer/assigning entity. Filers/importers will submit the Assignment Certification via DIS, linked to the IOR.

  2. Craft Beverage Modernization Act (CBMA) FAQ'S

    The sum quantity of alcohol that is receiving a reduced CBMA tax rate and produced by a single assigning entity may not exceed the quantitative limits set forth in the CBMA. All quantitative limits are specified in the Craft Beverage Modernization and Tax Reform Act of 2017. ... For non-ABI entries (paper), please submit the Assignment ...

  3. CBMA: Assignment Certification Template is Now Available!

    ASSIGNING ENTITY CERTIFICATION. I (PRINTED NAME AND TITLE), currently employed by (ASSIGNING ENTITY NAME AND ADDRESS) and authorized to bind the company, certify that (ASSIGINING ENTITY) is the producer/manufacturer of the imported (BEER/WINE/DISTILLED SPIRITS) that is subject to a Craft Beverage Modernization and Tax Reform Act (CBMA) claim. ...

  4. XLSX U.S. Customs and Border Protection

    - Total Annual Assignment Received From Assigning Entity To Date - Enter the total annual assignment to date to the importer by the foreign producer/assigning entity for this alcohol type and CBMA tax rate or credit. There must be an Assignment Certification(s) from the foreign producer/assigning entity substantiating the total assignment.

  5. Craft Beverage Modernization Act Guidance From Customs

    CBMA Assignment Certification A claim will not be considered complete until the CBMA Spreadsheet, the Controlled Group Spreadsheet, and the Assignment Certification are provided to CBP. CBP will process and liquidate claims for entries made in calendar year 2018, beginning January 31, 2019 .

  6. PDF Frequently Asked Questions Unique Entity ID (SAM)

    If you need a Unique Entity ID (SAM), you'll be able to request a Unique Entity ID (SAM) in SAM.gov, starting in Q1 FY 2022, without needing to register. Will FFATA reporting require the new UEI? And when will that switch start for FFATA reporting? The DUNS Number is the authoritative identifier and will be used until 4/3/2022.

  7. Basic requirements

    SAM is a database that government agencies search to find contractors. Using SAM, you'll be able to certify that your business is eligible for contracts that are reserved for small businesses.

  8. CBMA: Assignment Certification Template is Now Available!

    Make a Make 1 (800) 368-3167. About. About WSSA; Board of Directors; Our Team; Industry Connections

  9. PDF SAM Role Management Guide

    43. 45. 47 1. Introduction. The purpose of this guide is to help both federal and non-federal users with requesting and managing user roles in SAM.gov. This guide specifies actions required to obtain and administer roles. Roles are required to view non-public data, manage users, or manage data. 2. Types of Users.

  10. Contractor Portal Frequently Asked Questions

    These Frequently Asked Questions are offered to foster a better understanding of OFCCP's new Affirmative Action Program Verification Interface (AAP-VI), referred to as the "Contractor Portal.". The Contractor Portal enables OFCCP to monitor and promote contractor compliance through an annual Affirmative Action Program (AAP) certification ...

  11. FATCA Registration System

    When creating a FATCA account, a single, lead or sponsoring entity FI will create an access code (like a password) to be used with the system assigned FATCA ID for all future logins to the account. The access code must be between eight and 20 characters and include at least one uppercase letter, one lowercase letter, one number, and one of the ...

  12. eCFR :: 37 CFR 1.29 -- Micro entity status

    Once a notification of a loss of entitlement to micro entity status is filed in the application or patent, a new certification of entitlement to micro entity status is required to again obtain micro entity status. ( j) Any attempt to fraudulently establish status as a micro entity, or pay fees as a micro entity, shall be considered as a fraud ...

  13. eCFR :: 19 CFR Part 142 -- Entry Process

    That CBMA Assignment Certification belongs one of the required documents to substantiate one CBMA claim. The importer/filer must submit this document via the View Photo Systematisches, and link to which Importer of Record. ASSIGNMENT CERTIFICATION TEMPLATE [ASSIGNING NAME LETTERHEAD] ASSIGNING ENTITY CERTIFICATION

  14. FAQs

    A Unique Entity Identifier (UEI) is a 12-character alphanumeric value assigned to all entities. Entities can locate their UEI in SAM.gov, or in USASpending if they have previously received federal funding. Note: If your entity applies for or has DOJ awards under multiple UEI numbers, each UEI will have a separate JustGrants profile.

  15. CBMA: Assignment Certification Template is Now Available!

    ASSIGNING ENTITY CERTIFICATION. I (PRINTED NAME AND TITLE), currently employed by (ASSIGNING ENTITY NAME AND ADDRESS) and authorized to bind the company, certify that (ASSIGINING ENTITY) is the producer/manufacturer of the imported (BEER/WINE/DISTILLED SPIRITS) that is subject to a Craft Beverage Modernization and Tax Reform Act (CBMA) claim.

  16. IRS announces upgrades to FATCA Registration System and issues an ...

    — The trustee documented trust certification revolves around FATCA reporting, and having a compliance program in place (that has been reviewed). Based on the responses to the certification questions, the system will assign a periodic certification result to the entity.

  17. SAM.gov

    The unique entity identifier used in SAM.gov has changed. On April 4, 2022, the unique entity identifier used across the federal government changed from the DUNS Number to the Unique Entity ID (generated by SAM.gov). The Unique Entity ID is a 12-character alphanumeric ID assigned to an entity by SAM.gov.

  18. TTB Forms

    Most Recent Updated and Published Forms. TTB F 5100.31 Application for and Certification/Exemption of Label/Bottle Approval (04/2023) TTB F 5600.31 Application for Installment Agreement (02/04/2022) **New Form**. TTB F 5600.38 Application for Extension of Time for Payment of Tax (02/04/2022)

  19. Am I entitled to Small Entity or Micro Entity fee status?

    As stated in 35 U.S.C. 41 (h) (1) and 37 CFR 1.27 (a) , an owner of a patent or patent application is entitled to Small Entity Status if and only if: The owner is a "person" (i.e. individual or individuals) who has not assigned, granted, conveyed, or licensed, and is under no obligation under contract or law to assign, grant, convey, or license ...

  20. Forms & Applications

    Evidence of Authority of Assigning Officer Present evidence of authority of assigning officers for corporations and unincorporated associations. View and Print: Legal Entity Certification Form Use this form to provide or update Control Person or Beneficial Owner information for an account for a legal entity. View and Print: MFSC Fax Exchange Form

  21. ENTITY certification_assignment

    assigned_certification: certification (ENTITY) certification_assignment: Derived Attributes Entity certification_assignment has the following local and inherited derived attributes: ... Entity certification_assignment and its supertypes are referenced by the following definitions: Definition Type Referenced Entity role_select: SELECT

  22. PDF sb0015b

    Routine uses of the information in this record may include disclosure to: 1) law enforcement, in the event that the system of records indicates a violation or potential violation of law; 2) a Federal, state, local, or international agency, in response to its request; 3) a contractor of the USPTO having need for the information in order to perfor...

  23. Joint Certification Program (JCP)

    The JCO: Is a jointly staffed office and the only DOD/DND agency that reviews and certifies the DD Form 2345. Provides customer support to defense contractors applying for certification. Receives, processes and maintains approximately 9,000 DD Form 2345 certifications annually. Establishes JCP policy based on DOD/DND Directives.