**Importer Security Filing "10+2" Program**

Frequently Asked Questions

**[Last Updated]{.underline}: 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.dhs.gov.  Please note that the responses to
the FAQs are for informational purposes only and are non-binding.
Questions relating to specific facts and circumstances of a prospective
transaction can be the subject of a ruling request under Part 177 of the
CBP regulations.

**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.

[ABI](#ABI)

[ACE](#ACE)

[AGENTS](#AGENTS)

[AMENDMENTS](#AMENDMENTS)

A.  General

B.  [Withdrawals](#Withdrawals)

    [AMS](#AMS)

    [BILLS OF LADING](#Bills)

    [BONDS](#BONDS)

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A.  General

B.  Continuous Bonds

C.  Exemptions

    [BULK and BREAK BULK](#BULK)

    [CARNETS](#CARNETS)

    [CLIENT REPRESENTATIVES](#client) (CBP)

    [CODED TRANSACTIONS](#CODED)

    A. Regular Shipments

    B. [Informal Shipments](#CODED) (Personal Effects & Household Goods)

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C.  To Order Shipments

[CONFIDENTIALTIY](#CONFIDENTIALTIY)

[CONTACT INFORMATION (CBP)](#Contact)

[CONTAINER STATUS MESSAGES](#CSM) (CSMs)

[CRUISE VESSELS](#Cruise) and ISF

[DATA ELEMENTS](#ELEMENT) (General and Specific Questions)

[ISF-10 ELEMENTS]{.underline}

A.  [Importer of Record Number](#Record)

B.  [Consignee Number](#Consignee)

C.  [Ship To Party](#Ship)

    D. [Manufacturer (Supplier)](#MANUFACTURER) Name/Address

    E. [Country of Origin](#Country)

    F. [Commodity HTS-6](#Commodity)

-   [Parts](#Motorcycle)

    G. [Container Stuffing Location](#STUFFING)

-   Timing Flexibility

    H. [Consolidator (Stuffer) Name/Address](#Consolidator)

-   Timing Flexibility

    [ISF-5 ELEMENTS]{.underline}

    I. [Foreign Port of Unlading](#Unlading)

    [ENFORCEMENT MEASURES](#Enforcement)

    [A.](#Enforcement) [Do Not Load (DNL) Messages](#DNL)

    B. [Liquidated Damages](#Liquidated)

    [EXEMPTIONS](#EXEMPTIONS)

A.  [24 Hour Manifest Rule Exemptions](#HOUR) ("Exempt" Break Bulk)

B.  General ISF Requirements

    [FLEXIBLE ENFORCEMENT PERIOD](#FLEXIBLE)

    [FTZ SHIPMENTS](#FTZ)

    [IDENTIFICATION NUMBERS](#Identification)

    A. General

    B. [DUNS](#DUNS)

    [IMPLEMENTATION ISSUES](#IMPLEMENTATION)

    A. [Effective Date](#effective)

    [INFORMAL SHIPMENTS](#INFORMAL)

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A.  General

B.  Military Shipments

C.  [U.S. Goods Returned]{.underline}

    [INSTRUMENTS OF INTERNATIONAL TRADE](#Instruments)

    [ISF FILINGS](#ISF)

    [A. General](#ISF)

    B. [Self Filer](#Self)

    C. [Timing Requirements](#TIMING)

    D. [ISF-5 Filings](#FILINGS)

    E. [ISF Territories of Coverage](#Geographic) (Geographic)

F. [ISF Areas of Coverage](#coverage) (Mode of Transport):

[ISF IMPORTER](#IMPORTER)

A. General

B. [Transit Cargo](#IMPORTER) (FROB, IE, TE)

[MESSAGING](#MESSAGING)

A.  General

B.  [Accepted](#Accepted)

C.  [Unique Identification Number](#Unique)

D.  [Accepted With Warning](#Warning)

E.  [Rejected](#REJECTED)

F.  [Status Advisory](#Advisory)

G.  [Duplicate ISF Filings](#Duplicate)

H.  ISF-5 Messaging

    [MID NUMBERS](#MID)

    [OUTREACH EFFORTS](#OUTREACH)

    [POSTAL CODES](#Postal)

    [POWERS OF ATTORNEY](#powers)

    [RECORD KEEPING REQUIREMENTS](#Keeping)

    [REJECTED ISF FILINGS](#REJECTED)

    [RETURNED OR REFUSED](#RETURNED) SHIPMENTS (including US goods
    returned)

    [SELF-FILING](#Self)

[STRUCTURED REVIEW PERIOD](#STRUCTURED)

[TRANSMISSION METHODS](#TRANSMISSION)

[UNIFIED ISF-10 and ENTRY FILINGS](#unified)

[UNIQUE IDENTIFICATION NUMBER](#Unique)

[VESSEL STOW PLANS](#VESSEL)

A.  Responsibility to File

B.  Exemptions

C.  E-mail address

D.  Formats

E.  Amendments

[]{#ABI .anchor}**ABI**

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]{.underline}** to be
assigned a Client Representative. []{#ACE .anchor}

**ACE**

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](#STRUCTURED))

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.

[]{#AGENTS .anchor}

**AGENTS**

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.

a.  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.

b.  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.  

c.  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.

[]{#AMENDMENTS .anchor}

**AMENDMENTS**

A. [General]{.underline}:

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.

B. []{#Withdrawals .anchor}[Withdrawals]{.underline}:

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**[]{#AMS .anchor}

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]{.underline}** to be assigned a Client
Representative. You will need to complete an Interconnection Security
Agreement (ISA).

**BI**[]{#Bills .anchor}**LLS OF LADING**

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.

[]{#BONDS .anchor}**BONDS**

A. [General]{.underline}:

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](#IMPLEMENTATION))

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]{.underline} 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?)

[]{.mark}

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.

[]{.mark}

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:]{.underline}

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]{.underline}:

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](#CODED))

**B**[]{#BULK .anchor}**ULK and BREAK BULK**

(See also [EXEMPTIONS](#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/linkhandler/cgov/trade/trade_outreach/advance_info/vessel_faq.ctt/vessel_faq.doc>.

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.

**C**[]{#CARNETS .anchor}**ARNETS**

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 .anchor}**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.

[]{#CODED .anchor}**CODED TRANSACTIONS**

A. [Regular Shipments]{.underline}:

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:]{.underline}

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 "03" 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" 03

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]{.underline}:

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.

[]{#CONFIDENTIALTIY .anchor}

**CONFIDENTIALITY**

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](#powers) section)

2\. Will the importer have access to carrier's data (CSMs and stow
plans)?

No.

**CONTA**[]{#Contact .anchor}**CT INFORMATION (CBP)**

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.dhs.gov
mailbox.  Questions relating to specific facts and circumstances of a
prospective transaction can be the subject of a ruling request under
Part 177 of the CBP regulations.

**CONTAINER STATUS MESSAGES (CSM)**[]{#CSM .anchor}

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.

**CR**[]{#Cruise .anchor}**UISE VESSELS and ISF**

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.

**DATA** []{#ELEMENT .anchor}**ELEMENTS (GENERAL)**

1\. [Repeat Data]{.underline}: 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)**

A. [Importer of]{.underline} []{#Record .anchor}[Record
Number]{.underline}:

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.

B. []{#Consignee .anchor}[Consignee Number]{.underline}:

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.

C. []{#Ship .anchor}[Ship To Party]{.underline}:

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.]{.underline}*

Please address the following scenarios:

a.  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]{.underline} 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.

b.  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 1^st^ 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.

c.  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 .anchor}[Manufacturer (Supplier)
Name/Address]{.underline}:

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]{.underline} 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]{.underline}* 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.

E. [Co]{.underline}[]{#Country .anchor}[untry of Origin]{.underline}:

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.

F. [Commod]{.underline}[]{#Commodity .anchor}[ity HTS-6]{.underline}:

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.

[]{#Motorcycle .anchor}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 Stu]{.underline}[]{#Stuffing .anchor}[ffing
Location]{.underline}:

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]{.underline}
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."

H. [Consolidator]{.underline}[]{#Consolidator .anchor} [(Stuffer)
Name/Address]{.underline}:

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*

I. [Foreign Port of]{.underline} []{#Unlading
.anchor}[Unlading]{.underline}:

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.

**ENFORCEM**[]{#Enforcement .anchor}**ENT MEASURES (See also: [Flexible
Enforcement Period](#FLEXIBLE))**

A. [Do Not Load Messages]{.underline}:

1\. Will CBP issue any do not load ([]{#DNL .anchor}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.

B. [L]{.underline}[]{#Liquidated .anchor}[iquidated
Damages]{.underline}:

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 .anchor}**EXEMPTIONS TO ISF REQUIREMENTS**

A. [24 Hour Manifest Rule Exemptions (for "exempt"]{.underline} [Break
Bulk](#BULK)[):]{.underline}

[]{#HOUR .anchor}

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)]{.underline}:

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/linkhandler/cgov/trade/trade_outreach/advance_info/vessel_faq.ctt/vessel_faq.doc#\_Toc126395840

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).

[]{#FLEXIBLE .anchor}**FLEXIBLE ENFORCEMENT PERIOD**

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.

**IDENTI**[]{#Identification .anchor}**FICATION NUMBERS**

A. [General]{.underline}:

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.

B. [D]{.underline}[]{#DUNS .anchor}[UNS]{.underline}:

1\. Will CBP provide query functionality for DUNS numbers?

No.

[]{#IMPLEMENTATION .anchor}**IMPLEMENTATION ISSUES**

A. [Effective Date]{.underline}:

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](#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 .anchor}**INFORMAL SHIPMENTS** (See also [Coded
Transactions](#CODED))

A. [General]{.underline}:

1\. Are ISFs required for informal shipments?

Yes. ISFs are required for informal shipments.

B. [Military Shipments]{.underline}:

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 "03" 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:]{.underline}

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.

**IS**[]{#ISF .anchor}**F FILINGS**

A. [General]{.underline}:

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](#Unique))

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]{.underline} as part of the
[same shipment]{.underline} on the [same vessel voyage]{.underline}.

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.

    B. [Self]{.underline}[]{#Self .anchor} [Filer]{.underline}:

    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.

C. []{#TIMING .anchor}[Timing Requirements:]{.underline}

(See also, [Container Stuffing Location](#Stuffing), [Consolidator
Name/Address](#Consolidator).)

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]{.underline}*.
Similarly, for FROB, the required elements must be submitted prior to
lading aboard *a [vessel destined to the United States]{.underline}*.

D. [ISF-]{.underline}[]{#FILINGS .anchor}[5 Filings]{.underline}:

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 (]{.underline}[]{#Geographic
.anchor}[Geographic):]{.underline}

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 C]{.underline}[]{#coverage .anchor}[overage (Mode of
Transport):]{.underline}

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.

**ISF** []{#IMPORTER .anchor}**IMPORTER**

A. [General]{.underline}:

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):]{.underline}

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.

[]{#MESSAGING .anchor}**MESSAGING**

A. [General]{.underline}:

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.

B. [Acce]{.underline}[]{#Accepted .anchor}[pted ISF
Filings]{.underline}:

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. [Uni]{.underline}[]{#Unique .anchor}[que Identification
Number]{.underline}:

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.

D. [Accepted With W]{.underline}[]{#Warning
.anchor}[arning]{.underline}:

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.

E. [Reje]{.underline}[]{#REJECTED .anchor}[cted ISF
Filings]{.underline}:

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.

F. [St]{.underline}[]{#Advisory .anchor}[atus Advisory
Messages]{.underline}:

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.

G. [Duplica]{.underline}[]{#Duplicate .anchor}[te Filings]{.underline}:

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]{.underline}:

1\. If a carrier submits a [unified filing]{.underline} for the 24 hr
manifest data and ISF-5 data, will an ISF acknowledgment or [unique
identification number](#Unique) (receipt#)  for the ISF-5 be returned to
the carrier?

 

No. Unified manifest/ISF-5 filings will not receive a unique
identification numbers.

[]{#MID .anchor}**MID 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)]{.underline} 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.

**O**[]{#OUTREACH .anchor}**UTREACH EFFORTS**

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](http://www.cbp.gov/).

**POST**[]{#Postal .anchor}**AL CODES**

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.

[]{#powers .anchor}**POWERS OF ATTORNEY**

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.

**REC**[]{#Keeping .anchor}**ORD KEEPING REQUIREMENTS**

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. []{#RETURNED .anchor} 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 .anchor}**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.

[]{#STRUCTURED .anchor}**STRUCTURED REVIEW PERIOD**

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.

[]{#TRANSMISSION .anchor}

**TRANSMISSION METHODS**

(See also: [ABI](#ABI), [ACE](#ACE), and [VESSEL STOW PLANS](#VESSEL))

1\. How must ISF information be submitted to CBP?

The ISF may only be submitted through AMS or ABI.

**VESSE**[]{#VESSEL .anchor}**L STOW PLANS**

A. [Responsibility to File]{.underline}:

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]{.underline}:

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]{.underline}:

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]{.underline}:

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]{.underline}:

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.