Importer Security Filing
?0+2?Program
Frequently Asked Questions
Last Updated:
January 23, 2009
On November 25, 2008, U.S. Customs and
Border Protection (CBP) published an interim final rule entitled “Importer
Security Filing and Additional Carrier Requirements?in the Federal
Register (73 FR 71730). The interim final rule requires both importers
and carriers to submit additional information pertaining to cargo to
CBP before the cargo is brought into the United States by vessel. CBP
has received numerous questions concerning the interim final rule. To
assist the trade community in understanding the expectations of CBP
concerning the Importer Security Filing and Additional Carrier Requirements
rule, CBP in this document has provided responses to the most frequently
asked questions. CBP will continually be updating and clarifying this
document as necessary. Should you have additional questions that are
not included in this document, please feel free to write to Security_Filing_General@cbp.
TABLE OF CONTENTS
Most of the subject matter has been broken
down into major topic areas and has been listed alphabetically.
Feel free to use the hyperlinks to navigate through the document.
Use the <ctrl> and <home> buttons to get back to the first
page.
- General
- Withdrawals
- General
- Continuous Bonds
- Exemptions
CLIENT REPRESENTATIVES (CBP)
A. Regular Shipments
B. Informal Shipments (Personal Effects & Household Goods)
- To Order Shipments
CONTAINER STATUS MESSAGES (CSMs)
CRUISE VESSELS and ISF
DATA
ELEMENTS (General and Specific
Questions)
ISF-10 ELEMENTS
D. Manufacturer (Supplier) Name/Address
G. Container Stuffing Location
- Timing Flexibility
ISF-5 ELEMENTS
- 24 Hour Manifest Rule Exemptions (“Exempt?Break Bulk)
- General ISF Requirements
A. General
B. DUNS
A. Effective Date
- General
- Military Shipments
- U.S. Goods Returned
INSTRUMENTS OF INTERNATIONAL TRADE
A. General
B. Self Filer
E. ISF Territories of Coverage (Geographic)
F. ISF Areas of Coverage (Mode of Transport):
A. General
B. Transit Cargo (FROB, IE, TE)
- General
- Accepted
- Unique Identification Number
- Accepted With Warning
- Rejected
- Status Advisory
- Duplicate ISF Filings
- ISF-5 Messaging
RETURNED OR REFUSED SHIPMENTS (including US goods returned)
UNIFIED ISF-10 and ENTRY FILINGS
- Responsibility to File
- Exemptions
- E-mail address
- Formats
- Amendments
1. I would like to know if customs
brokers are going to be able to use the Automated Broker Interface (ABI)
system to do the Importer Security Filing (ISF).
Yes.
2. How do we get signed up for the ABI system?
Entities that want to
become Importer Security Filing filers using either AMS or ABI should
call 703-650-3500 to be assigned a Client Representative.
1. Will CBP create a web portal
in ACE so Importers can file their own Importer Security Filings?
CBP will continue to
explore additional ISF functionality as ACE is developed.
2. Will Custom House Brokers (CHBs) have the ability
to query ISF performance reports from I track / Ace Portal? Will the
account managers have access to this information? (see also STRUCTURED REVIEW PERIOD)
At this time CBP will
not make available report cards through ACE; however, CBP is developing
a reporting mechanism that will be provided to the ISF filers.
Yes, account managers will have access to these report cards.
1. If we hire a customs broker
to be our agent, do they have to be our agent for all of our ISF’s
during a single year?
No. Each ISF is
done on an individual basis. An ISF Importer may file the ISF
themselves, or hire an agent for each individual filing. There
is no limit as to how many different agents an ISF Importer may use
during the course of a year.
2. Can we use different agents
for different filings? Can our agents use both AMS and ABI to
do our filings? Will this affect our filings in any way?
The ISF Importer can
elect to use different ISF Agents for each separate filing. Also,
those ISF Agents may use either vessel AMS or ABI to do these separate
filings. However, if a unified entry filing is being done, ABI
must be used and the ISF Importer must self-file or use a licensed U.S.
customs broker to do the filing on their behalf.
3. If an importer uses multiple
CHBs can the importer select one broker to do an ISF and another to
make entry (on the same shipment)?
Yes, unless the filing
is a “unified filing?in which case the filing must be done by a
single entity.
4. If my system will not be ready
until April or May of 2009 should I get a third party to file my ISF?
During the structured
review and flexible enforcement period, in order to provide the trade
sufficient time to adjust to the new requirements and in consideration
of the business process changes that may be necessary to achieve full
compliance, CBP will show restraint in enforcing the rule, taking into
account difficulties that importers may face in complying with the rule,
so long as importers are making satisfactory progress toward compliance
and are making a good faith effort to comply with the rule to the extent
of their current ability. CBP will consider an entity’s progress
in the implementation of the rule during the delayed enforcement period
as a mitigating factor in any enforcement action following the delayed
enforcement period.
5. Does the ISF Filer need to be
located in the U.S.?
No.
6. Does the “filing agent?
for the importer have to be a Licensed Customs Broker? Can it be the
foreign freight forwarder?
A filing agent does not
have to be a customs broker except for the case of a “unified filing.”?
A foreign freight forwarder can also be a filing agent.
7. Service center notification
- for 24hr rule, there were specific details that went to CBP notifying
that a service center had been appointed. Namely, Company Name, SCAC
code, CBP assigned number, Bond number and effective date, and USA discharge
ports that will be filed.
- What is the process for nominating a service center for ISF 10+2 filing?
There is no process for nominating a party to submit the ISF.
- There are instances where no SCAC code exists. Will there be a CBP assigned number and, if not, which identifier will be used in the service center nomination letter?
The filer needs a
filer identification code. Either a SCAC if transmitting through
AMS or an ABI filer code if filing through ABI.
- If the service center nomination comes from an assigned ISF agent, does a separate notification need to be sent for each customer they have been nominated by?
There
is no process for nominating a party to submit the ISF.
A. General:
1. When do we have to stop amending the
ISF?
The Importer Security
Filing must be amended if there is a change or more accurate information
becomes available before the goods enter the limits of a port in the
United States. For goods that will be unladen in the United States,
the Importer Security Filing must be updated if there is a change before
the goods enter the port of discharge.
2. Are changes to the ISF after
arrival at the port of discharge allowed or required?
Generally, the requirement
to update an Importer Security Filing terminates when the vessel calls
at the U.S. port of discharge. However, CBP will not restrict
updates outside of this window.
3. What happens if I fire my ISF Agent,
but still need to update my ISF?
If an ISF Importer needs
to update their own ISF that was initially submitted by their agent, the ISF
Importer must contact a CBP Client Representative to have the original
filing cancelled. After the original ISF has been cancelled by the CBP
Client Representative, a new ISF may be submitted.
4. How will importers be able to amend
the security filing if they don't have access to the Importer Security
Filing elements in CBP systems?
There is no query functionality
in ABI or AMS regarding the security filing data. Access to the
Importer Security Filing elements in CBP systems is not required to
make an amendment to the ISF.
1. What happens if I enter an
ISF and then the shipments do not ship?
Withdraw the ISF by deleting
it.
2. Will you allow the entry to update the ISF?
No.
AMS
1. How do we get
signed up for the AMS system?
Entities that want to
become Security Filing filers using either AMS or ABI should call
703-650-3500 to be assigned a Client Representative. You
will need to complete an Interconnection Security Agreement (ISA).
1. Is a bill of lading number required
at the time of an ISF filing?
Yes.
2. Please advise what to do if
you do not have a bill of lading number at the time you submit the ISF.
Most times the bill of lading numbers are not issued until after sailing.
The ISF Importer must
obtain the bill of lading number. The bill of lading number is
an integral part of the security filing. Without the bill of lading
number, the ISF cannot be matched to a customs manifest.
3. If the NVOCC is a non-AMS participant,
should we file the master bill of lading instead of the house bill of
lading with the ISF?
The ISF needs to be submitted
at the lowest bill of lading level (house/simple) transmitted in AMS.
A. General:
1. When will the bonds, including
the stand alone ISF bonds be required? January 26, 2009 or January
26, 2010? Can we file ISFs during the delayed compliance period without
obtaining a bond first?
Due to the structured
review and flexible enforcement period, bonds will not be required until
January 26, 2010. Therefore, ISFs may be filed during this period without
obtaining a bond first. However, CBP is prepared to accept bond
information in the ISF filing starting on January 26, 2009. (See also Implementation Issues)
2. If an agent allows his bond
to be obligated, is he considered the ISF Importer with all of the liabilities
associated with the ISF filing?
If an agent is submitting
an ISF on behalf of another party and the agent posts its bond, the
agent agrees to have its bond charged if there are breaches of obligations
regarding the filing. However, the ISF Importer remains ultimately
liable for the complete, accurate, and timely ISF filing.
3. Can a single transaction bond
be utilized for the ISF filing? If a broker does not have a continuous
bond and the importer does not have a continuous bond how will a bond
for ISF be filed? Will CBP allow the use of a single transaction bond?
If so, how will this actually work? Will there be paperless single
transaction bonds for ISF purposes?
Use of single transaction
bonds may be allowed on a case-by-case basis. CBP is currently
in discussions with trade groups regarding the process for the use of
a single transaction bond for an ISF filing.
4. Does an importer have to have
the ISF stand-alone bond to be an ISF Importer?
An importer does not
have to have the ISF stand-alone bond to be an ISF Importer.
5. Under what circumstances will
CBP require or allow the new ISF stand alone Continuous Bond in lieu
of an Activity Code 1, 2, 3, or 4 Continuous Bond, or single transaction
bond?
If a party has an Activity
Code 1, 2, 3 or 4 bond, they need do nothing further with regard to
bonding requirements. They have appropriate bonding so as to be
eligible to submit ISF information. The decision to take out a
bond on the CF-301 with one of the noted Activity Codes or a stand-alone
ISF bond is one to be made between the bond principal and surety.
CBP will accept either.
6. How will the limit of liability
be determined for an ISF single transaction bond?
CBP will issue guidance
after discussion with interested trade groups.
7. As single transaction bonds
for entry require a paper submission to CBP, how will an ISF single
transaction bond be matched to an electronic ISF filing?
Use of single transaction
bonds may be allowed on a case-by-case basis. CBP is currently
in discussions with trade groups regarding the process for the use of
a single transaction bond for an ISF filing.
8. Will CBP accept one bond for
the ISF filing and a second bond for entry? Is this true for a continuous
bond as well as Single Transaction Bonds?
Yes, if the ISF Importer
and the importer of record on the entry are not the same party.
And that is true for continuous and single transaction bonds.
However, if the ISF Importer and the Importer of Record are the same
party and the ISF and entry are submitted to CBP via the same electronic
transmission (“unified filing option?, that party must submit one
bond for both ISF and entry purposes.
9. If a combined entry & ISF
filing is sent, does the importer bond obligated on the entry cover
both the entry and the ISF? Is this true for both continuous bonds
and Single Transaction Bonds? If so does the limit of liability remain
the same as it is now?
Yes, it covers both.
This is true for both continuous and single transaction bonds.
The limits of liability are not changed by this rulemaking.
10. How will ISF bonding requirements
be determined when the value of the cargo is unknown?
The liquidated damages
amounts are not based on the value of the cargo. That was changed
from the proposed to the interim final rule.
11. Will CBP accept a single transaction
bond for $5,000 for an ISF filing for personal effects and/or other
shipments such as carnets?
Use of single transaction
bonds may be allowed on a case-by-case basis. CBP is currently
in discussions with trade groups regarding the process for the use of
a single transaction bond for an ISF filing.
12. The Interim final rule states
"CBP will enforce the importers security filing, vessel stow plan,
and container status message requirement, through the assessment of
liquidated damages, in addition to penalties applicable under other
provisions of law." Can you give us an example of the types of
penalties you had in mind in this regard. (Reference:
71760 - 3rd column, 3rd paragraph)
Penalty statutes available
to CBP include 19 U.S.C. 1595a(b) or 1436, depending upon the facts
and circumstances of the violation. Penalty assessment and mitigation
guidelines are being devised.
13. How does the agent agree in
writing to allow its bond to be used for an importer who doesn’t have
a bond and why is this necessary? Is there draft language for
such “agreement? Will the agreement be acceptable on a per-ISF
basis, a blanket basis, or either (at the filer’s option)?
(reference: Page 71745 ?3rd column top)
The written agreement
could be a power of attorney or other similar document. It is
necessary to make clear the authority to use the bond. CBP will
not intervene in how this agreement is to be drawn up.
14. The Interim Final Regulations
provide that every ISF Filer/Importer must have a Basic Importation
Bond under which the principal agrees to comply with the new provisions
of part 149. To the extent that many ISF Filers/Importers have existing bonds,
how does CBP intend to enforce this provision when the existing bonds
do not contain this language? Is CBP suggesting that ISF Filers/Importers
will need to obtain bond riders to reflect this change? How will CBP
monitor compliance with this new bond requirement?
All existing activity
1, 2, 3, and 4 bonds now contain this language. Riders are unnecessary.
15. Additions to bond regulations
for type 1, 2, 3, and 4 (19 C.F.R. § 113.62, 113.63, 113.64, &
113.73) provide for liquidated damages in the amount of $5,000 per violation
in the event of a default in connection with ISF filing requirements.
However, the ISF stand alone Continuous Bond provides for payment of
“any amount prescribed by law or regulation upon demand by CBP.?
Why is this provision different from the others? When asserting
a claim against an ISF Continuous Bond, what law(s)/regulation(s) will
CBP cite?
The provisions are different
because the laws or regulations governing assessed amounts might change
and the bond language will not need to be amended. The liquidated
damages provisions of the activity code 1, 2, 3, and 4 bonds would govern.
See p. 71781 of the Interim Final Rule.
16. Will you consider how to apply
liquidated damages if two filings have been done and where one is correct
and the other one is incorrect?
There is a breach as
to the incorrect filing. It will be a matter of enforcement discretion
as to whether liquidated damages will be assessed.
17. Will the Bond tie to the entry
or will they have to have a Bond for Security Filing and a Bond for
entry?
The same bond can guarantee
the ISF and the entry if the ISF Importer and the importer of record
on the entry are the same party.
18. Given the potential for rapid
and substantial accumulation of liability, will CBP consider a prohibition
or limit on customs brokers posting their bond(s) to secure the ISF?
There is no current plan
to impose such a prohibition or limit.
19. When is the final draft of
this new bond expected?
The final version of
this new ‘Appendix D?bond was contained in the 11/25/08 Federal
Register notice. See page 71781.
20. Are these “new?and separate
bonds expected to be used primarily for single entry bond importers
(this is what we suspect)? As well as continuous bond holders whose
continuous bond is deemed insufficient for covering Security Filing
bond needs? (or rather will the continuous bond holder simply be required
to increase their continuous activity code 1/2/3/4 bond?)
The new Appendix D bond
is a continuous bond; so it cannot be used for single transactions per
se. The bond limits of liability were not changed by the rulemaking.
21. If the importer does not have
a bond, can the filer obligate its own bond?
Yes, the filer can obligate
its own bond. See 19 CFR 149.5(b)
22. Will an import bond rider be
required to fulfill the regulatory changes required in the ISF rule?
No. The Rule amends
the terms and conditions of the activity code 1 (basic importation),
2 (custodial), 3 (international carrier) and 4 (foreign trade zone operator)
bonds to include the obligation to meet ISF filing requirements.
No rider is necessary for any of these bonds.
23. What is the process of notifying
CBP that a bond is actually on file?
Use of single transaction
bonds may be allowed on a case-by-case basis. CBP is currently
in discussions with trade groups regarding the process for the use of
a single transaction bond for an ISF filing.
B. Continuous Bonds:
1. Is my current continuous bond
sufficient to file an ISF?
Yes, if you have a valid
activity 1, 2, 3, or 4 continuous bond.
2. Can the custodial bond (Type
2) be used for all of the ISF requirements?
Yes.
3. Can I use an FTZ bond to file
an ISF for a shipment that is not being entered into an FTZ?
Yes.
C. Exemptions:
1. I do not have to secure my informal
entry with a bond today. Will CBP provide for any exemptions to
the bond requirements for the ISF?
The Interim Final Rule
does not provide any exemptions to the bond requirements.
(See also Coded Transactions)
(See also EXEMPTIONS)
1. Existing rules exempt bulk and certain break-bulk cargoes e.g. most forest, steel products from the 24 hour requirements. Please advise if these commodities are exempt from the new rules as well.
Bulk cargo is exempt
from the ISF filing requirements. Break bulk cargo that is exempt
from the timing requirements of the 24 Hour Rule are also exempt from
the timing requirements of the ISF filing. ISFs for break bulk
cargo that are exempt from the timing requirements of the 24 Hour Rule
must be filed no later than 24 hours prior to arrival. In addition,
vessel stow plans and CSMs are not required for bulk and break bulk
cargo.
2. It appears that the regulations
do not apply to bulk shipments (petroleum, etc).
ISFs, vessel stow plans,
and CSMs are not required for bulk shipments.
3. My question is regarding break-bulk cargo, specifically
Chilean produce. We handle fruit that is imported on break-bulk vessels.
Many times the holds of the vessel are filled to capacity. So the excess
produce is loaded into "ship's convenience"
(meaning that although the importer did not book containers, the steamship
line loaded the fruit in containers), which are lashed on the deck.
Is the fruit in the containers (on the break-bulk vessel) still considered
break-bulk, exempt to the 24-hours prior to loading; or is it now considered
containerized, subject to the 24-hours prior to loading?
Cargo placed in a container,
even for “ship’s convenience,?is containerized cargo and requires
an ISF. This is consistent with CBP’s advance cargo declaration
requirements as per the Trade Act of 2002 for cargo stored for “ship’s
convenience.”?See, http://www.cbp.gov/
4. Does this new rule engage the shipment and imports
of liquid cargoes (mainly crude oil) to ports or unloading offshore
designated areas of the US or does it only affect the import of containerized
cargoes?
Bulk shipments (dry or
liquid) are outside the scope of the rulemaking.
1. I am curious as to how containerized
import shipments traveling under a carnet are to be handled in regards
to Commodity HTS numbers. Goods shipped under a carnet are required
to be described on the General List, which is part of the carnet, but
does not require the application of HTS numbers. When the final
rule is ultimately in effect, will carnet goods now require classification
pre-shipment?
Carnets are not exempted
from the ISF requirements, including the six-digit HTS number.
However, CBP is developing a coded transaction type for carnets.
CLIENT REPRESENTATIVES (CBP)
1. Who do we contact at CBP if
we are having system problems?
Parties should contact
the CBP Client Representatives if they are having system problems at
703-650-3500.
A. Regular Shipments:
1. I noticed there are several
“types?of security filings. Which one should I use?
The answer depends on
the type of entry at issue. The most common transaction type is
the type 01 which is for most consumption entries, not including “to
order?shipments.
B. Informal Shipments:
1. Can CBP please explain in more
detail how household goods and personal effects shipments can be handled?
I act as an agent for several hundreds of these shipments per month.
Typically, these shipments are on one bill of lading and are co-loaded
in the same container. Can I provide my own IRS# as the “Importer
of Record#?as long as I provide my clients information in the “Consignee#?
field?
Household goods (HHG)
and personal effects (PE) can be handled by using a coded transaction
type ?3?filing. In this question the agent becomes the ISF
Importer and would provide their own Importer of Record # as long as
all of the actual consignees are properly identified within the ISF
filing.
For example:
ISF Type: “HHG/PE” ?3
ISF Filer: ABC
Broker Code XXX
ISF Importer: ABC
Broker (The
Agent) IRS# 95-XXXXXXXXX
ISF Bond Holder: ABC
Broker (The Agent)
Bill of Lading Numbers(s): SCAC/bill
number(s)
Consignee # for John Smith SSN XXX-XX-XXXX
or
passport number, country of issuance and date of birth
Consignee # for Jane Smith SSN YYY-YY-YYYY
or
passport number, country of issuance and date of birth
Consignee # for Jan Doe SSN ZZ-ZZ-ZZZZ
or
passport number, country of issuance and date of birth
C. To Order Shipments:
1. How do I handle shipments sold
on the water?
The ISF will need to
be updated if the shipment is sold in transit. At a minimum, the
ISF Importer must notify CBP that the goods have been sold, and the
party must update the Buyer (Owner) field and any other field of which
they are aware. The ISF Importer remains liable for the timing
and accuracy of the ISF filing.
1. Will any of the new data that is being submitted
be considered to be part of the carrier "manifest" and thereby
become public record? Does CBP have a form that can be filled
out to request confidentiality of ISF information?
ISF information is not
considered part of the carrier manifest. Pursuant to 19 CFR 103.31a,
Importer Security Filing information that is electronically presented
to CBP for inbound vessel cargo is per se exempt from disclosure under
§ 103.12(d), unless CBP receives a specific request for such records
pursuant to § 103.5, and the owner of the information expressly agrees
in writing to its release.
(Also see the powers
of attorney
section)
2. Will the importer have access
to carrier’s data (CSMs and stow plans)?
No.
1. What type of assistance will
CBP provide the trade to help us through this new process? Will
there be a phone number available for general help?
CBP will provide assistance
to the trade via extensive outreach and postings on the CBP.gov website.
In addition, National Account Managers and Client Representatives are
available to assist the trade. Parties may submit questions about
the general application of the new requirements to CBP via the Security_Filing_General@cbp.
CONTAINER STATUS MESSAGES (CSM)
1. How do you know
that the repaired container will eventually be scheduled for the U.S.?
How would this reporting requirement be complied with? Is the repair
only required to show a CSM when the container is issued against a booking?
The decision of whether
a container is destined to arrive within the limits of a port in the
United States is made by the carrier.
1. Are ISFs required for non bulk cargo carried on a passenger vessel?
Passenger vessels that
are required to file cargo declarations (CBP Form 1302) must file ISFs
as to the same cargo. However, ISFs are not required for ship’s
equipment.
2. Are vessel stow plans required for passenger vessels?
A vessel stow plan is
required if there are containers onboard the vessel.
1. Repeat Data: In
many of our transactions, a single entity may be the same for several
of the different required ISF elements. For instance, the “Seller
(Owner) Name and Address?might be the same as the “Manufacturer
(Supplier) Name and Address? Likewise, the “Buyer (Owner)
Name & Address?might be the same entity as the “Importer of
Record Number? Is it ok to repeat the same information if the
entities are the same?
Yes. If the information
is exactly the same, it may be provided multiple times to cover the
required ISF elements.
DATA ELEMENTS (SPECIFIC)
1. Can the importer of record number
be a CBP assigned number?
Yes. The Internal
Revenue Service (IRS) number, Employer Identification Number (EIN),
Social Security Number (SSN), or CBP assigned number of the entity liable
for payment of all duties and responsible for meeting all statutory
and regulatory requirements incurred as a result of importation must
be provided. However, the consignee number is the IRS number,
EIN, SSN, or CBP assigned number of the individual(s) or firm(s) in
the United States on whose account the merchandise is shipped.
2. What identification number is required
for parties without U.S. social security numbers shipping household
goods?
In this instance, the
passport number, passport country of issuance and date of birth will
be accepted.
3. Can a foreign entity be identified
as the Importer of Record Number?
Yes. However, a
U.S. entity must be provided for the consignee number element.
1. What identification number is
required for parties without U.S. social security numbers shipping household
goods?
In this instance, the
passport number, passport country of issuance and date of birth will
be accepted.
2. The ISF-10 record asks for a
Consignee. According to the ISF Implementation Guide, for unified entry,
the EI-10 record is used to report the Ultimate Consignee, not Consignee.
Are we to presume that the Ultimate Consignee and Consignee are the
same?
Yes, in this instance
the Ultimate Consignee and Consignee must be the same.
1. If the container has to be devanned
in more than one location (i.e. container does multiple stops after
arriving in the US and drops cargo off at each location), does 10+2
require listing of all locations for the ship to addresses? You may
see this scenario
where it is one company but has multiple divisions underneath it. Thus,
there would be only one BL reflecting the IOR but several separate divisions under the one IOR. What would CBP want to see as the ship to
location—the first ship to location or all?
Pursuant to new 19 CFR
149.3(a)(6), the name and address of the first deliver-to party scheduled
to physically receive the goods after the goods have been released from
customs custody must be provided. ISF Importers are not required
to provide subsequent ship to parties, however, they may do so if they
choose.
2. Who should be listed as the
“Ship to Party?when a shipment is shipped to a distribution facility
that is owned by one company and operated by another related company?
Pursuant to new 19 CFR
149.3(a)(6), the name and address of the first deliver-to party scheduled
to physically receive the goods after the goods have been released from
customs custody must be provided. The party physically receiving
the goods must be provided and not an entity that merely owns the facility.
3. Please provide clarification
regarding the data element “ship-to name and address? It would
be helpful to have explanatory examples. The requirement is for the
name and address of the first deliver-to party scheduled to physically
receive the goods after the goods have been released from customs
custody.
Please address the following scenarios:
- Full container load (FCL) cargo clears prior to arrival at the port of discharge. Is the terminal/pier the ship-to, since the cleared freight is no longer in customs custody? How would the ISF filer know this 24 hours prior to lading?
In this scenario,
the terminal was not the first deliver-to party scheduled to
physically receive the goods after the goods have been released from
customs custody. Rather, the party who, at the time of ISF filing,
was scheduled to physically receive the goods must be provided.
- FCL cargo moves in-bond to an inland point by rail. After clearance at the inland port, the container is delivered to the ultimate consignee. Is the ship-to party the railroad, since they receive the cargo 1st after the freight leaves the pier, or is it the ultimate consignee since they receive the cargo first after Customs clearance?
The bonded carrier
should not be provided as the ship to party. In this example,
the identity of the ultimate consignee should be provided as the ship
to party.
- FCL or LCL cargo moves on a PTT to a CFS warehouse for transloading to trucks for delivery. The cargo clears Customs while at the CFS. Is the ship-to the CFS, or is it the ultimate consignee?
The identity of the
first deliver-to party scheduled to physically receive the goods after
the goods have been released from customs custody must be provided.
In this instance, CBP wants the ultimate consignee’s physical address
where the goods are scheduled to be received.
D. Manufacturer
(Supplier) Name/Address:
1. We import containers with thousands
of parts, potentially having literally hundreds of different manufacturers,
from a related party who, in turn, purchases the parts from those manufacturers.
These parts may be commingled prior to importation. On the ISF
filing, can we provide the identity of our related party to fulfill
the Manufacturer (Supplier) ISF requirement as this is the party from
whom we actually buy
the parts or do we need to list all the manufacturer's individually?
The party who supplied
the goods can be provided as long as that party is a separate legal
entity from the ISF Importer. If both of these parties are the
same entity, the identity of the party who last manufactured, assembled,
produced, or grew the commodity or the party who supplied the finished
goods to the ISF Importer must be provided. Generally, the manufacturers
provided on the CBP Form 3461 will satisfy the ISF requirement.
2. Please advise if we need to submit both the manufacturer
and the supplier info on the 10+2 ISF filing. Or, will the
supplier data be sufficient?
The identity of the entity
that last manufactures, assembles, produces, or grows the commodity
or the name and address of the party supplying the finished
goods in the country from which the goods are leaving must be provided.
However, CBP would prefer that the identity of the actual manufacturer
be provided where that entity is known.
3. Can the manufacturer (supplier)
be a U.S. company?
The manufacturer (supplier)
can be U.S. a company if the party who last manufactured, assembled,
produced, or grew (or supplied) the commodity is a U.S. company.
1. If the merchandise is assembled
in one country, but parts are from many other countries which country
of origin do I list?
Generally, the country
of origin for the imported product that is provided on the CBP Form
3461 will satisfy the ISF requirements.
2. Can
you advise if the country of origin needs to be linked to each Harmonized Tariff Schedule of the United States
(HTSUS) number or
is it enough that the data is given electronically against each part
number?
The manufacturer (or
supplier), country of origin, and commodity HTSUS number must be linked
to one another at the line-item level.
This linking is similar to the CBP Form 3461 requirements. Line-item
linking is required at the ISF shipment level and not at the invoice,
container, parts or bill of lading level.
1. When you talk about line-item
linking requirement are you talking at the HTS 6 digit level or at a
SKU level on the commercial invoice from the manufacturer/supplier?
I am asking as we have shipments from one manufacturer/supplier that
might contain a 100 different SKUs but would only result in five of
HTS numbers.
If the 100 different
SKUs result in just five HTS numbers at the 6 digit level, the ISF Importer
or their agent may provide the five HTS numbers. However, the manufacturer
(or supplier), country of origin, and commodity Harmonized Tariff Schedule
of the United States (HTSUS) number must be linked to one another at
the line-item level. This linking is similar to the CBP Form 3461
requirements. Line-item linking is required at the ISF shipment
level and not at the invoice, container, parts or bill of lading level.
2. Parts:
If an importer of parts brings in container loads of thousands of parts
with multi manufacturers, country of origin, and Harmonized Tariff Schedule
of the United States (HTSUS) numbers, do they upon filing the ISF have
to show every part HTSUS number or can they show a general number such
as 8714.190060 which is parts and accessories of motorcycles?
The exact parts in the shipment may not be known upon filing the ISF
and since 8714.190060 is specifically parts and accessories of motorcycles
is it acceptable?
The duty/statistical
reporting number under which the article is classified in the HTSUS
must be provided. The HTSUS number must be provided to the six digit
level. The ISF Importer can submit an initial response or responses
based on the best available data available at the time. However,
the ISF must be updated as soon as more precise or more accurate information
is available in no event less than 24 hours prior to arrival at a U.S.
port (or upon lading at a foreign port that is less than a 24 hour voyage
to the closest U.S. port).
3. FROB: How many HTS digits are
required for foreign cargo remaining on board (FROB)?
The commodity HTSUS number
for FROB cargo must be provided to the six-digit level. The HTSUS
number may be provided to the 10-digit level.
G. Container Stuffing
Location:
1. Regarding the Container Stuffing
Location and Consolidator (Stuffer) (the 2 data elements that are to
be filed as soon as possible, but no later than 24 hours prior to arrival)
?is the timing flexibility just for the one-year flexible enforcement
period?
The flexibility as to
timing for the Container Stuffing Location and Consolidator (Stuffer)
elements will remain in place unless and until CBP determines that a
change should be made. Interested persons are invited to submit
written comments on the flexibility as to timing provided pursuant to
the Interim Final Rule. CBP will consider these comments and,
if CBP determines that a change to the flexibility as to timing is necessary,
CBP will amend the regulations accordingly.
2. If a single container is stuffed
in multiple locations, can I enter all locations into the ISF?
Yes. When
a container is stuffed at more than one location and/or more than one
container is on a single bill of lading, all of the stuffing locations
for the goods listed on the bill of lading must be provided.
3. The interim final rule states that
for break bulk cargo the Container Stuffing Location should be the party
that made the goods "Ship ready." This term is somewhat vague
when it comes to the shipping of motor vehicles on ro-ro vessels. Does
"Ship ready" refer to the preparation for transport of the
vehicle such as the application of protective tape and suspension blocks
or does it refer to the actual movement onboard the vessel and lashing
of the vehicle?
“Ship ready?refers to the location(s) where the cargo is made ready (taped, banded, packaged, etc.) to be laden on the vessel. This could be the factory, terminal, intermediate warehouse, or other location.
4. I need a simple way to explain what Container Stuffing Location & Consolidator (Stuffer) mean to my foreign shippers. Do you have anything that explains exactly what these 2 data elements are, and how my shippers can obtain the information, in simple terms?
Also, do you have a sample or mock-up
of an ISF so that we can better understand what we'll be utilizing?
The container stuffing
location(s) are the physical location(s) where the goods were stuffed
into the container. This does not mean the location of
the goods within the container. For break bulk shipments,
this is the physical location(s) where the goods were made “ship ready.?
The consolidator (stuffer)
is the party who stuffed the container or arranged for the stuffing
of the container. For break bulk shipments this is the party who
made the goods “ship ready?or arranged for the goods to be made
“ship ready?
5. An export shipment is loaded
into a container at a facility in Germany in which the brick and mortar,
as well as the goods in the facility, are owned by Company AG. However,
the facility is operated by a related firm, Company AG Logistics Services.
Who would be listed as the "Container Stuffing Location" for
the ISF? Company AG or Company AG Logistics Services?
Provide the name of the
operator of the facility and the address of the facility where the goods
were stuffed into the container or made “ship ready.?/font>
H. Consolidator
(Stuffer) Name/Address:
1. Regarding the Container Stuffing
Location and Consolidator (Stuffer) (the 2 data elements that are to
be filed as soon as possible, but no later than 24 hours prior to arrival)
?is the timing flexibility just for the one-year flexible enforcement
period?
The flexibility as to
timing for the Container Stuffing Location and Consolidator (Stuffer)
elements will remain in place unless and until CBP determines that a
change should be made. If CBP determines that such a change is
necessary, CBP will amend the regulations accordingly.
2. If there are multiple stuffing
locations and there are multiple consolidators do all consolidators
need to be listed? An example would be an NVOCC doing a milk run
where it stops at multiple locations and the container is stuffed at
each location by a different party. Would all stuffers need to be
listed for just the party who ARRANGED for the stuffing?
In this scenario, the
name of the party that arranged for the stuffing of the container should
be provided.
3. For a “Shipper Loaded?Container that is
shipped by a manufacturer directly with the steamship line, who would
be shown as the Consolidator or Stuffer?
If the manufacturer is
the party that stuffed the container or arranged for the container to
be stuffed, then the manufacturer is the consolidator (stuffer).
UNIQUE ISF-5 DATA ELEMENTS
1. “Foreign port of unlading?
is defined as the port code for the foreign port of unlading at the
intended final destination. How should a location be reported
when the location is not a port or when there is no port code associate
with the destination?
If the intended final
destination is not a port, or if there is no port code associated with
the final destination, provide the nearest Schedule K code or UNLocode.
ENFORCEMENT
MEASURES (See also: Flexible
Enforcement Period)
A. Do Not Load Messages:
1. Will CBP issue any do not load
(DNL) messages during the initial flexible enforcement
period?
CBP reserves the right
to take enforcement action, including the use of the DNL option, in
order to mitigate potential security and safety risks. However,
during the structured review and flexible enforcement period, CBP will
not issue a DNL solely based upon the non-compliance with the new ISF
requirements. Therefore, the simple failure to file an ISF will
not, in and of itself, result in a DNL action.
2. If CBP issues a DNL for the
ISF, how will the carrier know if it was because the ISF or manifest?
CBP will provide a message
to the carrier via vessel AMS that the DNL was due to the ISF.
1. Can there be multiple violations
on one ISF?
While there may be multiple errors on an ISF transmission, CBP will issue liquidated damages for $5,000 for each ISF transmission that is not timely, complete and/or accurate.
2. Will CBP issue a liquidated
damages case beginning January 26, 2009 if the importer does not file
an ISF?
No.
3. Will CBP issue a liquidated
damages case beginning January 26, 2009 if the importer files an incorrect
ISF?
No.
EXEMPTIONS TO ISF REQUIREMENTS
A. 24 Hour Manifest Rule Exemptions
(for “exempt?Break
Bulk):
1. Existing rules
exempt bulk and certain break-bulk cargoes (e.g. most forest and steel
products) from the 24 hour timing requirements of the 24 Hour Rule.
Please advise if these commodities are exempt from the new rules as
well.
Bulk cargo is exempt from the ISF filing requirements. Break bulk cargo that is exempt from the timing requirements of the 24 Hour Rule is also exempt from the timing requirements of the ISF filing. ISFs for break bulk cargo that is exempt from the timing requirements of the 24 Hour Rule must be filed no later than 24 hours prior to arrival. In addition, vessel stow plans and CSMs are not required for bulk and break bulk cargo.
Commodities in and of
themselves are not exempt from ISF filing requirements.
B. General ISF Requirements
(Exemptions):
1. Are ISO tanks exempt from the
ISF Requirements?
ISO
tanks should be treated like any other empty container. The requirement
to file an ISF for an empty container depends on whether an advance
cargo declaration pursuant to the Trade Act of 2002 is required.
For shipper-owned/leased or importer-owned/leased instruments of international
traffic (IIT), the carrier must transmit advance electronic cargo information
in the same manner as any other revenue shipment. Carrier owned
or leased empty containers are accounted for by the "empty container"
indicator in AMS and would not require an ISF. An in depth discussion
regarding this topic is in the Vessel FAQs for the Trade Act of 2002.
http://www.cbp.gov/
2. Are “containerized bulk?
shipments exempt?
No. Once cargo is placed
in a container it can no longer be considered bulk cargo. See 19 CFR
4.7(b)(4)(i).
1. Is the flexibility (i.e. acceptable
range of responses) only for the flexible enforcement period or is it
CBP's intent to keep the flexibility in the filing after the flexible
enforcement period expires?
The flexibility as to
interpretation for the Manufacturer (supplier), Ship to Party, Country
of Origin, and HTSUS number will remain in place unless and until CBP
determines that a change should be made. If CBP determines that
such a change is necessary, CBP will amend the regulations accordingly.
2. CBP will not assess liquidated
damages for ISF violations during the 12-month structured review and
flexible enforcement period. Is this also true for carriers ?
i.e., will they have the same grace period to progress toward compliance
for ISFs, vessel stow plans, and container status messages?
Pursuant to new 19 CFR
4.7c(d) and 4.7d(f), all affected ocean carriers must comply with the
vessel stow plan and container status message requirements on and after
January 26, 2010. In addition, pursuant to 19 CFR 149.2(g), ISF
Importers (including carriers, where appropriate), must comply with
the Importer Security Filing requirements on and after January 26, 2010.
3. Will CBP issue do not load (DNL)
messages solely for failure to comply with the ISF requirements during
the flexible enforcement period?
No. CBP will not
issue DNL messages solely for failure to comply with the ISF requirements
during the flexible enforcement period. However, CBP reserves
the right to take enforcement action, including the use of the DNL option,
in order to mitigate potential security and safety risks. In addition,
CBP will consider an entity’s progress in the implementation of the
rule during the delayed enforcement period as a mitigating factor in
any enforcement action following the delayed enforcement period.
A. General:
1. Can you provide a list of all
the widely recognized commercially accepted identification numbers for
the ISF entities such as the buyer, seller, etc.? It was mentioned in
the interim final rule that CBP will accept widely recognized commercially accepted identification
numbers such as Dun and Bradstreet Data Universal Numbering System (DUNS) numbers.
Are there any other numbers that will be accepted?
CBP will allow the trade
to provide widely recognized commercially accepted identification numbers
such as DUNS numbers as an alternative to the name and address for the
following elements: Seller, Buyer, Manufacturer (or supplier), Ship
to party, Container stuffing location, Consolidator (stuffer), and Booking
party. In addition, CBP will accept Facilities Information and
Resources Management System (FIRMS) codes for the ship to party, when
applicable. CBP will continue to consider, in coordination with
the trade, accepting other widely recognized commercially accepted identification
numbers.
1. Will CBP provide query functionality
for DUNS numbers?
No.
A. Effective Date:
1. The flexible enforcement period ends
on January 26, 2010. Will CBP begin assessing liquidated damages
for ISF violations for cargo that is arriving within the limits of a
port in the United States by January 26, 2010, or is it for cargo that
is laden foreign on January 26, 2010?
Pursuant to new 19 CFR
149.2(g), ISF Importers must comply with the ISF requirements on and
after January 26, 2010. Therefore, CBP may assess liquidated damages
for ISFs that are required to be submitted on January 26, 2010, for
ISFs that are not complete, accurate, and/or timely. For example,
for goods that are to be laden at 12:01 A.M. on January 27, 2010, the
ISF must be submitted no later than 12:01 A.M. on January 26, 2010.
2. Will bonds be required on January
26, 2009, or January 26, 2010?
(See also Bonds)
Due to the structured
review and flexible enforcement period, bonds will not be required until
January 26, 2010. Therefore, ISFs may be filed during this period without
obtaining a bond first. However, CBP is prepared to accept bond
information in the ISF filing starting on January 26, 2009.
INFORMAL SHIPMENTS (See also Coded Transactions)
A. General:
1. Are ISFs required for informal
shipments?
Yes. ISFs are required
for informal shipments.
1. Are ISFs required for U.S. military
household goods shipments?
Yes.
2. Are bonds required for ISFs
for U.S. military household goods shipments?
The ISF Importer must
post a bond (or use an agent’s bond).
3. For U.S. military household
goods, can the moving company contractor be the ISF Importer?
Household goods and personal
effects, including U.S. military household goods, can be handled by
using a coded transaction type ?3?filing. The agent can
be the ISF Importer and provide their own importer of record number
as long as all of the actual consignees are properly identified on the
ISF filing.
C. U.S. Goods Returned:
1. Are there or will there
be exceptions to the ISF filing requirements for U.S. goods returned?
ISFs are required for
U.S. goods returned.
2. For U.S. goods returned, should
the HTSUS Chapter 98 number or the HTSUS commodity number be provided?
For U.S. goods returned,
both the HTSUS Chapter 98 number and the HTSUS commodity number are
required.
3. For U.S. goods returned, can
the manufacturer (supplier) be a U.S. company?
The manufacturer (supplier)
can be U.S. a company if the party who last manufactured, assembled,
produced, or grew (or supplied) the commodity is a U.S. company.
A. General:
1. Can an ISF cover more than one
vessel and voyage?
No.
2. Is there going to be a paper
ISF Form?
No. It is all electronic.
3. Since manifested quantity is
not a part of the ISF filing, how will CBP handle multiple ISFs for
one bill of lading?
CBP will return a unique
identification number for each unique ISF filing even if against the
same bill of lading. (See unique identification number)
4. Can bills of lading on the same
vessel and voyage for the same importer be combined in the same ISF
if the ports of loading or discharge are different?
An ISF filing covers
a single “shipment?going to a single ISF Importer arriving on a
single vessel voyage. While ISF filings may naturally match up
with CBP Form 3461 entries, there is no actual requirement that they
do so.
ISFs are to be done at
the “lowest?bill of lading level that has been (or will be) recorded
in the vessel AMS system. CBP will accept an ISF at either the
house bill of lading level or regular (i.e. simple, straight) bill of
lading level. CBP will not accept ISFs that are filed against a Master
bill of lading.
Additionally, a single
ISF may cover multiple bills of lading as long as they are all going
to the same importer as part of the same shipment on the
same vessel voyage.
5. It is possible to transmit one
ISF for multiple bills of lading on the same vessel for one importer
if they are one shipment. We see several possible scenarios here:
-multiple bills of lading for the same importer that will all be cleared
under one entry
-multiple bills of lading for the same
importer that will result in multiple entries for that importer
The question now is does the word “shipment?mean entry as in example
one? Or can the word shipment be applied to multiple entries as in example
two? If the definition of "shipment" can be construed to mean
example two we are confused as to how we could file a combined ISF/entry.
Would we simply pick any one of the entries and attach the ISF filing
for all the bills of lading to that one?
There are several possible
filing options, as long as there is one shipment, one importer of record
number, on the same vessel and same voyage number, including the following:
- One ISF per bill of lading
- One ISF to cover multiple bills of lading.
- In a “unified entry?one ISF per entry regardless of the number of bills of lading.
1. We currently use a broker to
file our entry documents via the ABI interface. As an importer, is there
a way to connect via the ACE system to only file the ISF-10? Will
CBP create a web portal in ACE so importers can file their own Importer
Security Filings?
The ISF cannot be submitted
through ACE at this time . However, CBP will continue to explore
additional ISF functionality as ACE is developed.
2. I am a small importer that rarely brings in a whole container; most shipments are a few pallets or boxes. If we are just bringing in small shipments and not containers do the same reporting requirements apply?
An ISF is required regardless
of the size of the shipment.
(See also, Container Stuffing Location, Consolidator
Name/Address.)
1. Pursuant to the new regulations,
some ISF elements must be submitted no later than 24 hours before the
cargo is laden aboard the vessel at the foreign port. When cargo
is first laden aboard a feeder vessel, are these elements required no
later than 24 hours before the cargo is laden aboard the feeder vessel
or the vessel destined to the United States? When are ISFs for
FROB required?
For ISF elements that
must be submitted no later than 24 hours before the cargo is laden aboard
the vessel at the foreign port, the elements must be submitted no later
than 24 hours before the cargo is laden aboard a vessel destined
to the United States. Similarly, for FROB, the required
elements must be submitted prior to lading aboard a
vessel destined to the United States.
1. On the I.E.’s and T&E’s are
we required to transmit the inbond number prior to or at the same time
the 5 additional elements are transmitted or can we transmit that later?
No. An in-bond
number is not required as part of the ISF.
2. Who is the responsible party
for filing an ISF-5 for FROB? Who is responsible for filing the
ISF-5 for IE and T&E shipments?
The party required to
submit the Importer Security Filing is the party causing the goods to
enter the limits of a port in the United States. This party is the carrier
for FROB and the party filing for the immediate exportation (IE), transportation
and exportation (T&E), or foreign trade zone (FTZ) documentation
for those types of shipments. If IE or T&E documentation have
not been filed 24 hours prior to lading, the party who will file the
IE or T&E documentation is required to submit the ISF.
E. ISF Territories of Coverage (Geographic):
1. Are imports into Puerto Rico
(ocean shipments from non-US locations) subject to ISF/10+2 filing requirements?
Yes. Puerto Rico
is part of the Customs territory of the United States.
F. ISF Areas of Coverage
(Mode of Transport):
1. Are ISFs required for goods
arriving in the U.S. via rail or truck? Will I need to do the
ISF filing if my cargo will not be on a vessel until the point it is
leaving the United States?
ISFs are only required
for goods scheduled to arrive in the United States by vessel.
A. General:
1. What if I am the ISF Importer
at the time the ISF was filed and I no longer want to take responsibility
for the shipment?
The ISF Importer is ultimately
responsible for the complete, accurate, and timely filing of the ISF.
This responsibility cannot be transferred to another party.
2. How can an importer be responsible
for an ISF if they are not aware of a shipment?
The party causing the
goods to enter the limits of a port in the United States is the party
responsible for filing the ISF. This party could be the owner,
purchaser, consignee, or agent.
3. Can a foreign entity be the
ISF Importer?
Yes. However, a
U.S. entity must be provided for the consignee element.
B. Transit Cargo (FROB, IE, TE):
1. Can the NVOCC file an ISF even though there is
no legal requirement to do so?
Yes, an NVOCC can file
an ISF on its own behalf (as an ISF Importer) or file an ISF as an agent
for another party.
2. If the VOC is the ISF Importer
for FROB, does this mean the VOC is required to be the ISF filer for
T&E and I.E. cargo?
No. The ISF Importer
for both I.E. and T&E shipments is the party filing the I.E. and
T&E documentation with CBP. If the VOC is the party filing
the I.E. and T&E documentation with CBP, the VOC is also the ISF
Importer.
3. We currently handle some shipments
that move to an inland port on the ocean liner’s I.T. Once the shipment
arrives to the I.T. destination port, we cancel the I.T. with either
an I.E. or T&E inbond to be exported. Since they will not be consumption
entries, can we submit only the ISF-5?
No. An immediate transportation
(IT) entry requires an ISF-10 filing. A T&E entry requires
an ISF-5.
A. General:
1. When an ISF is transmitted to
CBP by a Customs broker through ABI and a response received back to
the Filer, how will the carrier know it is okay to load the shipment?
Will the carrier get a message?
CBP will not be issuing
“affirmative load?messages. Additionally, there is no requirement
that a carrier verify that an ISF has been filed against a particular
bill of lading. However, at the request of the trade, CBP will
provide a status notification message to both the ISF Filer as well
as the appropriate carrier that an ISF has successfully matched to a
bill of lading that is on file with CBP.
1. Can the ISF Importer provide
the ISF unique identification number to the AMS notify party for shipments
where the ISF has been matched to the manifest?
Yes. As a business
decision, the ISF Importer may share their unique identification number
with other parties. However, this must be done outside of the
AMS system.
C. Unique Identification
Number:
1. Will CBP provide feedback when
the ISF is filed?
Yes. The possible
return messages including, but not limited to: accept, conditional acceptance,
and reject with reason codes. For those filings that CBP accepts CBP
will return a unique ID number.
2. Does the unique ID become part
of the entry package?
No.
3. Will CBP return a unique identification
number for a unified manifest ISF-5 filing?
Not at this time.
1. Is CBP expecting an update to
the ISF for filings where a warning message is received?
CBP expects ISFs to be
updated when a warning message is received. However, since bonds
will not be required during the flexible enforcement period, ISFs do
not need to be updated to correct or add a bond number during this period.
1. If my initial ISF is rejected
can I simply amend it or must I create a new one?
If the ISF is rejected
a new filing is required.
2. Can I receive a unique transaction
number for my rejected filings in order to “prove?that I attempted
to submit an ISF?
No, unique ID numbers
will not be issued for rejected initial ISFs.
1. The status advisory message
confirming a match (or no match) with the bill of lading is to be sent
to the ISF filer. If there are two filings against the same bill of
lading, do both filers receive the status advisory message?
Each filer will receive
a separate and unique match (or no match) message.
1. How will CBP prevent/handle
duplicate filings? Will the confirmation provide an indication of duplicate
submissions if the ISF is already on file?
CBP allows one ISF filing
which has a unique combination of a bill of lading number and importer
of record number. If a second filing is received with the same
combination of these elements the second filing will be rejected.
A reason for the rejection will also be returned to the ISF filer.
H. ISF-5 Messaging:
1. If a carrier submits a unified filing for the 24 hr manifest data and ISF-5 data, will an ISF acknowledgment or unique identification number (receipt#) for the ISF-5 be returned to the carrier?
No. Unified manifest/ISF-5
filings will not receive a unique identification numbers.
1. Can the MID number be used in lieu
of the name and address for the Manufacturer (or Supplier) element?
No, CBP will not accept
a MID Number in lieu of a full name and address to fulfill the Manufacturer
(Supplier) requirement on the ISF. However, entities such
as manufacturers, importers, supplies, etc. may register their information
with Dunn & Bradstreet to obtain a DUNS number which can be used
in lieu of a full name and address.
1. How do I find information about
any public outreach efforts in regards to the new Security Filing?
Please check the CBP
website for any upcoming public outreach events in your area at www.cbp.gov.
1. During the flexible enforcement
period the lack of a postal code will result in an “accepted with
warnings?message. Is CBP expecting an update to the ISF for all filings
where a warning message is received?
Yes.
1. Will CBP require a "special"
and separate power of attorney (POA) for ISF purposes? Currently,
brokers use a generic POA that includes broad agency language for all
importing activities, including customs brokerage and forwarding if
applicable. CBP should accept the current POA used by brokers.
CBP will not require
a new or “special?POA. The sufficiency of a power of attorney
will be decided on a case by case basis. However, 19 CFR 141.32
contains an example of an acceptable general power of attorney with
unlimited authority.
1. What are the importer’s recordkeeping
requirements for an ISF filing?
The new regulations do
not contain specific record keeping requirements other than retention
of powers of attorney (see 19 CFR 149.5(c)). However, ISF parties
should retain records necessary to demonstrate compliance with ISF filing
requirements. In addition, the general 19 U.S.C. §
1508 recordkeeping requirements may be applicable to the ISF filer.
RETURNED OR REFUSED SHIPMENTS
1. If a container is loaded on a vessel
in the U.S. and goes foreign but is not unladen until it returns to
the U.S., what are the ISF filing requirements?
An ISF is not required
for cargo laden in the U.S. that goes foreign but is not unladen until
it returns to the U.S.
2. If cargo is refused admission
by a foreign country after having been exported from the U.S. and the
cargo has not left the custody of the carrier or the foreign customs
service, will such cargo require an ISF?
If the cargo was loaded
at a foreign port on board a vessel destined for the U.S., an ISF must
be submitted.
UNIFIED ISF-10 and
ENTRY FILINGS
1. I have a question on how the unified filing is going to work under the ISF.
Many of our shipments are sent in-bond from the unlading port to the port of entry. This information will most likely not be available if we attempt to file a unified filing.
Please explain how the unified filing
will work - does all the entry data need to be submitted?
Unified entry is not
available for in bond entries. Under this scenario, the ISF Importer
or their agent must use the stand alone ISF filing process.
2. For a unified entry filing,
if the entry is rejected will the ISF filing be automatically rejected
as well?
The ISF filing will not
be rejected merely because an entry filing is rejected.
3. For a unified entry, when do
duties have to be paid?
All entries will be process in accordance with all current laws and regulations. This includes unified entries.
1. Will CBP provide feedback from
the system to the importers / agents for ISF filing timeliness and/or
accuracy?
CBP is currently designing a type of system generated “report card?that will be sent back to each ISF Filer.
2. How will an importer demonstrate to
CBP that they are making 'satisfactory progress towards compliance?'
CBP will consider the totality of the circumstances, on a case-by-case basis, when making this determination.
(See also: ABI, ACE,
and VESSEL
STOW PLANS)
1. How must ISF information be
submitted to CBP?
The ISF may only be submitted
through AMS or ABI.
A. Responsibility to File:
1. Does an ISF Importer need to submit vessel stow plans or container status messages?
No. Carriers must
submit vessel stow plans and container status messages.
B. Exemptions:
1. Are vessels exclusively carrying
bulk and break-bulk cargo exempt from the requirement to provide a vessel
stow plan?
Yes. Vessels
exclusively carrying bulk and break-bulk cargo are exempt from the
requirement to provide a vessel stow plan.
2. Are RoRo vessels exempt from
the requirement to provide a vessel stow plan?
Yes, as long as there
is no containerized cargo aboard.
C. E-mail Address:
1. Please advise the email address that the carrier can submit the stow plan to.
To submit a stow plan
file by e-mail, a carrier or their agent need only email it as a .txt
attachment to stowplan@cbp.dhs.gov. Be advised that the CBP
system will only accept one stow plan file per e-mail.
D. Formats:
1. Are we able to submit stow plans
by email in Microsoft Excel format?
No. CBP will accept
the SMDG (smdg.org) versions of the UNEDIFACT BAPLIE stow plan.
E. Amendments:
1. Clarification is needed regarding
which changes or errors, if any, other than a previously unreported
container, would warrant a stow plan amendment, and when or how frequently
they would need to be filed. It is understood that if a carrier found
a stow plan error reflecting on the presence of a previously unreported
container onboard, an immediate amendment would be needed.
Stow plans must be complete, accurate, and timely. However, CBP will consider the specific violation(s) when determining mitigation.