Frequently Asked Questions

RETURNED OR REFUSED SHIPMENTS (includes U.S. Goods Returned)-

A.  General

Q: 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?

A: 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.

Q:  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?

A: If the cargo was loaded at a foreign port on board a vessel destined for the U.S., an ISF must be submitted.

B.  U.S. Goods Returned:

Q: Are there or will there be exceptions to the ISF filing requirements for U.S. goods returned?

A: ISFs are required for U.S. goods returned.

Q:  For U.S. goods returned, should the HTSUS Chapter 98 number or the HTSUS commodity number be provided?

A: For U.S. goods returned, both the HTSUS Chapter 98 number and the HTSUS commodity number are required.

Q:  For U.S. goods returned, can the manufacturer (supplier) be a U.S. company?

A: The manufacturer (supplier) can be U.S. a company if the party that last manufactured, assembled, produced, or grew (or supplied) the commodity is a U.S. company.

Q:  If my shipment contains a mix of U.S. Goods Returned and foreign manufactured goods, which ISF coded transaction type should I use?  Type 01 or Type 07?

A: If U.S. goods are commingled or mixed with non-U.S. goods, the “Type 01” Standard coded transaction type should be used. The “Type 07” U.S. Goods Returned coded transaction type is reserved for those shipments that consist entirely of U.S. goods.

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ISF 10+2 Rule Information

Frequently Asked Questions

REJECTED ISF FILINGS –

(See also Messaging)

Q:  If my initial ISF is rejected can I simply amend it or must I create a new one?

A:  If an “add” transaction is rejected, the ISF must be corrected and resubmitted as a new “add” since there is no active ISF record present in CBP’s system to “replace” (i.e., amend)

Q:  Can I receive a unique transaction number for my rejected filings in order to “prove” that I attempted to submit an ISF?

A:  No, unique ID numbers will not be issued for rejected “add” ISFs.  However, rejected “replace” transactions will return the provided ISF Transaction Number.

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ISF 10+2 Rule Information

Frequently Asked Questions

RECORD KEEPING REQUIREMENTS  -

Q:  What are the importer’s recordkeeping requirements for an ISF filing?

A:  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.

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PROGRESS REPORTS –

Q: Will CBP provide feedback from the system to the importers / agents for ISF filing timeliness and/or accuracy?

A: Yes.  Upon receipt of an ISF submission, CBP processes the data and provides immediate feedback to the ISF Filer.  The return messages include an acceptance or rejection message. For those filings that CBP accepts, CBP will return a unique ISF transaction number.  If there are any errors, or if the submission is rejected, CBP will provide a reason code.

In addition to the instant feedback provided on a submission by submission basis, CBP has developed a system generated “ISF Progress Report” that is sent back to each ISF Filer on a monthly cycle.  To obtain an ISF Progress Report, ISF Filers must register via the following e-mail address:  progress_report@cbp.dhs.gov

The email must provide the following information:

• Filer’s corporate name
• Filer code used for filing Security Filings
• Point of Contact
• Point of Contact’s telephone number
• Corporate email address to which to send the Performance Report.

CBP may contact the Point of Contact to verify the provided information.

Q: Will ISF Importers be able to register and obtain a copy of their ISF Progress Report?

A: CBP currently allows Tier 3 C-TPAT and Tier 2 C-TPAT members the opportunity to register with CBP to receive their ISF Progress Reports directly from CBP.   All other ISF importers must obtain a copy of their ISF Progress Report from their authorized ISF Filer.

Please send an email message to progress_report@cbp.dhs.gov with the following information:

• Company name
• C-TPAT Tier Level
• Point of contact
• Point of contact telephone
• IOR numbers to be included in the reports
• E-mail address to which the reports will be sent

A detailed transaction based report is automatically provided but only to C-TPAT Tier 3 importers. You do not need to sign up for this report if you qualify, but you must first sign up for the importer report by providing the information listed above.

Q: How is CBP MEASURING TIMELINESS on the ISF Progress Reports?

A: The timeliness section of the ISF Progress Report is based upon the vessel departure date minus 24 hours.

If a carrier has received an exemption to the 24 Hour Manifest Rule for the timing provision of the manifest data for certain cargo shipments, i.e., “exempt” break bulk, the ISF is not required until 24 hours prior to vessel arrival into the United States.  At this time, CBP is not specifically measuring the timeliness of these “exempt” break bulk shipments.

Q: Will the ISF Progress Reports be used by CBP as an enforcement tool?

A: The ISF Progress Reports were not designed to help CBP enforce the new data requirements.  They are merely intended as a guide to help importers and filers gauge their level of participation.  CBP will evaluate instances of non-compliance on a case-by-case basis and will consider factors surrounding potential violations before applying enforcement actions.

Q: How do I get my transactional ISF data?  Will CBP provide access to my transactional data in the future?

A: CBP only provides transactional ISF data to Tier 3 C-TPAT importers upon request.  At this time, all other importers need to obtain the transactional level data directly from their service providers (i.e., brokers, agents, filers).

CBP is in the process of developing a data warehouse that will allow importers the ability to create and extract reports from CBP; this will include the capability to obtain transactional data.  CBP will make every effort to deploy this capability to Tier 3 and Tier 2 C-TPAT importers sometime in the Fall of 2010.

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ISF 10+2 Rule Information

Frequently Asked Questions

POWERS OF ATTORNEY –

Q: 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.

A: 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.

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ISF 10+2 Rule Information

Frequently Asked Questions

POSTAL CODES –

Q: 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?

A: Yes.

Q:  Some of our ISF entities are in countries that don’t have a formalized postal code system. How will CBP handle ISF entities that are transmitted without a postal code?

A: A postal code is not required as part of an address on an ISF for countries that do not currently utilize a postal code system.  CBP is working on formalizing a list of countries that use postal codes.  When this has been completed, CBP will provide this list to the trade.

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OUTREACH EFFORTS –

Q: How do I find information about any public outreach efforts in regards to the new Security Filing?

A: Please check the CBP website for any upcoming public outreach events in your area at www.cbp.gov

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ISF 10+2 Rule Information

Frequently Asked Questions

OUTER CONTINENTAL SHELF (OCS) –

(See also Exemptions and Coded Transactions)

Q:  Do the Importer Security Filing requirements pertain to outer continental shelf (OCS) shipments?

A: Yes.  See pg. 71757 of the IFR for more details.

Q:  Are there any special provisions for OCS shipments due to the close proximity to the U.S.?

A: Yes.  As a matter of policy, CBP will allow the filing of ISFs for OCS shipments any time prior to vessel lading.  CBP has added a special coded transaction type for OCS shipments.

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ISF 10+2 Rule Information

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MODE OF TRANSPORT REQUIRING ISF –

(See also ISF Filings)

Q:  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?

A: ISFs are only required for goods scheduled to arrive in the United States by vessel.

Q: My goods are scheduled to arrive in Canada by vessel and will then be imported into the U.S. via truck or rail.  While it’s understood that an ISF is not required for shipments arriving into the U.S. via modes other than vessel, may I still file an ISF-10 for these shipments?

A: Yes, as long as there is an associated bill of lading at the lowest level in AMS for the ISF to connect with.

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ISF 10+2 Rule Information

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MITIGATION GUIDELINES –

(See also Enforcement Measures)

Q: Where can I find a copy of the ISF Mitigation Guidelines?

A: The guidelines for the assessment and cancellation of claims for liquidated damages for failure to comply with the vessel stow plan, container status message, and importer security filing requirements were published in the Customs Bulletin on July 17, 2009 and are available through this link: http://www.cbp.gov/linkhandler/cgov/trade/legal/bulletins_decisions/bulletins_2009/vol43_07172009_no28/43genno28.ctt/43genno28.pdf The guidelines begin on page 29 and end on page 41.

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