Additional Details on CBP's 10+2 FAQ (Part I - ISF Filings, ISF Importers & Messaging)

CBP notes that it's 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 19 CFR Part 177. CBP also states that it will be continually updating and clarifying its FAQ document as necessary.

This is Part I of a multi-part series of summaries detailing CBP's 10+2 FAQ document and focuses on FAQs regarding ISF filings, ISF Importers, and messaging. (See ITT's Online Archives or 01/27/09 news, 09012710, for previous BP summary announcing the availability of the FAQ document and addressing CBP's answers to several FAQs regarding bonds.) See future issues for additional highlights of CBP's FAQ document, including additional highlights from the document's bond section.

ISF Filings

ISFs cannot cover more than one vessel and voyage. According to CBP, an ISF cannot cover more than one vessel and voyage.

ISFs are electronic, not paper. CBP states that there is not going to be a paper ISF form and that the ISF is all electronic.

CBP will return unique ID for each unique ISF filing. On the issue of handling multiple ISFs for one bill of lading, CBP states that it will return a unique identification number for each unique ISF filing even if against the same bill of lading.

ISF filings are not required to match up with CBP Form 3461 entries. CBP responded to the question of whether bills of lading on the same vessel and voyage for the same importer can be combined in the same ISF if the ports of loading or discharge are different by stating that 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 to be at lowest BL level. CBP notes that ISFs are to be done at the "lowest" bill of lading level that has been (or will be) recorded in the vessel Automated Manifest System (AMS). 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.

Single ISF may cover multiple bills of lading in certain circumstances. Additionally, CBP states that a single ISF may cover multiple bills of lading as long as they are all going to the (1) same importer as part of the (2) same shipment on the (3) same vessel voyage.

Several ISF filing scenarios. In response to a similar question regarding single ISFs and multiple bills, CBP adds that 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.

ISFs cannot be submitted through ACE at this time. For a question on whether an importer could connect via the Automated Commercial Environment (ACE) to only file the ISF-10, CBP states that the ISF cannot be submitted through ACE at this time. However, CBP will continue to explore additional ISF functionality as ACE is developed.

ISFs required regardless of size of shipment. CBP responded to a question from a small importer that rarely brings in a whole container and most of its shipments are a few pallets or boxes, by stating that an ISF is required regardless of the size of the shipment.

ISFs are for cargo laden on vessels destined for U.S. For a question on whether the loading on a feeder vessel triggers the ISF filing requirement, CBP states that 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 U.S. Similarly, for foreign cargo remaining on board (FROB), the required elements must be submitted prior to lading aboard a vessel destined to the U.S.

For IEs and T&Es, in-bond number is not required part of ISF-5. CBP states that on the Immediate Exportations (IE) and Transportation & Exportations (T&E), an in-bond number is not required as part of the ISF-5.

Imports into Puerto Rico are subject to 10+2 requirements. CBP states that imports into Puerto Rico (ocean shipments from non-U.S. locations) are subject to ISF/10+2 filing requirements because Puerto Rico is part of the Customs territory of the U.S.

ISFs required only for goods scheduled to arrive in U.S. by vessel. In response to a question asking whether an ISF is needed for cargo arriving by truck or rail that is then laden on a vessel for export from the U.S., CBP states that ISFs are only required for goods scheduled to arrive in the U.S. by vessel.

ISF Importer, Etc.

CBP responded to several questions regarding the ISF importer, and ITs, IEs, and T&Es, with the following statements:

The ISF Importer is ultimately responsible for the complete, accurate, and timely filing of the ISF. This responsibility cannot be transferred to another party.

An NVOCC can file an ISF on its own behalf (as an ISF Importer) or file an ISF as an agent for another party.

The party causing the goods to enter the limits of a port in the U.S. is the party responsible for filing the ISF. This party could be the owner, purchaser, consignee, or agent.

A foreign entity can be the ISF Importer. However, a U.S. entity must be provided for the consignee element.

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 vessel operating carrier (VOC) is the party filing the I.E. and T&E documentation with CBP, the VOC is also the ISF Importer.

An immediate transportation (IT) entry requires an ISF-10 filing. A T&E entry requires an ISF-5.

Messaging

Status notification when ISF matches to BL. For a question on whether CBP will be issuing a message to the carrier when ISFs are transmitted to CBP by a Customs broker through ABI, CBP states it will not be issuing "affirmative load" messages, adding that 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.

Unique identification numbers in response to ISF filings. In response to several other questions regarding the issuance by CBP of a unique identification number for ISF filings, CBP provided the following answers:

CBP will provide feedback when the ISF is filed. The possible return messages include, but are not limited to: accept, conditional acceptance, and reject with reason codes. For those filings that CBP accepts CBP will return a unique ID number.

The unique ID does not become part of the entry package

Unified manifest/ISF-5 filings will not receive a unique identification number.

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.

If the ISF is rejected a new ISF filing is required.

Unique ID numbers will not be issued for rejected initial ISFs.

Each filer will receive a separate and unique match (or no match) message if there are two filings against the same bill of lading.

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.

(See ITT's Online Archives or 01/27/09 news, 09012705 for BP summary of DHS' confirmation that 10+2 began as scheduled on January 26, 2009.

See ITT's Online Archives or 11/25/08, 11/26/08, 12/03/08, 12/09/08, 12/10/08, 12/17/08, 12/19/08, 12/22/08, and 12/23/08 news, 08112505, 08112605, 08120305, 08120905, 08121010, 08121710, 08121905, 08122205, and 08122310, for Parts I-IX on the details of CBP's 10+2 interim final rule.

See ITT's Online Archives or 01/15/08 news, 09011505, for BP summary of CBP's discussion, clarification of its 10+2 interim final rule in which CBP announced that FAQs would be forthcoming.)

CBP's 10+2 FAQs (dated 01/23/09) available at http://www.cbp.gov/linkhandler/cgov/trade/cargo_security/carriers/security_filing/10_2faq.ctt/10_2faq.doc.