Importer Security Filing "10+2" Program: Frequently Asked Questions

Importer Security Filing 10+2 Program
Frequently Asked Questions

Last Updated: July ! 2010
On November 25, 2008, U.S. Customs nd !order "rote#tion $C!"% &ublis'ed n
interim (inl rule entitled )*m&orter Se#urity Filin+ nd Additionl Crrier ,equirements-
in t'e Federl ,e+ister $./ F, .0./0%. 1'e interim (inl rule requires bot' im&orters
nd #rriers to submit dditionl in(ormtion &ertinin+ to #r+o to C!" be(ore t'e #r+o
is brou+'t into t'e United Sttes by vessel. C!" 's re#eived numerous questions
#on#ernin+ t'e interim (inl rule. 1o ssist t'e trde #ommunity in understndin+ t'e
e2&e#ttions o( C!" #on#ernin+ t'e *m&orter Se#urity Filin+ nd Additionl Crrier
,equirements rule, C!" in t'is do#ument 's &rovided res&onses to t'e most
(requently sked questions. C!" 3ill #ontinully be u&dtin+ nd #lri(yin+ t'is
do#ument s ne#essry. S'ould you 've dditionl questions t't re not in#luded in
t'is do#ument, &lese (eel (ree to 3rite to Se#urity4Filin+45enerl6#b&.d's.+ov.
"lese note t't t'e res&onses to t'e FAQs re (or in(ormtionl &ur&oses only nd re
non7bindin+. Questions reltin+ to s&e#i(i# (#ts nd #ir#umstn#es o( &ros&e#tive
trns#tion #n be t'e sub8e#t o( rulin+ request under "rt 0.. o( t'e C!"
re+ultions.
"lese visit 'tt&9::333.#b&.+ov: (or t'e ltest in(ormtion on t'e *m&orter Se#urity Filin+
)00;2- &ro+rm. <ost o( t'e in(ormtion on )00;2- #n be (ound t t'e (ollo3in+ link9
'tt&9::333.#b&.+ov:2&:#+ov:trde:#r+o4se#urity:#rriers:se#urity4(ilin+:
='en &ossible, t'e most re#ent u&dtes, in#ludin+ ne3 questions, 3ill be s'o3n in
'i+'li+'ts.
"#$L% &F '&("%("S
<ost o( t'e sub8e#t mtter 's been broken do3n into m8or to&i# res nd 's been
listed l&'beti#lly. Feel (ree to use t'e 'y&erlinks to nvi+te t'rou+' t'e do#ument.
Use t'e )ctrl* nd )+ome* buttons to +et b#k to t'e (irst &+e.
A!*
AC>
A5>N1S
A<>N?<>N1S
A. 5enerl
B. =it'dr3ls
C. Codes
D. *SF Submission 1y&e C'n+es $*SF75 to *SF700%
1
A<S
AN1*QU> S@*"<>N1S
!*AAS OF AA?*N5
!ON?S
A. 5enerl
B. Continuous !onds
C. Sin+le 1rns#tion !onds $C!" Form /00%
D. A&&endi2 ? *SF Stnd7Alone !onds
E. >2em&tions
F. Su((i#ien#y
!UAB nd !,>AB !UAB
CA,N>1S
CA*>N1 ,>",>S>N1A1*C>S $C!"%
CO?>? 1,ANSAC1*ONS
A. 1y&e 00 ,e+ulr S'i&ments
!. 1y&e 02 1o Order S'i&ments
C. 1y&e 0/ @ouse'old 5oods D "ersonl >((e#ts
?. 1y&e 0E 5overnment nd <ilitry S'i&ments
>. 1y&e 05 ?i&lomti# S'i&ments
F. 1y&e 0F Crnets
5. 1y&e 0. U.S 5oods ,eturned
@. 1y&e 08 F1G S'i&ments
*. 1y&e 0H *nterntionl <il S'i&ments
I. 1y&e 00 Outer Continentl S'el( S'i&ments
B. 1y&e 00 *n(orml S'i&ments $Ot'er%
CONF*?>N1*AA*1J
CON1AC1 *NFO,<A1*ON $C!"%
CON1A*N>, S1A1US <>SSA5>S $CS<s%
C,U*S> C>SS>AS nd *SF
?A1A >A><>N1S $5enerl nd S&e#i(i# Questions%
*SF700 >A><>N1S
A. *m&orter o( ,e#ord Number
B. Consi+nee Number
C. S'i& 1o "rty
?. <nu(#turer $Su&&lier% Nme:Address
>. Country o( Ori+in
F. Commodity @1S7F
"rts
5rments on @n+ers
5. Continer Stu((in+ Ao#tion
1imin+ Fle2ibility
@. Consolidtor $Stu((er% Nme:Address
1imin+ Fle2ibility
2
*SF75 >A><>N1S
*. Forei+n "ort o( Unldin+
I. "l#e o( ?elivery
?*"AO<A1*C S@*"<>N1S
?U"A*CA1> *SF F*A*N5S
><"1J CON1A*N>,S
>NFO,C><>N1 <>ASU,>S
A. ?o Not Aod $?NA% <ess+es
!. Aiquidted ?m+es
>K><"1*ONS
A. 2E @our <ni(est ,ule >2em&tions $)>2em&t- !rek !ulk%
B. 5enerl *SF ,equirements
C. *nstruments o( *nterntionl 1rde (**1%
FA>K*!A> >NFO,C><>N1 ">,*O?
*?>N1*F*CA1*ON NU<!>,S
A. 5enerl
!. ?UNS
*<"A><>N1A1*ON 5U*?>S $?t 1rns#tion Sets%
*NFO,<AA S@*"<>N1S
A. 5enerl
B. <ilitry S'i&ments
*NS1,U<>N1S OF *N1>,NA1*ONAA 1,A?> $**1%
*SF F*A*N5S
A. 5enerl
!. Sel( Filer
C. 1imin+ ,equirements
?. *SF75 Filin+s
>. *SF 1erritories o( Cover+e $5eo+r&'i#%
F. *SF Ares o( Cover+e $<ode o( 1rns&ort%
5. Aess t'n Continer Aod $ACA% S'i&ments
@. Ate *SF Filin+s
*SF *<"O,1>,
A. 5enerl
!. 1rnsit Cr+o $F,O!, *>, 1>%
*SF SU!<*SS*ON 1J"> C@AN5>S
*SO 1ANBS
ACA S@*"<>N1S
AA1> *SF F*A*N5S
3
A*QU*?A1>? ?A<A5>S
<>ASU,*N5 1*<>A*N>SS
<>SSA5*N5
A. 5enerl
B. A##e&ted
C. Unique *SF 1rns#tion Number
D. A##e&ted =it' =rnin+
E. ,e8e#ted
F. Sttus Advisory
G. ?u&li#te *SF Filin+s
H. *SF75 <ess+in+
<*? NU<!>,S
<*A*1A,J S@*"<>N1S
<*1*5A1*ON 5U*?>A*N>S
<O?> OF 1,ANS"O,1 ,>QU*,*N5 *SF
OU1>, CON1*N>N1AA S@>AF $OCS%
OU1,>AC@ >FFO,1S
"OS1AA CO?>S
"O=>,S OF A11O,N>J
",O5,>SS ,>"O,1S
,>CO,? B>>"*N5 ,>QU*,><>N1S
,>I>C1>? *SF F*A*N5S
,>1U,N>? O, ,>FUS>? S@*"<>N1S
A. 5enerl
B. US 5oods ,eturned
S>AF7F*A*N5
S@*"LS S"A,>S nd S@*"LS >QU*"<>N1
S"A*1S, ?*C>,S*ONS nd ,OAA*N5 CA,5O
S1,UC1U,>? ,>C*>= ">,*O?
1,ANS<*SS*ON <>1@O?S
UN*F*>? *SF700 nd >N1,J F*A*N5S
UN*QU> *SF 1,ANSAC1*ON NU<!>,
U.S. 5OO?S ,>1U,N>?
C>SS>A S1O= "AANS
A. ,es&onsibility to File
B. >2em&tions
C. >7mil ddress
D. Formts
E. Amendments
4
#$I
0. * 3ould like to kno3 i( #ustoms brokers re +oin+ to be ble to use t'e Automted
!roker *nter(#e $A!*% system to do t'e *m&orter Se#urity Filin+ $*SF%.
Jes.
2. @o3 do 3e +et si+ned u& (or t'e A!* systemM
>ntities t't 3nt to be#ome *m&orter Se#urity Filin+ (ilers usin+ eit'er A<S or A!*
s'ould #ll ,-1./01.,,00 to be ssi+ned Client ,e&resenttive.
#'%
0. =ill C!" #rete 3eb &ortl in AC> so *m&orters #n (ile t'eir o3n *m&orter Se#urity
Filin+s in AC>M
C!" 's be+un develo&ment o( n internet7bsed 3eb &ortl to ##e&t *SF (ilin+s. Use
o( t'e &ortl by t'e &ubli# 3ill be very limited in s#o&e. For quli(ied users, ##ess 3ill
be limited to no more t'n t3o $2% *SF (ilin+s &er dy, 3it' m2imum o( t3elve $02% &er
yer. 1'e *SF "ortl 3ill be vilble no erlier t'n Au+ust 2000
*m&orters must &re7re+ister t'eir im&orter *? numbers 3it' C!" $i.e., *,SN
or SSNN%
,e+istrtion o( t'e im&orter *? number #n be done in &erson t lo#l "ort
o( >ntry or by li#ensed #ustoms broker vi t'e use o( C!" Form 500F
2. =ill Custom @ouse !rokers $C@!s% 've t'e bility to query *SF &er(ormn#e
re&orts (rom t'e * tr#k : AC> "ortlM
At t'is time C!" 3ill not mke vilble re&ort #rds t'rou+' AC>O 'o3ever, C!" 's
develo&ed re&ortin+ me#'nism t't is &rovided dire#tly to re+istered *SF (ilers. $See
)*SF "ro+ress ,e&orts-%.
C!" is in t'e &ro#ess o( develo&in+ dt 3re'ouse t't 3ill llo3 im&orters t'e
bility to #rete nd e2tr#t re&orts (rom C!"O t'is 3ill in#lude t'e #&bility to obtin
trns#tionl dt. C!" 3ill mke every e((ort to de&loy t'is #&bility to 1ier / nd 1ier
2 C71"A1 im&orters sometime in t'e Fll o( 2000.
5
#2%("S
0. *( 3e 'ire #ustoms broker to be our +ent, do t'ey 've to be our +ent (or ll o(
our *SFLs durin+ sin+le yerM
No. >#' *SF is done on n individul bsis. An *SF *m&orter my (ile t'e *SF
t'emselves, or 'ire n +ent (or e#' individul (ilin+. 1'ere is no limit s to 'o3 mny
di((erent +ents n *SF *m&orter my use durin+ t'e #ourse o( yer.
2. Cn 3e use di((erent +ents (or di((erent (ilin+sM Cn our +ents use bot' A<S nd
A!* to do our (ilin+sM =ill t'is ((e#t our (ilin+s in ny 3yM
1'e *SF *m&orter #n ele#t to use di((erent *SF A+ents (or e#' se&rte (ilin+. Also,
t'ose *SF A+ents my use eit'er vessel A<S or A!* to do t'ese se&rte (ilin+s.
@o3ever, i( uni(ied entry (ilin+ is bein+ done, A!* must be used nd t'e *SF *m&orter
must sel(7(ile or use li#ensed U.S. #ustoms broker to do t'e (ilin+ on t'eir be'l(.
/. *( n im&orter uses multi&le C@!s #n t'e im&orter sele#t one broker to do n *SF
nd not'er to mke entry $on t'e sme s'i&ment%M
Jes, unless t'e (ilin+ is )uni(ied (ilin+- in 3'i#' #se t'e (ilin+ must be done by sin+le
entity.
E. ?oes t'e *SF Filer need to be lo#ted in t'e U.S.M
No.
5. ?oes t'e )(ilin+ +ent- (or t'e im&orter 've to be Ai#ensed Customs !rokerM Cn
it be t'e (orei+n (rei+'t (or3rderM
A (ilin+ +ent does not 've to be #ustoms broker e2#e&t (or t'e #se o( )uni(ied
(ilin+.- A (orei+n (rei+'t (or3rder #n lso be (ilin+ +ent.
F. @o3 3ill servi#e #enter noti(i#tion be 'ndledM For t'e 2E @our <ni(est ,ule,
t'ere 3ere s&e#i(i# detils t't 3ent to C!" noti(yin+ t't servi#e #enter 'd been
&&ointed. Nmely, Com&ny Nme, SCAC #ode, C!" ssi+ned number, !ond
number nd e((e#tive dte, nd USA dis#'r+e &orts t't 3ill be (iled.
a. ='t is t'e &ro#ess (or nomintin+ servi#e #enter (or *SF 00;2 (ilin+M
1'ere is no &ro#ess (or nomintin+ &rty to submit t'e *SF. @o3ever, A!* (ilers
my del 3it' t'eir Client ,e&resenttives in estblis'in+ n ##ount 3it'
re(eren#e to t'eir servi#e #enter.

6
b. 1'ere re instn#es 3'ere no SCAC #ode e2ists. =ill t'ere be C!" ssi+ned
number nd, i( not, 3'i#' identi(ier 3ill be used in t'e servi#e #enter nomintion
letterM
1'e (iler needs (iler identi(i#tion #odeO eit'er SCAC i( trnsmittin+ t'rou+'
A<S, or n A!* (iler #ode i( (ilin+ t'rou+' A!*. *( SCAC is not vilble (or A<S
&rti#i&nts, C!" 3ill ssi+n E7#'r#ter identi(ier in order to be n A<S
&rti#i&nt. For e2m&le, broker 3'o does not 've SCAC #ode 3ill still need
n identi(ier i( t'ey re usin+ n A<S servi#e #enter to (ile *SF trns#tions.
c. *( t'e servi#e #enter nomintion #omes (rom n ssi+ned *SF +ent, does
se&rte noti(i#tion need to be sent (or e#' #ustomer t'ey 've been
nominted byM
1'ere is no &ro#ess (or nomintin+ &rty to submit t'e *SF.
#3%(43%("S
#5 2eneral9
0. ='en do 3e 've to sto& mendin+ t'e *SFM
1'e *m&orter Se#urity Filin+ must be mended i( t'ere is #'n+e or more ##urte
in(ormtion be#omes vilble be(ore t'e +oods enter t'e limits o( t'e &ort o( (irst rrivl
in t'e United Sttes.
@o3ever, i( t'e 6le7i8le 6iling option 9F:! F" or F;< is used, t'e *SF 3US" be
u&dted 3it' t'e #orre#t or more ##urte in(ormtion s soon s it is kno3n, but in ny
event no lter t'n 2E 'ours &rior to rrivl o( t'e vessel in t'e (irst U.S. &ort. *( better
in(ormtion does not be#ome vilble nd:or t'e ori+inl in(ormtion is t'e best
in(ormtion, t'e *SF must still be #om&leted usin+ t'e )C1- mendment #ode.
2. Are #'n+es to t'e *SF (ter rrivl t t'e &ort o( dis#'r+e llo3ed or requiredM
5enerlly, t'e requirement to u&dte n *m&orter Se#urity Filin+ termintes 3'en t'e
vessel #lls t t'e U.S. &ort o( rrivl. @o3ever, C!" 3ill not restri#t u&dtes outside o(
t'is 3indo3.
/. ='t '&&ens i( * (ire my *SF A+ent, but still need to u&dte my *SFM

*( n *SF *m&orter needs to u&dte its o3n *SF t't 3s initilly submitted by its +ent,
t'e *SF *m&orter must #ont#t C!" Client ,e&resenttive to 've t'e ori+inl (ilin+
7
#n#elled. A(ter t'e ori+inl *SF 's been #n#elled by t'e C!" Client ,e&resenttive,
ne3 *SF my be submitted.
E. @o3 3ill im&orters be ble to mend t'e se#urity (ilin+ i( t'ey donPt 've ##ess to t'e
*m&orter Se#urity Filin+ elements in C!" systemsM
*( t'e *SF *m&orter used n +ent to &er(orm t'e (ilin+, t'e *SF *m&orter s'ould #ont#t
its +ent (or ssistn#e in mendin+ t'e *SF.
5. @o3 do * 'ndle s'i&ments sold on t'e 3terM
1'e *SF 3ill need to be u&dted i( t'e s'i&ment is sold in trnsit. At minimum, t'e *SF
*m&orter must noti(y C!" t't t'e +oods 've been sold, nd t'e &rty must u&dte t'e
!uyer $O3ner% (ield nd ny ot'er (ield t't t'e &rty kno3s 's #'n+ed s result o(
t'e sle. 1'e *SF *m&orter remins lible (or t'e timin+ nd ##ur#y o( t'e *SF (ilin+.
F. Cn * mend t'e bill o( ldin+ number on t'e *SFM
Jes. From trns#tionl stnd&oint, t'e system 3ill llo3 n *SF Filer to u&dte n
e2istin+ *SF 3it' ne3 bill o( ldin+ number. @o3ever, t'e *SF *m&orter is ultimtely
res&onsible (or t'e timely, ##urte, nd #om&lete submission o( t'e *m&orter Se#urity
Filin+.
$5 =it+dra>als:
0. ='t '&&ens i( * enter n *SF nd t'en t'e s'i&ments do not s'i&M
=it'dr3 t'e *SF by deletin+ it.
2. =ill you llo3 t'e entry to u&dte t'e *SFM
No. Stnd7lone *SF trns#tions #n only be u&dted by re&l#e trns#tions.
Furt'ermore, uni(ied entry trns#tions 3ill only u&dte t'e *SF i( t'e entry is re&l#ed
lon+ 3it' n *SF re&l#e trns#tion.
'5 'odes:
0. C!" s'ould #rete detiled mendment #odes so #'n+es to t'e *SF #n be
tr#ked more esily.
C!" +rees nd 3ill &ost list o( mendment #odes, on#e t'ey 've been (ully
develo&ed, in t'e ne2t set o( im&lementtion +uides.
8
2. *( * de#ide to use t'e )(le2ible (ilin+ o&tion- nd submit my *SF under #tion reson
#ode F,, F1 or FK, 3ill * be required to u&dte my *SF (ilin+M
Jes. *( t'e *SF *m&orter ele#ts to use t'e (le2ibilities &rovided (or under t'e interim (inl
rule by sele#tin+ t'e )F,-, )F1- or )FK- #ode 3'en submittin+ t'e initil *SF, t'e *SF
3US" be u&dted 3it' t'e #tion reson #ode o( )C1- to denote t'e #orre#t or more
##urte in(ormtion s soon s it is kno3n, but in ny event no lter t'n 2E 'ours
&rior to rrivl o( t'e vessel in t'e (irst U.S. &ort.
One o( t'e (ollo3in+ #tion reson #odes must be &rovided s &rt o( n *SF700 (ilin+9
'" ? 'ompliant "ransaction Q All dt is &resent nd is bsed u&on t'e best
in(ormtion vilble t t'e time o( t'e (ilin+O no s&e#il (le2ibility rules &&ly. *(
)C1- is used, t'e *SF #n be u&dted i( ne#essry, but C!" does not ne#essrily
e2&e#t to see u&dtes (or t'ese (ilin+s. C1- is lso used to (inliRe )F,-, )F1-
or )FK- (ilin+.
F: ? Fle7i8le :ange Q A rn+e o( dt (or t'e <nu(#turer, nd:or S'i& 1o
"rty, nd:or Country o( Ori+in, nd:or Commodity @1SUS number 's been
&rovided. *n t'ese #ses, t'e *SF must be u&dted s soon s better in(ormtion
be#omes vilble, but in ny event no lter t'n 2E 'ours &rior to rrivl. *( )F,-
is used, C!" 3ill be e2&e#tin+ to re#eive timely u&dte.
F" ? Fle7i8le "iming Q 1'e CS $Consolidtor nme:ddress% nd:or t'e A5
$Stu((in+ lo#tion% 's not been &rovided. 1'e *SF must be u&dted s soon s
better in(ormtion be#omes vilble, but in ny event no lter t'n 2E 'ours
&rior to rrivl. *( )F1- is used, C!" 3ill be e2&e#tin+ to re#eive timely u&dte.
F; ? Fle7i8le :ange and Fle7i8le "iming 7 A rn+e o( dt s des#ribed in )F,-
's been &rovided nd t'e CS $Consolidtor nme:ddress% nd:or A5 $Stu((in+
lo#tion% 's not been &rovided. 1'e *SF must be u&dted s soon s better
in(ormtion be#omes vilble, but in ny event no lter t'n 2E 'ours &rior to
rrivl. *( )FK- is used, C!" 3ill be e2&e#tin+ to re#eive timely u&dte.
45 ISF Su8mission "ype '+anges:
0. *n some instn#es, it be#omes ne#essry to #'n+e $mend% t'e *SF ty&e (rom n
*SF75 to n *SF700. For e2m&le, s'i&ment t't 3s +oin+ to be immeditely
e2&orted $*.>.% to Cnd u&on rrivl into t'e U.S. is #tully sold to U.S. &rty
insted. 1'e ne3 &rty 3ould like to enter t'e +oods into t'e U.S. nd (ollo3 t'e &ro&er
*SF &ro#edures mentioned in 0H CF, 08.5$+%. @o3 is C!" tr#kin+ t'e #'n+es (rom
n *SF75 to n *SF700M =ouldnLt it be use(ul i( #oded trns#tion 3ere #reted to
mke t'is &ro#ess little esier (or t'e im&orters s 3ell s C!"M
9
C!" 's #reted &ro#ess 3'ereby ne3 *SF700 my be (iled to re&l#e n e2istin+
*SF75. *n t'ese instn#es, ne3 *SF700 must be #reted nd ISF Su8mission "ype
@ must be sele#ted to denote t't n *SF700 3ill be re&l#in+ t'e e2istin+ *SF75. Note
t't n #tive *SF75 (ilin+ must lredy e2ist (or t'is s'i&ment +inst t'e sme bill o(
ldin+ number $i.e., lo3est A<S bill o( ldin+ number% in order (or t'is ne3 (ilin+ to be
vlid. 1'is *SF submission ty&e #'n+e is in ##ordn#e 3it' 0H CF, 08.5$+%
)S&ermission toT #'n+e t'e in7bond entry into #onsum&tion entry must be obtined
(rom t'e &ort dire#tor o( t'e &ort o( ori+in. Su#' &ermission 3ould only be +rnted u&on
re#ei&t by Customs nd !order "rote#tion $C!"% o( #om&lete *m&orter Se#urity Filin+
s required by &rt 0EH o( t'is #'&ter.-
From t'e *SF C'&ter o( t'e CA1A*,9
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:utomted:utomted4systems:bi:#tir:#'
&ters:is(450.#tt:is(450.do#
ISF Submission Type 1N 5 M 1 = Imporer Se!uriy Fi"in# 1$ (ISF%1$&
submission
2 = Imporer Se!uriy Fi"in# 5 (ISF%5&
submission
Ne' Types
3 = ISF-5 submission type is being changed
to an ISF-10
4 = ISF-10 submission type is being
changed to an ISF-5
5 = Late ISF-10 without a bond
6 = Late ISF-5 without a bond
1
*n terms o( t'e business &ro#ess, C!" e2&e#ts t'e ne3 *SF700 to be #om&leted
ele#troni#lly &rior to seekin+ t'e 3ritten &ermission (rom t'e lo#l C!" &ort dire#tor.
A##ordin+ly, t'e *SF700 trns#tion number needs to be re(eren#ed in t'e 3ritten letter
to t'e lo#l &ort dire#tor s &rt o( t'e request (or t'e #'n+e (rom s'i&ment ty&e
requirin+ n *SF75 to s'i&ment ty&e requirin+ n *SF700. At some &oint in t'e ner
(uture, entry relese (or t'ese ty&es o( im&orttions 3ill be restri#ted until 3ritten
&ermission is +rnted by t'e lo#l &ort dire#tor t t'e &ort o( entry.
(ote: 1'e ne3 *SF700 my be submitted by t'e ori+inl *SF *m&orter $or t'eir +ent% or
by not'er &rty 3'o 3ould t'en be lible (or t'e *SF700. 1'is *SF submission ty&e
#'n+e llo3s ne3 *SF to be (iled (ter t'e +oods 've de&rted (orei+n &ort nd
&rior to entry relese o( t'e +oods in t'e United Sttes.
2. Cn * re&l#e $mend% n *SF700 ty&e s'i&ment 3it' n *SF75 ty&e s'i&mentM ?o *
need to obtin "ort ?ire#tor &&rovl (irstM
1$
Jes, n *SF700 (ilin+ #n be re&l#ed by n *SF75 (ilin+O use n *SF Submission 1y&e )E-
to s'o3 t't n *SF700 is bein+ #'n+ed to n *SF75. As mtter o( &oli#y t'ere is no
requirement to obtin "ort ?ire#tor &&rovl (or t'ese ty&es o( #'n+es.
#3S
0. @o3 do 3e +et si+ned u& (or t'e A<S systemM
>ntities t't 3nt to be#ome *m&orter Se#urity Filin+ (ilers usin+ eit'er A<S or A!*
s'ould #ll ,-1./01.,,00 to be ssi+ned Client ,e&resenttive. Jou my lso need
to #om&lete n *nter#onne#tion Se#urity A+reement $*SA%.
#("IAU% SBIP3%("S
0. =e im&ort vint+e (urniture nd ##ents t't 3e buy ourselves overses t smll (le
mrkets nd street (irs. =e +t'er our mer#'ndise nd stu(( t'e s'i&&in+ #ontiner
ourselves, nd t'en send t't #ontiner to our lo#tion in t'e United Sttes 3'ere 3e
o&erte s domesti# sellers. Are 3e t'e UbuyerU s 3ell s t'e UsellerU t t'e time t'e
*SF is requiredM
Sin#e you re &ur#'sin+ nd tkin+ &ossession o( t'e +oods 3'ile overses, it 3ould
be ##e&tble to list yourselves s bot' t'e !uyer $O3ner% nd Seller $O3ner%.
2. =e 've n invoi#e (or e#' &ur#'se but t'e &eo&le 3e buy (rom re not t'e #tul
mnu(#turer. <ost o( t'e &eo&le 3e buy (rom re ntiques delers nd 3e 've bout
20 or /0 delers &er s'i&ment. ?o 3e #onsider t'e delers s t'e Usu&&liersUM And i(
so, do 3e 've to list every sin+le one o( t'emM
Jou 3ill need to &rovide t'e nmes nd ddresses o( ll t'e Usu&&liersU o( t'e (inis'ed
+oods $i.e., t'e invoi#in+ &rties%.
$ILLS &F L#4I(2
0. *s bill o( ldin+ number required t t'e time o( n *SF (ilin+M
Jes. 1'e *SF *m&orter, or its +ent, must obtin t'is in(ormtion nd &rovide it to C!"
s &rt o( t'e *SF (ilin+. 1'e *SF needs to be submitted t t'e lo3est bill o( ldin+ level
$i.e., 'ouse bill or re+ulr bill% t't is trnsmitted into t'e Automted <ni(est System
$A<S%. 1'e bill o( ldin+ number is t'e only #ommon )link- bet3een t'e *SF nd t'e
#ustoms mni(est dt.
11
2. "lese dvise 3't to do i( you do not 've bill o( ldin+ number t t'e time you
submit t'e *SF. <ost times t'e bill o( ldin+ numbers re not issued until (ter silin+.
1'e *SF *m&orter must obtin t'e bill o( ldin+ number. 1'e bill o( ldin+ number is n
inte+rl &rt o( t'e se#urity (ilin+. =it'out t'e bill o( ldin+ number, t'e *SF #nnot be
mt#'ed to #ustoms mni(est. 1'e bill o( ldin+ number is &rt o( t'e #ustoms
mni(est in(ormtion t't is lredy required to be &resented to C!" by t'e #rrier or
utomted NCOCC 2E 'ours &rior to vessel ldin+ o( #r+o destined to enter t'e United
Sttes.
/. *( t'e NCOCC is non7A<S &rti#i&nt, s'ould 3e (ile t'e mster bill o( ldin+
insted o( t'e 'ouse bill o( ldin+ 3it' t'e *SFM
1'e *SF needs to be submitted t t'e lo3est bill o( ldin+ level $i.e., 'ouse bill or re+ulr
bill% t't is trnsmitted into t'e Automted <ni(est System $A<S%. *( t'e #rrier #retes
nd trnsmits re+ulr bill o( ldin+ number on be'l( o( non7utomted NCOCC or
(rei+'t (or3rder, t'e *SF (iler must submit t'e re+ulr bill o( ldin+ number t't 3s
trnsmitted into A<S s &rt o( t'e *SF.
From t'e Importer Security Filing 9ISF.10! ISF.,< CA1A*, Cersion9 Iune 0, 200H
*m&lementtion 5uide9
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:utomted:utomted4systems:s(4trns#tio
n4sets:is(4254#tir.#tt:is(4#tir4002008.do#
Clid quli(ier #odes re9
&$ $O#en !ill o( Adin+ Q used (or :egular $ills%,
$3 $Bouse $ill o( Adin+%
For &ur&oses o( t'e *m&orter Se#urity Filin+, t'e (ollo3in+ bill o( ldin+ de(initions &&ly9
:egular $ill Q is de(ined s non7<ster bill o( ldin+ 3it' (& U(4%:LCI(2
'ouse bills. For *SF, t'is is t'e bill re&orted to C!" in A<S, 3'i#' is lso re(erred
to s )Stri+'t !ill- or )Sim&le !ill-. *( multi&le ,e+ulr !ills e2ist, t'e SF05
re#ord is re&eted ##ordin+ly.
Bouse $ill Q is de(ined s bill o( ldin+ issued under <ster !ill. For *SF, t'is
is t'e @ouse !ill re&orted to C!" in A<S. *( multi&le @ouse !ills e2ist, t'e SF05
re#ord is re&eted ##ordin+ly.
<ster !ill Q is de(ined s bill o( ldin+ #overin+ t lest one or more underlyin+
'ouse bills o( ldin+. *( t'e (iler #'ooses to &rovide t'e o&tionl <ster !ill (or
@ouse !ills &rovided in t'e SF05 re#ord, t'e <ster !ill is re&orted in t'e SF20
12
re#ord 3it' n )<!- quli(ier. As 3it' t'e SF05 re#ord, multi&le SF20 re#ords re
used to re&ort multi&le <ster !ills.
C!" is requirin+ only t'e number (or t'e bill o( ldin+ t t'e lo3est level $i.e., t'e
re+ulr stri+'t:sim&le bill o( ldin+ or 'ouse bill o( ldin+% nd not t'e mster bill
o( ldin+ number to be re&orted in n *SF.
E. Cn * mend t'e bill o( ldin+ number on t'e *SFM
Jes. From trns#tionl stnd&oint, t'e system 3ill llo3 n *SF Filer to u&dte n
e2istin+ *SF 3it' ne3 bill o( ldin+ number. @o3ever, t'e *SF *m&orter is ultimtely
res&onsible (or t'e timely, ##urte, nd #om&lete submission o( t'e *m&orter Se#urity
Filin+.
5. ='t s'ould * do 3'en * (ile my *SF nd * re#eive n )A##e&ted- mess+e 3it'
subsequent )!ill Not on File- mess+eM
>very *m&orter Se#urity Filin+ must re(eren#e t lest one bill o( ldin+ number $!OA% at
t+e lo>est leDel transmitted to '$P in #3S 9i5e5! +ouse 8ill or regularEsimple 8ill<5
1'e !OA number is &rt o( t'e #ustoms mni(est in(ormtion t't is lredy required to
be trnsmitted to C!" by t'e #rrier or utomted NCOCC in A<S 2E 'ours &rior to
vessel ldin+ o( #r+o destined to t'e U.S.
1'e return mess+e )A##e&ted, no !ill on File- mens t't t'e *SF 3s ##e&ted but
t'e !OA number listed s &rt o( t'e *SF did not mt#' to 'ouse !OA or
re+ulr:sim&le !OA on (ile 3it'in A<S. 1'ere re (e3 #ommon resons 3'y t'ere
my be no bill on (ile mess+e9
1'e *SF (ilin+ &re#eded t'e trnsmission o( t'e #ustoms mni(est in(ormtion. *n
t'ese #ses, C!" 3ill send out mt#' mess+e s soon s t'e mni(est dt is
re#eived in A<S nd t'e !OA number nd !OA ty&e mt#' to t'e !OA number
nd !OA ty&e re(eren#ed on t'e *SF.
1'e !OA number re(eren#ed on t'e *SF my #ontin ty&o+r&'i#l error. *n
t'ese #ses, &lese #'e#k +in 3it' t'e &rties t't &rovided t'e !OA
in(ormtion. *n ddition, t'ere is query in A!* t't #n #on(irm 3'et'er or not
!OA number #urrently e2ists in A<S. C!" is 3orkin+ on im&rovin+ t'is query. *n
t'e ner (uture, C!" 3ill lso &rovide t'e !OA ty&e $i.e., 'ouse, re+ulr:sim&le or
mster% nd 3'et'er or not n *SF is #urrently on (ile +inst &rti#ulr bill.
1'e !OA ty&e re(eren#ed on t'e *SF does not mt#' t'e !OA ty&e in A<S.
"lese do not send in re&l#e $mended% *SF to in order to try nd (or#e mt#'
mess+e s t'ese ty&es o( #tions #ould &otentilly im&#t your #om&lin#e &ro(ile. *(
you 've +one t'rou+' ll t'ese ste&s nd you re #on(ident t't t'e !OA number
trnsmitted s &rt o( your *SF is t'e lo3est level !OA in A<S, t'e #orre#t bill ty&e #ode
13
3s re(eren#ed, nd your COC or NCOCC trnsmitted t'e mni(est in(ormtion in A<S,
you #n #ont#t your C!" Client ,e&resenttive (or ssistn#e.
$&(4S
#5 2eneral:
0. @o3 3ill bond (or n *SF be (iled in #ses 3'ere n im&orter, or its +ent, does not
've #ontinuous bondM @o3 3ill t'is #tully 3orkM =ill t'ere be &&erless sin+le
trns#tion bonds (or *SF &ur&osesM
1'e *SF *m&orter, or its +ent, 3ill need to obtin bond. 1'e *SF *m&orter, or its
+ent, my obtin #ontinuous bond $ty&e 0, 2, / or E% or n A&&endi2 ? stnd7lone
*SF bond $sin+le7trns#tion or #ontinuous%.
2. *( n +ent llo3s 'is bond to be obli+ted, is 'e #onsidered t'e *SF *m&orter 3it' ll
o( t'e libilities sso#ited 3it' t'e *SF (ilin+M
*( n +ent is submittin+ n *SF on be'l( o( not'er &rty nd t'e +ent &osts its o3n
bond, t'e +ent +rees to 've its o3n bond #'r+ed i( t'ere re bre#'es o(
obli+tions re+rdin+ t'e (ilin+. @o3ever, t'e *SF *m&orter remins ultimtely lible (or
t'e #om&lete, ##urte, nd timely *SF (ilin+.
/. ?oes n im&orter 've to 've t'e *SF stnd7lone bond to be n *SF *m&orterM
An im&orter does not 've to 've t'e *SF stnd7lone bond to be n *SF *m&orter.
E. =ill C!" ##e&t one bond (or t'e *SF (ilin+ nd se#ond bond (or entryM *s t'is true
(or #ontinuous bond s 3ell s Sin+le 1rns#tion !ondsM
Jes. C!" 3ill ##e&t one bond (or t'e *SF (ilin+ nd se&rte bond (or entry.
@o3ever, i( t'e *SF *m&orter nd t'e *m&orter o( ,e#ord re t'e sme &rty nd t'e *SF
nd entry re submitted to C!" vi t'e sme ele#troni# trnsmission $)uni(ied (ilin+
o&tion-%, t't &rty must submit one bond t't se#ures bot' t'e *SF nd t'e entry.
5. *( uni(ied entry (ilin+ $i.e., #ombined entry D *SF (ilin+% is sent, does t'e bond
obli+ted on t'e entry #over bot' t'e entry nd t'e *SFM *s t'is true (or bot' #ontinuous
bonds nd sin+le trns#tion bondsM *( so does t'e limit o( libility remin t'e sme s it
is no3M
Jes, t'e bond #overs bot'. 1'is is true (or bot' #ontinuous nd sin+le trns#tion
bonds. 1'e limits o( libility re not #'n+ed by t'is rulemkin+.
F. @o3 3ill *SF bondin+ requirements be determined 3'en t'e vlue o( t'e #r+o is
14
unkno3nM
1'e mount o( t'e *SF bond is not bsed on t'e vlue o( t'e #r+o.
.. 1'e interim (inl rule sttes t't UC!" 3ill en(or#e t'e im&orter se#urity (ilin+, vessel
sto3 &ln, nd #ontiner sttus mess+e requirement, t'rou+' t'e ssessment o(
liquidted dm+es, in ddition to &enlties &&li#ble under ot'er &rovisions o( l3.U
Cn you +ive us n e2m&le o( t'e ty&es o( &enlties you 'd in mind in t'is re+rd.
$,e(eren#e9 .0.F0 7 /rd #olumn, /rd &r+r&'%
"enlty sttutes vilble to C!" in#lude 0H U.S.C. 05H5$b% nd 0E/F, de&endin+
u&on t'e (#ts nd #ir#umstn#es o( t'e violtion. "enlty ssessment nd miti+tion
+uidelines 've been &ublis'ed in t'e C!" !ulletin. A #o&y o( t'e )00;2- <iti+tion
5uidelines #n be (ound in t'e le+l bulletins se#tion on t'e C!".+ov 3eb site t t'e
(ollo3in+ lo#tion9
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:le+l:bulletins4de#isions:bulletins4200H:volE/
40.0.200H4no28:E/+enno28.#tt:E/+enno28.&d(
1'e +uidelines be+in on &+e 2H nd end on &+e E0.
8. @o3 does t'e +ent +ree in 3ritin+ to llo3 its bond to be used (or n im&orter 3'o
doesnLt 've bond nd 3'y is t'is ne#essryM *s t'ere dr(t ln+u+e (or su#'
)+reement-M =ill t'e +reement be ##e&tble on &er7*SF bsis, blnket bsis, or
eit'er $t t'e (ilerLs o&tion%M $,e(eren#e9 "+e .0.E5 Q /rd #olumn to& o( t'e *F,%
1'e 3ritten +reement #n be &o3er o( ttorney or ot'er similr do#ument. 1'e
+reement must mke it #ler t't t'e +ent is +rntin+ t'e *SF im&orter t'e ut'ority to
use its bond (or *SF &ur&oses. C!" 3ill not intervene in 'o3 t'is +reement is to be
dr3n u&.
H. 1'e interim (inl rule &rovides t't every *SF Filer:*m&orter must 've !si#
*m&orttion !ond under 3'i#' t'e &rin#i&l +rees to #om&ly 3it' t'e ne3 &rovisions o(
&rt 0EH. 1o t'e e2tent t't mny *SF Filers:*m&orters 've e2istin+ bonds, 'o3 does
C!" intend to en(or#e t'is &rovision 3'en t'e e2istin+ bonds do not #ontin t'is
ln+u+eM *s C!" su++estin+ t't *SF Filers:*m&orters 3ill need to obtin bond riders to
re(le#t t'is #'n+eM @o3 3ill C!" monitor #om&lin#e 3it' t'is ne3 bond requirementM
All e2istin+ #tivity 0, 2, /, nd E bonds no3 #ontin t'is ln+u+e. ,iders re
unne#essry.
00. Additions to bond re+ultions (or ty&e 0, 2, /, nd E $0H CF, VV 00/.F2, 00/.F/,
00/.FE, D 00/../% &rovide (or liquidted dm+es in t'e mount o( W5,000 &er violtion
in t'e event o( de(ult in #onne#tion 3it' *SF (ilin+ requirements. @o3ever, t'e *SF
stnd lone Continuous !ond $A&&endi2 ? bond% &rovides (or &yment o( )ny mount
&res#ribed by l3 or re+ultion u&on demnd by C!".- ='y is t'is &rovision di((erent
15
(rom t'e ot'ersM ='en ssertin+ #lim +inst n *SF Continuous !ond, 3't
l3$s%:re+ultion$s% 3ill C!" #iteM
1'e ln+u+e in t'e A&&endi2 ? bond is di((erent be#use t'e l3s or re+ultions
+overnin+ ssessed mounts mi+'t #'n+e nd t'e bond ln+u+e 3ill not need to be
mended. 1'e liquidted dm+es &rovisions #overin+ *SF violtions in 0H CF, VV
00/.F2, 00/.F/, 00/.FE, D 00/../ +overn. See &. .0.80 o( t'e *nterim Finl ,ule.
00. =ill you #onsider 'o3 to &&ly liquidted dm+es i( t3o (ilin+s 've been done
nd 3'ere one is #orre#t nd t'e ot'er one is in#orre#tM
1'ere is bre#' s to t'e in#orre#t (ilin+. *t 3ill be mtter o( en(or#ement dis#retion
s to 3'et'er liquidted dm+es 3ill be ssessed.
02. 5iven t'e &otentil (or r&id nd substntil ##umultion o( libility, 3ill C!"
#onsider &ro'ibition or limit on #ustoms brokers &ostin+ t'eir bond$s% to se#ure t'e
*SFM
1'ere is no #urrent &ln to im&ose su#' &ro'ibition or limit.
0/. *( t'e im&orter does not 've bond, #n t'e (iler obli+te its o3n bondM
Jes, t'e (iler #n obli+te its o3n bond. See 0H CF, 0EH.5$b%
0E. =ill n im&ort bond rider be required to (ul(ill t'e re+ultory #'n+es required in t'e
*SF ruleM
No. 1'e ,ule mends t'e terms nd #onditions o( t'e #tivity #ode 0 $bsi#
im&orttion%, 2 $#ustodil%, / $interntionl #rrier% nd E $(orei+n trde Rone o&ertor%
bonds to in#lude t'e obli+tion to meet *SF (ilin+ requirements. No rider is ne#essry
(or ny o( t'ese bonds.
05. ='t is t'e sttute o( limittions (or liquidted dm+es (or *SF violtionsM =ill
C!" #onsider mkin+ t'is #onsistent 3it' t'e bond obli+tion (or entry $i.e., one yer%M
"ursunt to 28 U.S.C. V 2E05, t'e sttute o( limittions (or *SF liquidted dm+es is si2
yers (rom t'e dte o( t'e bre#' o( t'e bond. C!" 3ill not limit its ut'ority to en(or#e
t'e *SF requirements.
$5 'ontinuous $onds
"ype 1! 2! @! and / 91 'F: FF 11@502! 11@50@! 11@50/! G 11@5-@ 9'$P Form @01<<
0. *s my #urrent #ontinuous bond su((i#ient to (ile n *SFM
Jes, i( you 've vlid #tivity 0, 2, /, or E #ontinuous bond.
16
2. Cn t'e #ustodil bond $1y&e 2% be used (or ll o( t'e *SF requirementsM
Jes.
/. Cn * use n F1G bond to (ile n *SF (or s'i&ment t't is not bein+ entered into n
F1GM
Jes.
'5 Single "ransaction $onds
"ype 1! 2! @! and / 91 'F: FF 11@502! 11@50@! 11@50/! G 11@5-@< 9'$P Form @01<<
0. Cn sin+le trns#tion bond $C!" Form /00% be used s stnd7lone *SF bondM
No. A sin+le trns#tion bond t't is submitted on t'e C!" Form /00 se#ures t'e entry,
&yment o( duties, et#. Only t'e A&&endi2 ? stnd7lone *SF bond #n be used s
stnd7lone sin+le trns#tion *SF bond.
2. Cn sin+le trns#tion bond $C!" Form /00% be utiliRed 3'en mkin+ uni(ied
entry (ilin+M
Jes. !ut t'e sin+le trns#tion bond $C!" Form /00% my only be used in #on8un#tion
3it' uni(ied entry (ilin+. *n t'ese #ses, t'e sin+le trns#tion bond 3ill be used to
#over bot' t'e *SF nd #ustoms entry requirements. Additionlly, t'e sin+le trns#tion
bond $C!" Form /00% my only be used 3'en t'e *SF *m&orter is t'e sme s t'e
*m&orter o( ,e#ord.
/. As sin+le trns#tion bonds (or entry require &&er submission to C!", 'o3 3ill
sin+le trns#tion bond (or uni(ied entry nd submitted on t'e C!" Form /00 be
mt#'ed to n ele#troni# *SF (ilin+M ='t is t'e &ro#ess o( noti(yin+ C!" t't sin+le
trns#tion bond is #tully on (ileM
For *SF &ur&oses, use o( sin+le trns#tion bonds usin+ t'e C!" Form /00 is only
llo3ed 3it' t'e uni(ied entry (ilin+. *( sin+le trns#tion bond is used, t'e *SF
*m&orter must denote t'e us+e o( t'e sin+le trns#tion bond on t'e *SF by identi(yin+
#tivity ty&e 00 $bsi# im&orttion%, bond ty&e H $sin+le trns#tion%, t'e surety #ode nd
t'e bond re(eren#e number. 1'e bond re(eren#e number is unique seril number t't
&&ers on C!" Form /00 nd is used (or surety #om&ny tr#kin+ &ur&oses. *t s'ould
be noted t't t'is is not t'e sme s t'e )!ond Number ssi+ned by C!"-, 3'i#' is
(ound in t'e )C!" use only- blo#k.
*n ddition, t'e unique *SF trns#tion number s'ould be noted in blo#k 2H o( t'e C!"
Form /EF0, #ustoms entry, u&on &&er do#ument submission to C!" (or uni(ied entry
(ilin+s. 1'is 3ill lert C!" t't t'e sin+le trns#tion bond #overs bot' t'e *SF nd t'e
17
entry.
E. @o3 3ill t'e limit o( libility be determined (or sin+le trns#tion bond t't se#ures
uni(ied entry (ilin+M
C!" 3ill issue +uidn#e (ter dis#ussion 3it' interested trde +rou&s.
45 #ppendi7 4 Stand.#lone ISF $onds:
0. ='en is t'e (inl dr(t o( t'e ne3 A&&endi2 ? bond e2&e#tedM
1'e mended XA&&endi2 ?L bond 3s &ublis'ed in t'e 02:2E:0H Federl ,e+ister noti#e.
2. *s t'e A&&endi2 ? bond e2&e#ted to be used &rimrily (or sin+le entry bond im&orters
$t'is is 3't 3e sus&e#t%M =ill t'e A&&endi2 ? bond lso be used by bond 'olders 3'o
've bsi# im&orttion bond t't is deemed insu((i#ient to #over *m&orter Se#urity
Filin+ bond needs, or 3ill #ontinuous bond 'olders be required to in#rese t'eir
#ontinuous #tivity #ode 0:2:/:E bondM%
1'e A&&endi2 ? bond my be used s sin+le or #ontinuous bond. 1'e bond limits o(
libility 3ere not #'n+ed by t'e rulemkin+.
/. =ill C!" #rete ne3 bond #tivity #ode (or t'e A&&endi2 ? stnd7lone bondM
Jes. 1'e A&&endi2 ? *SF bond 3ill be desi+nted s actiDity code 10.
E. @o3 3ill t'e limit o( libility be determined (or n A&&endi2 ? stnd7lone single
transaction *SF bondM
1'e bond mount (or t'e A&&endi2 ? stnd7lone *SF bonds 3ill be W00,000.
5. @o3 3ill t'e limit o( libility be determined (or n A&&endi2 ? stnd7lone
continuous *SF bondM
1'e minimum bond mount (or t'e #ontinuous A&&endi2 ? bonds 's been set t
W50,000.
F. Under 3't #ir#umstn#es 3ill C!" require or llo3 t'e ne3 A&&endi2 ? *SF stnd7
lone continuous bond in lieu o( n A#tivity Code 0, 2, /, or E #ontinuous bond, or
sin+le trns#tion bondM
*( &rty 's #ontinuous A#tivity Code 0, 2, / or E $0H CF, VV 00/.F2, 00/.F/, 00/.FE,
D 00/../% bond, it needs to do not'in+ (urt'er 3it' re+rd to bondin+ requirements. *t
's &&ro&rite bondin+ so s to be eli+ible to submit *SF in(ormtion. 1'e de#ision to
tke out bond on t'e C!" Form7/00 3it' one o( t'e noted A#tivity Codes or n
18
A&&endi2 ? stnd7lone *SF bond is one to be mde bet3een t'e bond &rin#i&l nd
surety. C!" 3ill ##e&t eit'er.
.. @o3 s'ould t'e *SF *m&orter or its +ent &rovide #o&y o( t'e A&&endi2 ? stnd7
lone single transaction *SF bond to C!"M
C!" requires t't n ele#troni# #o&y o( t'e A&&endi2 ? stnd7lone single transaction
*SF bond be #reted nd sent to C!" 3it'in 02 'ours o( re#ei&t o( n ##e&ted *SF
(ilin+.
Step 1: 1'e *SF *m&orter, or its +ent, must denote t'e us+e o( t'e A&&endi2 ? stnd7
lone single transaction *SF bond on t'e *SF by identi(yin+ bond #tivity #ode 0F,
bond ty&e H $sin+le trns#tion%, t'e vlid surety #ode nd t'e bond re(eren#e number.
1'e bond re(eren#e number is t'e unique seril number issued by t'e surety t't
&&ers on t'e bond (or surety #om&ny tr#kin+ &ur&oses. 1'is number ensures t't
C!" 3ill not re#eive t'e sme bond t3i#e (or multi&le trns#tions.
Step 2: A(ter C!" 's re#eived nd ##e&ted t'e *SF, t'e *SF (iler 3ill re#eive unique
*SF trns#tion number (rom C!". 1'e *SF *m&orter, or its +ent, must ((i2 le+ible
#o&y o( t'e *SF trns#tion number $e.+., ty&ed nd o( (ont siRe 02% onto t'e A&&endi2
? stnd7lone *SF bond.
Step @: An ele#troni# #o&y o( t'e bond #ontinin+ t'e unique *SF trns#tion number
must be #reted in .&d( or .ti( (ormt nd e7miled to t'e ISFH$ondIc8p5d+s5goD
milbo2 3it'in 02 'ours o( re#ei&t o( t'e unique *SF trns#tion number.
(ote: "+e su8Ject line o6 t+e e.mail must 8egin >it+ ISF 6ollo>ed 8y t+e uniKue
ISF transaction num8er 9and only t+e uniKue ISF transaction num8er<5 &nly 1
8ond s+ould 8e sent per transmission5
8. @o3 s'ould t'e *SF *m&orter or its +ent &rovide #o&y o( t'e A&&endi2 ? stnd7
lone continuous *SF bond to C!"M
A&&endi2 ? stnd7lone continuous *SF bonds must be submitted to, nd &&roved by
C!"Ls O((i#e o( Finn#e in dvn#e o( t'e (ilin+ o( n *SF. On#e &&roved, C!" 3ill
re#ord t'e bond in(ormtion 3it'in t'e Automted Commer#il System $ACS% nd issue
unique bond identi(i#tion number.
U&on t'e (ilin+ o( n *SF, t'e *SF *m&orter, or its +ent, must denote t'e us+e o( t'e
A&&endi2 ? stnd7lone continuous *SF bond on t'e *SF by identi(yin+ t'e bond
#tivity #ode 0F, bond ty&e 8 $#ontinuous% nd t'e im&orter *? number t't t'e bond
3s re#orded +inst.
19
%5 %7emptions:
0. * do not 've to se#ure my in(orml entry 3it' bond tody. =ill C!" &rovide (or
ny e2em&tions to t'e bond requirements (or t'e *SFM
1'e *nterim Finl ,ule does not &rovide ny e2em&tions to t'e bond requirements.
@o3ever, s mtter o( &oli#y, #ertin ty&es o( *SF #oded trns#tions 3ill not require
bond to #over t'e *SF (ilin+ requirements. 1'e bond requirements 've been 3ived (ro
t'e (ollo3in+ *SF #oded trns#tions9
1y&e / )@ouse'old 5oods:"ersonl >((e#ts-
1y&e E )5overnment nd <ilitry-
1y&e 5 )?i&lomti#-
1y&e F )Crnets-
1y&e H )*nterntionl <il-
1y&e 00 )*n(orml S'i&ments-
$See lso Coded 1rns#tions%
F5 Su66iciency9
0. * (iled n *SF nd my #ustomerLs bond 3s deemed to be )insu((i#ient-. ='o s'ould *
#ont#t t C!"M
1'e trde my #ont#t t'e ,evenue ?ivision dire#tly t $/0.% F0E7E880 or send n
emil to #b&.bondquestions6d's.+ov. !e sure to in#lude your #ont#t in(ormtion s
3ell s t'e im&orter number nd t'e bond number in ny #orres&onden#e.
$ULL and $:%#L $ULL
$See lso >K><"1*ONS%
0. >2istin+ rules e2em&t bulk nd some brek7bulk #r+oes $e.+., most (orest, steel
&rodu#ts% (rom t'e 2E @our ,ule re&ortin+ requirements. "lese dvise i( t'ese
#ommodities re e2em&t (rom t'e ne3 )00;2- rules s 3ell.
!ulk #r+o is e2em&t (rom t'e *SF (ilin+, vessel sto3 &ln nd #ontiner sttus
mess+es requirements.
!rek7bulk s'i&ments, 3'ile e2em&t (rom t'e vessel sto3 &ln nd CS< requirements,
require t'e (ilin+ o( n *SFY.
For t'e &ur&oses o( t'e *m&orter Se#urity Filin+ rule, t'e (ollo3in+ de(inition 3ill be used
(or bulk #r+o9
2$
)@omo+enous #r+o t't is sto3ed loose in t'e 'old nd is not en#losed in ny
#ontiner su#' s bo2, ble, b+, #sk, or t'e like. Su#' #r+o is lso
des#ribed s bulk (rei+'t. S&e#i(i#lly, bulk #r+o is #om&osed o( eit'er9 $A% (ree
(lo3in+ rti#les su#' s oil, +rin, #ol, ore, nd t'e like 3'i#' #n be &um&ed or
run t'rou+' #'ute or 'ndled by dum&in+O or $!% uni(orm #r+o t't sto3s s
solidly s bulk #r+o nd requires me#'ni#l 'ndlin+ (or ldin+ nd
dis#'r+in+.-
*Customs and Border Protection (CBP), Cargo & Conveance !ecurit (CC!), "as determined
t"at t"e #o$$o%ing $ist o# commodities and commodit t&es can be c$assi#ied as bu$' cargo. (o
be c$assi#ied as bu$', t"is cargo ma not be containeri)ed and must be easi$ identi#iab$e as $aden
on t"e vesse$. An bund$ing o# t"e #o$$o%ing commodities must on$ be #or t"e &ur&oses o#
securing t"e cargo. ("is $ist ma be c"anged and u&dated as deemed a&&ro&riate b CBP.
Coi$s o# stee$ and ot"er meta$s
*ai$s o# stee$ and ot"er meta$s
+ire rods o# stee$ and ot"er meta$s (ma be coi$ed or #$at)
,ngots o# meta$ (&recious or ot"er%ise)
*ound bars o# stee$ or ot"er meta$
De#ormed Bars-*ebars (o# meta$)
P$ates (o# meta$)
Bi$$ets (o# meta$)
!$abs (o# meta$)
Pi&es (o# meta$)
Beams (o# meta$)
(ubes-(ubing (o# meta$)
Ang$es, s"a&es and sections (o# meta$)
!"eets (o# meta$)
E.&anded meta$
F$at bars (o# meta$)
!trand %ire (o# meta$)
!a%n (imber-/umber as a commodit (not as &ac'aging materia$)
Pa&erboard-Fiberboard-P$%ood as a commodit (not as &ac'aging materia$)
Pa&er &roducts as commodit (%ood &u$&, ne%s&rint and &a&er ro$$s and not as
&ac'aging materia$)
Certain &eris"ab$e goods, not in bo.es, bags or containeri)ed, and not #ro)en, but
$aden and sto%ed in a %a simi$ar to ot"er t&es o# bu$' cargo (inc$udes sea#ood and
&roduce)
B$ooms (simi$ar to 0bi$$ets and o# meta$)
Anodes-Cat"odes, in s"eets on$ (ma be corrugated)
1. E.isting ru$es e.em&t bu$' and certain brea'2bu$' cargoes (e.g. most #orest and stee$
&roducts) #rom t"e 13 "our timing re4uirements o# t"e 13 Hour 5ani#est *u$e. P$ease advise i#
21
t"ese s"i&ments are e.em&t #rom t"e ne% ru$es as %e$$.
Brea'2bu$' cargo t"at is e.em&t #rom t"e timing re4uirements o# t"e 13 Hour *u$e are
automatica$$ e.em&t #rom t"e timing re4uirements o# t"e ,!F #i$ing. ,!Fs #or brea'2bu$' cargo
t"at are e.em&t #rom t"e timing re4uirements o# t"e 13 Hour *u$e must be #i$ed no $ater t"an 13
"ours &rior to arriva$.
6n$ carriers ma a&&$ #or and receive an e.em&tion to t"e 13 Hour 5ani#est *u$e #or brea'2
bu$' cargo. P$ease revie% t"e $atest in#ormation on t"e 13 Hour 5ani#est *u$e, inc$uding
de#initions o# bu$' and brea'2bu$' cargo at t"e #o$$o%ing $in'7
"tt&7--%%%.cb&.gov-$in'"and$er-cgov-trade-trade8outreac"-advance8in#o-vesse$8#a4.ctt-vesse$8#a
4.doc
("e &re#erred met"od o# re4uesting an e.em&tion is t"roug" emai$. *e4uests ma be submitted
to7
13"our.e.em&tions9d"s.gov
E.em&tion re4uests ma be mai$ed to :.!. Customs and Border Protection, Cargo and
Conveance !ecurit, *oom 1.12A, Attention7 ;(CC, <=>> Penns$vania Avenue, ;+,
+as"ington, D.C. 1>11?.
Genera$$, e.em&tion &rocessing ta'es a&&ro.imate$ t%o to t"ree %ee's #or a com&$ete revie%.
("e #o$$o%ing in#ormation s"ou$d be su&&$ied in order to be considered #or an e.em&tion (&er <?
CF* 3.@(b)(3)(ii)(A))7 ("e carrierAs ,*! numberB t"e source, identit and means o# t"e &ac'aging
or bund$ing o# t"e commodities being s"i&&edB t"e &orts o# ca$$ bot" #oreign and domesticB t"e
number o# vesse$s t"e carrier uses to trans&ort brea' bu$' cargo, a$ong %it" t"e names o# t"e
vesse$s and t"eir ,nternationa$ 5aritime 6rgani)ation numbersB and t"e $ist o# t"e carrierAs
im&orters and s"i&&ers, identi#ing an %"o are members o# C2(PA( (Customs2(rade
Partners"i& Against (errorism). CBP reserves t"e rig"t to re4uest an additiona$ in#ormation it
deems necessar and a&&ro&riate to ensure ade4uate com&$iance %it" <? CF* 3.@(b)(3) and to
&er#orm necessar nationa$ securit ris' ana$sis.
;6(E7 An cargo sto%ed in containers, inc$uding containers re#erred to as 0s"i&As convenience,C
%i$$ be considered genera$ cargo. ;o suc" containeri)ed cargo %i$$ be e.em&t #rom t"e
mani#esting re&orting re4uirements. For e.am&$e, &a$$eti)ed bo.es o# bananas (not $oose or
$oaded direct$ into a "o$d) sto%ed in s"i&&ing containers %i$$ be treated t"e same as a$$
containeri)ed cargo re4uiring in#ormation to be submitted 13 "ours &rior to $oading.
=. ,s an ,!F re4uired #or ro$$2on ro$$2o## (*6*6) cargoD
Ees. *o*o cargo is considered brea'2bu$' and t"us re4uires an ,!F.
3. 5 4uestion is regarding brea'2bu$' cargo, s&eci#ica$$ C"i$ean &roduce. +e "and$e #ruit t"at
is im&orted on brea'2bu$' vesse$s. 5an times t"e "o$ds o# t"e vesse$ are #i$$ed to ca&acit. !o
t"e e.cess &roduce is $oaded into "ship's convenience" (meaning t"at a$t"oug" t"e im&orter did
not boo' containers, t"e steams"i& $ine $oaded t"e #ruit in containers), %"ic" are $as"ed on t"e
dec'. ,s t"e #ruit in t"e containers (on t"e brea'2bu$' vesse$) sti$$ considered brea'2bu$', e.em&t
22
to t"e 132"ours &rior to $oadingB or is it no% considered containeri)ed, subFect to t"e 132"ours
&rior to $oadingD
Cargo &$aced in a container, even #or 0s"i&As convenience,C is containeri)ed cargo and re4uires
an ,!F. ("is is consistent %it" CBPAs advance cargo dec$aration re4uirements as &er t"e (rade
Act o# 1>>1 #or cargo stored #or 0s"i&As convenience.C !ee,
"tt&7--%%%.cb&.gov-$in'"and$er-cgov-trade-trade8outreac"-advance8in#o-vesse$8#a4.ctt-vesse$8#a
4.doc.
G. Does t"is ne% ru$e engage t"e s"i&ment and im&orts o# $i4uid cargoes (main$ crude oi$) to
&orts or un$oading o##s"ore designated areas o# t"e :! or does it on$ a##ect t"e im&ort o#
containeri)ed cargoesD
Bu$' s"i&ments (dr or $i4uid) are outside t"e sco&e o# t"e ru$ema'ing.
CA*;E(!
<. , am curious as to "o% containeri)ed im&ort s"i&ments trave$ing under a carnet are to be
"and$ed in regards to Commodit H(! numbers. Goods s"i&&ed under a carnet are re4uired to be
described on t"e Genera$ /ist, %"ic" is &art o# t"e carnet, but does not re4uire t"e a&&$ication o#
H(! numbers. +"en t"e #ina$ ru$e is u$timate$ in e##ect, %i$$ carnet goods no% re4uire
c$assi#ication &re2s"i&mentD
Carnets are not e.em&ted #rom t"e ,!F re4uirements, inc$uding t"e si.2digit H(! number.
1. +"at %i$$ t"e coded transaction #or carnets $oo' $i'eD +i$$ carnets need to be bondedD
Bonds %i$$ not be re4uired #or t"ese t&es o# transactions.
Carnets can be "and$ed using a 0(&e >HC ,!F #i$ing. ,n most cases, CBP e.&ects t"at a :.!.
based agent %i$$ act as t"e ,!F ,m&orter on be"a$# o# t"e actua$ ,!F ,m&orter.
For e.am&$e7
,!F (&e 0>HC Carnet Fi$ing Guide$ines
,!F Fi$er7 AB, or A5! #i$er code
,!F (&e7 >H 0CarnetC
Carnet ,ssuing Countr7 ,!6 Countr Code (e.g., :!)
23
Carnet ;umber7 *e4uired #or :! (6&tiona$ #or non2:!)
,!F ,m&orter7 Agent or ,m&orter ,*!I, CA;I, !!;
,!F Bond Ho$der7 ;ot re4uired E.em&t &er &o$ic
Bi$$ o# /ading ;umbers(s)7 !CAC-bi$$ number(s) o# t"e $o%est bi$$ o#
$ading recorded in A5!.
<. ,m&orter o# *ecord I7 Agent or ,m&orter ,*!I, CA;I, !!; (CBP %i$$ not &ermit
t"e use o# a &ass&ort number in $ieu o#
an ,*!I, CA;I or !!;I.)
1. Consignee I7 0:! *oc' BandC ,*!I, CA;I, !!;
or &ass&ort number, countr o# issuance and
date o# birt"
=. Buer (6%ner)7 0:! *oc' BandC ;ame and address
or ,*!I or !!; i# a$read on #i$e %it" CBP
(via CBP Form G<>H)
3. !e$$er (6%ner)7 0:! *oc' BandC ;ame and address
(via CBP Form G<>H)
G. !"i& to Parties7 ;ame and Addresses o# $ocations to be
visited in t"e :.!. e.am&$e7 0/as Jegas
CasinoC
H. 5anu#acturer (!u&&$ier)7 0:! *oc' BandC ;ame o# com&an o%ning t"e goods and
$ast #oreign address.
@. Countr o# 6rigin7 ,!6 codes o# a$$ countries &revious$ visited
%it" under t"is carnet.
K. H(! Codes7 Generic H2digit H(! codes t"at describe t"e
genera$ nature o# t"e goods7
For traveling theaters and trade shows,
HTSUS codes of: 95089000 !err"#go#
ro$nds, %oat#swings, shooting galleries and
other fairgro$nd a&$se&ents' traveling
theaters' parts and accessories thereof( and
24
90)*0000 +nstr$&ents, apparat$s and
&odels, designed for de&onstrational
p$rposes, $ns$ita%le for other $ses, and
parts and accessories thereof( are accepted,
For roc- %ands, $se 9)089000.0 for
!$sical instr$&ents /S0F(
?. Conso$idator (!tu##er)7 Fo$$o% norma$ re4uirements.
<>. Container !tu##ing /ocation7 Fo$$o% norma$ re4uirements.
C/,E;( *EP*E!E;(A(,JE! (CBP)
<. +"o do %e contact at CBP i# %e are "aving sstem &rob$emsD
Parties s"ou$d contact t"eir assigned CBP C$ient *e&resentative i# t"e "ave an 4uestions or are
e.&eriencing &rob$ems. ,# one "as not et been assigned, &$ease ca$$ t"e genera$ CBP C$ient
*e&resentative number at G@<23HK2GG>>.
C6DED (*A;!AC(,6;!
CBP "as &rogrammed its sstem to acce&t << di##erent ,!F2<> (ransaction t&es. 5ore t&es
%i$$ be added as needed.
>< !tandard ("is transaction t&e covers t"e vast maForit o# commercia$
s"i&ments.
>1 !"i& (o-(o 6rder !"ou$d be used #or s"i&ments t"at "ave not et been so$d to a
buer in t"e :.!. ("is is t&ica$$ used #or commodities s"i&ments
(e.g., co##ee beans, cocoa, etc.).
>= HHG-PE !"ou$d be used #or a$$ "ouse"o$d goods & &ersona$ e##ects
s"i&ments. ("is inc$udes s"i&ments #or returning mi$itar
members, ot"er :.!. government &ersonne$ and t"eir #ami$ies. ;o
bond is re4uired.
>3 GovAt. & 5i$itar 6n$ to be used #or actua$ government or mi$itar s"i&ments and
not t"e &ersona$ e##ects or "ouse"o$d goods o# individua$
government &ersonne$. ;o bond is re4uired.
>G Di&$omatic 6n$ to be used b #oreign entities entit$ed to di&$omatic immunit.
25
*eturning :.!. di&$omatic &ersonne$ are not entit$ed to use t"is
transaction t&e. ;o bond is re4uired.
>H Carnet Covers s"i&ments arriving under a carnet. ;o bond is
re4uired.
>@ :.!. Goods *eserved #or s"i&ments containing so$e$ :.!. Goods *eturned.
>K F(L !"i&ments *eserved #or s"i&ments going into a Foreign (rade Lone.
>? ,nternationa$ 5ai$ *eserved #or :!P! mai$ s"i&ments. ;o bond is re4uired.
<> 6C! !"i&ments *eserved #or s"i&ments arriving #rom a :.!. outer continenta$ s"e$#
&oint or #rom vesse$s o&erating over a :.!. 6C! &oint (e.g. rigs,
derric' barges, seismic vesse$s).
<< ,n#orma$ *eserved &rimari$ #or $o%2va$ue s"i&ments %"ere #orma$ entr is
not re4uired. ;o bond is re4uired.
!ub Codes7
>< !ection =1<
>1 ,n#orma$ under M1,>>>
>= Genera$ ;ote =(e)
A. *egu$ar !"i&ments (,!F (&e ><)7
<. , noticed t"ere are severa$ 0t&esC o# securit #i$ings. +"ic" one s"ou$d , useD
("e ans%er de&ends on t"e t&e o# entr at issue. ("e most common ,!F transaction t&e is t"e
0(&e ><C %"ic" is #or most consum&tion entries. ("is is a$so t"e 0de#au$tC ,!F t&e. Ho%ever,
s"i&ments t"at are e.&ected to be so$d &rior to :.!. arriva$ s"ou$d be #i$ed under t"e ,!F 0(&e
>1C a$so 'no%n as t"e 0!"i& (o-(o 6rderC ,!F #i$ing.
B. !"i& (o-(o 6rder !"i&ments (,!F (&e >1)7
<. Ho% do , "and$e s"i&ments so$d on t"e %aterD
("e ,!F %i$$ need to be u&dated i# t"e s"i&ment is so$d in transit. At a minimum, t"e ,!F
,m&orter must noti# CBP t"at t"e goods "ave been so$d, and t"e &art must u&date t"e Buer
(6%ner) #ie$d and an ot"er #ie$d o# %"ic" t"e are a%are. ("e ,!F ,m&orter remains $iab$e #or
t"e timing and accurac o# t"e ,!F #i$ing.
26
C. House"o$d Goods and Persona$ E##ects (,n#orma$ !"i&ments) (,!F (&e >=)7
<. Can CBP &$ease e.&$ain in more detai$ "o% "ouse"o$d goods and &ersona$ e##ects s"i&ments
can be "and$edD , act as an agent #or severa$ "undreds o# t"ese s"i&ments &er mont". (&ica$$,
t"ese s"i&ments are on one bi$$ o# $ading and are co2$oaded in t"e same container. Can , &rovide
m o%n ,*!I as t"e 0,m&orter o# *ecordIC as $ong as , &rovide m c$ients in#ormation in t"e
0ConsigneeIC #ie$dD
House"o$d goods (HHG) and &ersona$ e##ects (PE) can be "and$ed b using a coded transaction
t&e 0>=C #i$ing. ,n t"is 4uestion t"e agent becomes t"e ,!F ,m&orter and %ou$d &rovide its o%n
,m&orter o# *ecord I as $ong as a$$ o# t"e actua$ consignees are &ro&er$ identi#ied %it"in t"e ,!F
#i$ing.
;ote7 CBP "as noted t"at some o# t"e !!;s &rovided to2date "ave been #a'eB es&ecia$$ t"ose
t"at begin %it" 0>>>C. ("ere#ore, CBP %i$$ tig"ten u& t"e sstem edits and %i$$ reFect a$$ !!;s
t"at are c$ear$ #ictitious.
;ote7 An ,*!I or CA;I ma be &rovided #or t"e +SF +&porter and-or t"e +&porter of 1ecord as
$ong as it "as been &revious$ registered %it" CBP (CBP Form G<>H). ,# a socia$ securit
number (!!;) or &ass&ort number (PP;) is &rovided #or t"e +SF +&porter and-or t"e +&porter of
1ecord, t"e #o$$o%ing in#ormation %i$$ a$so "ave to be &rovided7
Fu$$ name
Date o# Birt"
P$ease note t"at t"is t&e o# #i$ing s"ou$d a$so be used #or "ouse"o$d goods and &ersona$ e##ects
s"i&ments #or returning members o# t"e :.!. mi$itar, ot"er :.!. government agencies, and t"eir
#ami$ies. :.!. citi)ens %or'ing in a di&$omatic ca&acit abroad must a$so meet t"ese
re4uirements. (see a$so Di&$omatic !"i&ments)
1. Can t"e 0(&e >= HHG-PEC coded transaction be used #or &ersona$ use automobi$esD
Ees. For automobi$es or motorcc$es, use an H(! #rom C"a&ter K@ suc" as K@>=.1< (autos) and
K@<<.=> (motorcc$es).
=. , &urc"ased some $arge souvenirs on a recent vacation overseas and %as not ab$e to ta'e t"em
on t"e air&$ane %it" me. ("e bron)e statues , &urc"ased are #or m o%n &ersona$ use and not #or
resa$e. Can , #i$e a 0(&e = ,!FC #or t"ese t&es o# non2commercia$ s"i&mentsD
Ees. ("e 0(&e =C ,!F can be used to cover non2commercia$ s"i&ments o# t"is nature.
,!F (&e 0>=C HHG-PE Fi$ing Guide$ines
27
,!F Fi$er7 AB, or A5! Fi$er Code
,!F (&e7 >= 0HHG-PEC
,!F ,m&orter7 Agent (or ,m&orter) ,*!I or CA;I o' i# &revious$
registered %it" CBP (CBP Form
G<>H)
or
Ja$id !!;
P$us #u$$ name and date o# birt"
or
Fu$$ name, &ass&ort number, countr o#
issuance and date o# birt"
,!F Bond Ho$der7 ENE5P( &er &o$ic
Bi$$ o# /ading ;umbers(s)7 !CAC-bi$$ number(s) o# t"e $o%est A5! bi$$
o# $ading number(s)
<. ,m&orter o# *ecord I7 Agent (or ,m&orter) ,*!I CA;I o' i# &revious$ registered %it"
CBP (CBP Form G<>H)
or
Ja$id !!;
or
Fu$$ name, &ass&ort number, countr o#
1. Consignee I #or Oo"n !mit" Ja$id !!; NNN2NN2NNNN
or #u$$ name, &ass&ort number, countr o#
28
Consignee I #or Oane !mit" Ja$id !!; EEE2EE2EEEE
Consignee I #or Oan Doe Ja$id !!; LL2LL2LLLL
=. Buer (6%ner)7 6%nerAs #u$$ name and ne% address in t"e
:nited !tates.
(via CBP Form G<>H)
3. !e$$er (6%ner)7 6%nerAs #u$$ name and $ast #oreign
address
G. !"i& to Parties7 Genera$$, t"e im&orterAs ne% address in t"e
:nited !tates.
H. 5anu#acturer (!u&&$ier)7 6%nerAs #u$$ name and $ast #oreign
address.
@. Countr o# 6rigin7 Countr code #rom 6%nerAs $ast #oreign
address
K. H(! Codes7 Generic H2Digit H(! codes t"at describe t"e
genera$ nature o# t"e goods7
980.,00 for ho$sehold goods and personal
effects
9805,00 for personal effects of U,S, 2ov3t
e4tended d$t" e&plo"ees 5 fa&il" or
evac$ees
?. Conso$idator (!tu##er)7 Fo$$o% norma$ re4uirements.
29
<>. Container !tu##ing /ocation7 Fo$$o% norma$ re4uirements.
D. Government and 5i$itar
E. Di&$omatic7 see Di&$omatic !"i&ments
F. Carnets7 see Carnets
G. :.!. Goods *eturned7 see :.!. Goods *eturned
H. F(L !"i&ments
,. ,nternationa$ 5ai$ !"i&ments
O. 6uter Continenta$ !"e$# (6C!) !"i&ments7 see 6uter Continenta$ !"e$# (6C!)
P. ,n#orma$ !"i&ments
("e im&orting &ub$ic "as re4uested t"at CBP deve$o& a s&eci#ic coded transaction t&e #or
0in#orma$ entrC t&es and to &rovide some re$ie# to t"e bonding re4uirements #or t"ese
s"i&ments. CBP "as agreed to t"is, but %it" ver s&eci#ic sti&u$ations. ,m&orters using t"e ne%
,!F (&e << coded transaction t&e %i$$ need to &rovide a sub2code, as %e$$ as an estimated
va$ue (:.!. do$$ars), estimated 4uantit (sma$$est e.terna$ &ac'aging units) and estimated %eig"t
('g or $bs) o# t"eir s"i&ment. A bond %i$$ not be re4uired to cover t"e ,!F re4uirements #or
e$igib$e s"i&ments.
Ja$id !ub Code(s)
>< !ection =1< !"i&ments (ota$ va$ue under M1>>
>1 ,n#orma$ !"i&ments (ota$ va$ue M1,>>> or $ess
>= Genera$ ;ote =(e) !"i&ments !ee note be$o%7
;ote #or !ub2t&e ><7 +aste, garbage and te.ti$e s"i&ments are not genera$$ e$igib$e #or usage
o# t"e 0!ection =1<C c$earance and t"ere#ore are not e$igib$e #or t"is sub2code on t"e ,!F.
;ote #or !ub2t&e >17 Quota entries va$ued at M1G> or more are genera$$ not e$igib$e #or
in#orma$ entr status and t"ere#ore are not e$igib$e #or t"is sub2code on t"e ,!F.
;ote #or !ub2t&e >=7 ("e Genera$ ;ote =(e) e.em&tions inc$ude7
2 Cor&ses and accom&aning co##ins and #$o%ersB
2 :nde$iverab$e artic$es returned %it"in 3G das and %"ic" "ave remained in t"e custod
o# t"e carrier or #oreign customs serviceB
2 Aircra#t &arts or e4ui&ment removed #rom :.!. registered aircra#t in internationa$ tra##ic
3$
because o# accident, brea'do%n or emergenc and returned %it"in 3G das o# remova$.
C6;F,DE;(,A/,(E
<. +i$$ an o# t"e ne% data t"at is being submitted be considered to be &art o# t"e carrier
Rmani#estR and t"ereb become &ub$ic recordD Does CBP "ave a #orm t"at can be #i$$ed out to
re4uest con#identia$it o# ,!F in#ormationD
,!F in#ormation is not considered &art o# t"e carrier mani#est. Pursuant to <? CF* <>=.=<a,
,m&orter !ecurit Fi$ing in#ormation t"at is e$ectronica$$ &resented to CBP #or inbound vesse$
cargo is &er se e.em&t #rom disc$osure under S <>=.<1(d), un$ess CBP receives a s&eci#ic re4uest
#or suc" records &ursuant to S <>=.G, and t"e o%ner o# t"e in#ormation e.&ress$ agrees in
%riting to its re$ease.
(A$so see t"e &o%ers o# attorne section)
1. +i$$ t"e im&orter "ave access to carrierAs data (C!5s and sto% &$ans)D
;o.
C6;(AC( ,;F6*5A(,6; (CBP)
<. +"at t&e o# assistance %i$$ CBP &rovide t"e trade to "e$& us t"roug" t"is ne% &rocessD +i$$
t"ere be a &"one number avai$ab$e #or genera$ "e$&D
CBP %i$$ &rovide assistance to t"e trade via e.tensive outreac" and &ostings on t"e CBP.gov
%ebsite. ,n addition, ;ationa$ Account 5anagers and C$ient *e&resentatives are avai$ab$e to
assist t"e trade. Parties ma submit 4uestions about t"e genera$ a&&$ication o# t"e ne%
re4uirements to CBP via t"e !ecurit8Fi$ing8Genera$9cb&.d"s.gov mai$bo.. Questions re$ating
to s&eci#ic #acts and circumstances o# a &ros&ective transaction can be t"e subFect o# a ru$ing
re4uest under Part <@@ o# t"e CBP regu$ations.
C6;(A,;E* !(A(:! 5E!!AGE! (C!5)
<. Ho% do ou 'no% t"at t"e re&aired container %i$$ eventua$$ be sc"edu$ed #or t"e :.!.D Ho%
%ou$d t"is re&orting re4uirement be com&$ied %it"D ,s t"e re&air on$ re4uired to s"o% a C!5
%"en t"e container is issued against a boo'ingD
31
("e decision o# %"et"er a container is destined to arrive %it"in t"e $imits o# a &ort in t"e :nited
!tates is made b t"e carrier.
C*:,!E JE!!E/! and ,!F
<. Are ,!Fs re4uired #or non bu$' cargo carried on a &assenger vesse$D
Passenger vesse$s t"at are re4uired to #i$e cargo dec$arations (CBP Form <=>1) must #i$e ,!Fs as
to t"e same cargo. Ho%ever, ,!Fs are not re4uired #or s"i&As e4ui&ment.
1. Are vesse$ sto% &$ans re4uired #or &assenger vesse$sD
A vesse$ sto% &$an is re4uired i# t"ere are containers onboard t"e vesse$.
=. Ho% %i$$ vesse$ su&&$ies #or immediate e.&ortation (J!,E) goods be "and$edD For e.am&$e,
$i4uor being stored in an F(L on :.!. soi$ being $aden on an outgoing vesse$.
Domestic cargo (%"et"er o# :.!. origin, or o# #oreign origin and "aving been #orma$$ entered),
inc$uding cargo intended #or re&air or emergenc %or', t"at is trans&orted bet%een CBP &orts, or
ot"er &$aces %it"in t"e customs territor o# t"e :nited !tates, inc$uding an 6C! #aci$it, is not
subFect to ,m&orter !ecurit Fi$ing re4uirements.
DA(A E/E5E;(! (GE;E*A/)
<. *e&eat Data7 ,n man o# our transactions, a sing$e entit ma be t"e same #or severa$ o# t"e
di##erent re4uired ,!F e$ements. For instance, t"e 0!e$$er (6%ner) ;ame and AddressC mig"t be
t"e same as t"e 05anu#acturer (!u&&$ier) ;ame and AddressC. /i'e%ise, t"e 0Buer (6%ner)
;ame & AddressC mig"t be t"e same entit as t"e 0,m&orter o# *ecord ;umberC. ,s it o' to
re&eat t"e same in#ormation i# t"e entities are t"e sameD
Ees. ,# t"e in#ormation is e.act$ t"e same, it ma be &rovided mu$ti&$e times to cover t"e
re4uired ,!F e$ements.
DATA ELEMENTS (SPECIFIC)
A. ,m&orter o# *ecord ;umber7
<. Can t"e im&orter o# record number be a CBP assigned numberD
32
Ees. ("e ,nterna$ *evenue !ervice (,*!) number, Em&$oer ,denti#ication ;umber (E,;),
!ocia$ !ecurit ;umber (!!;), or CBP assigned number o# t"e entit $iab$e #or &ament o# a$$
duties and res&onsib$e #or meeting a$$ statutor and regu$ator re4uirements incurred as a resu$t
o# im&ortation must be &rovided. Ho%ever, t"e consignee number is t"e ,*! number, E,;, !!;,
or CBP assigned number o# t"e individua$(s) or #irm(s) in t"e :nited !tates on %"ose account t"e
merc"andise is s"i&&ed.
1. +"at identi#ication number is re4uired #or &arties %it"out :.!. socia$ securit numbers
s"i&&ing "ouse"o$d goodsD
,n t"is instance, t"e &ass&ort number, &ass&ort countr o# issuance and date o# birt" %i$$ be
acce&ted.
=. Can a #oreign entit be identi#ied as t"e +&porter of 1ecord /$&%erD
Ees. Ho%ever, a :.!. entit must be &rovided #or t"e consignee number e$ement.
B. Consignee ;umber7
<. +"at identi#ication number is re4uired #or &arties %it"out :.!. socia$ securit numbers
s"i&&ing "ouse"o$d goodsD
,n t"is instance, t"e &ass&ort number, &ass&ort countr o# issuance and date o# birt" %i$$ be
acce&ted.
1. ("e ,!F2<> record as's #or a Consignee. According to t"e ,!F ,m&$ementation Guide, #or
uni#ied entr, t"e E,2<> record is used to re&ort t"e :$timate Consignee, not Consignee. Are %e
to &resume t"at t"e :$timate Consignee and Consignee are t"e sameD
Ees, in t"is instance t"e :$timate Consignee and Consignee must be t"e same.
C. !"i& (o Part7
<. ,# t"e container "as to be devanned in more t"an one $ocation (i.e. container does mu$ti&$e
sto&s a#ter arriving in t"e :! and dro&s cargo o## at eac" $ocation), does <>T1 re4uire $isting o#
a$$ $ocations #or t"e s"i& to addressesD Eou ma see t"is scenario %"ere it is one com&an but
"as mu$ti&$e divisions underneat" it. ("us, t"ere %ou$d be on$ one B/ re#$ecting t"e ,6* but
severa$ se&arate divisions under t"e one ,6*. +"at %ou$d CBP %ant to see as t"e s"i& to
$ocationUt"e #irst s"i& to $ocation or a$$D
Pursuant to ne% <? CF* <3?.=(a)(H), t"e name and address o# t"e #irst de$iver2to &art sc"edu$ed
to &"sica$$ receive t"e goods a#ter t"e goods "ave been re$eased #rom customs custod must be
&rovided. ,!F ,m&orters are not re4uired to &rovide subse4uent s"i& to &artiesB "o%ever, t"e
ma do so i# t"e c"oose.
33
1. +"o s"ou$d be $isted as t"e 0!"i& to PartC %"en a s"i&ment is s"i&&ed to a distribution
#aci$it t"at is o%ned b one com&an and o&erated b anot"er re$ated com&anD
Pursuant to ne% <? CF* <3?.=(a)(H), t"e name and address o# t"e #irst de$iver2to &art sc"edu$ed
to &"sica$$ receive t"e goods a#ter t"e goods "ave been re$eased #rom customs custod must be
&rovided. ("e &art &"sica$$ receiving t"e goods must be &rovided and not an entit t"at
mere$ o%ns t"e #aci$it.
=. P$ease &rovide c$ari#ication regarding t"e data e$ement 0s"i&2to name and addressC. ,t %ou$d
be "e$&#u$ to "ave e.&$anator e.am&$es. ("e re4uirement is #or t"e name and address o# t"e
#irst de$iver2to &art sc"edu$ed to &"sica$$ receive t"e goods after the goods have %een
released fro& c$sto&s c$stod",
P$ease address t"e #o$$o%ing scenarios7
a. Fu$$ container $oad (FC/) cargo c$ears &rior to arriva$ at t"e &ort o# disc"arge. ,s t"e
termina$-&ier t"e s"i&2to, since t"e c$eared #reig"t is no $onger in customs custodD Ho% %ou$d
t"e ,!F #i$er 'no% t"is 13 "ours &rior to $adingD
,n t"is scenario, t"e termina$ %as not t"e #irst de$iver2to &art sc"edu$ed to &"sica$$ receive t"e
goods a#ter t"e goods "ave been re$eased #rom customs custod. *at"er, t"e &art %"o, at t"e
time o# ,!F #i$ing, %as sc"edu$ed to &"sica$$ receive t"e goods must be &rovided.
b. FC/ cargo moves in2bond to an in$and &oint b rai$. A#ter c$earance at t"e in$and &ort, t"e
container is de$ivered to t"e u$timate consignee. ,s t"e s"i&2to &art t"e rai$road, since t"e
receive t"e cargo <
st
a#ter t"e #reig"t $eaves t"e &ier, or is it t"e u$timate consignee since t"e
receive t"e cargo #irst a#ter Customs c$earanceD
("e bonded carrier s"ou$d not be &rovided as t"e s"i& to &art. ,n t"is e.am&$e, t"e identit o#
t"e u$timate consignee s"ou$d be &rovided as t"e s"i& to &art.
c. FC/ or /C/ cargo moves on a P(( to a CF! %are"ouse #or trans$oading to truc's #or de$iver.
("e cargo c$ears Customs %"i$e at t"e CF!. ,s t"e s"i&2to t"e CF!, or is it t"e u$timate
consigneeD
("e identit o# t"e #irst de$iver2to &art sc"edu$ed to &"sica$$ receive t"e goods a#ter t"e goods
"ave been re$eased #rom customs custod must be &rovided. ,n t"is instance, CBP %ants t"e
u$timate consigneeAs &"sica$ address %"ere t"e goods are sc"edu$ed to be received.
D. 5anu#acturer (!u&&$ier) ;ame-Address7
<. +e im&ort containers %it" t"ousands o# &arts, &otentia$$ "aving $itera$$ "undreds o# di##erent
manu#acturers, #rom a re$ated &art %"o, in turn, &urc"ases t"e &arts #rom t"ose manu#acturers.
("ese &arts ma be comming$ed &rior to im&ortation. 6n t"e ,!F #i$ing, can %e &rovide t"e
34
identit o# our re$ated &art to #u$#i$$ t"e 5anu#acturer (!u&&$ier) ,!F re4uirement as t"is is t"e
&art #rom %"om %e actua$$ bu t"e &arts or do %e need to $ist a$$ t"e manu#acturerVs
individua$$D
("e &art %"o su&&$ied t"e goods can be &rovided as $ong as t"at &art is a se&arate $ega$ entit
#rom t"e ,!F ,m&orter. ,# bot" o# t"ese &arties are t"e same entit, t"e identit o# t"e &art %"o
$ast manu#actured, assemb$ed, &roduced, or gre% t"e commodit or t"e &art %"o su&&$ied t"e
#inis"ed goods to t"e ,!F ,m&orter must be &rovided. Genera$$, t"e manu#acturers &rovided on
t"e CBP Form =3H< %i$$ satis# t"e ,!F re4uirement.
1. P$ease advise i# %e need to submit bot" t"e manu#acturer and t"e su&&$ier in#o on t"e <>T1
,!F #i$ing. 6r, %i$$ t"e su&&$ier data be su##icientD

("e identit o# t"e entit t"at $ast manu#actures, assemb$es, &roduces, or gro%s t"e commodit
or t"e name and address o# t"e &art su&&$ing t"e #inis"ed goods in t"e countr #rom %"ic" t"e
goods are $eaving must be &rovided. Ho%ever, CBP %ou$d &re#er t"at t"e identit o# t"e actua$
manu#acturer be &rovided %"ere t"at entit is 'no%n.
=. Can t"e manu#acturer (su&&$ier) be a :.!. com&anD
("e manu#acturer (su&&$ier) can be :.!. a com&an, i# t"e &art %"o $ast manu#actured,
assemb$ed, &roduced, or gre% (or su&&$ied) t"e commodit is a :.!. com&an.
E. Countr o# 6rigin7
<. ,# t"e merc"andise is assemb$ed in one countr, but &arts are #rom man ot"er countries
%"ic" countr o# origin do , $istD
Genera$$, t"e countr o# origin #or t"e im&orted &roduct t"at is &rovided on t"e CBP Form =3H<
%i$$ satis# t"e ,!F re4uirements.
1. Can you advise if the country of origin needs to e !in"ed to each
Harmoni)ed (ari## !c"edu$e o# t"e :nited !tates (#TS$S) nu%er or is it enough that
the data is given e!ectronica!!y against each &art nu%er'
("e manu#acturer (or su&&$ier), countr o# origin, and commodit H(!:! number must be
$in'ed to one anot"er at t"e $ine2item $eve$. ("is $in'ing is simi$ar to t"e CBP Form =3H<
re4uirements. /ine2item $in'ing is re4uired at t"e ,!F s"i&ment $eve$ and not at t"e invoice,
container, &arts or bi$$ o# $ading $eve$.
F. Commodit H(!2H7
<. +"en ou ta$' about $ine2item $in'ing re4uirement are ou ta$'ing at t"e H(! H digit $eve$ or
35
at a !P: $eve$ on t"e commercia$ invoice #rom t"e manu#acturer-su&&$ierD , am as'ing as %e
"ave s"i&ments #rom one manu#acturer-su&&$ier t"at mig"t contain <>> di##erent !P:s but
%ou$d on$ resu$t in #ive o# H(! numbers.
,# t"e <>> di##erent !P:s resu$t in Fust #ive H(! numbers at t"e H digit $eve$, t"e ,!F ,m&orter or
its agent ma &rovide t"e #ive H(! numbers. Ho%ever, t"e manu#acturer (or su&&$ier), countr
o# origin, and commodit Harmoni)ed (ari## !c"edu$e o# t"e :nited !tates (H(!:!) number
must be $in'ed to one anot"er at t"e $ine2item $eve$. ("is $in'ing is simi$ar to t"e CBP Form
=3H< re4uirements. /ine2item $in'ing is re4uired at t"e ,!F s"i&ment $eve$ and not at t"e
invoice, container, &arts or bi$$ o# $ading $eve$.
1. Parts7 ,# an im&orter o# &arts brings in container $oads o# t"ousands o# &arts %it" mu$ti
manu#acturers, countr o# origin, and Harmoni)ed (ari## !c"edu$e o# t"e :nited !tates (H(!:!)
numbers, does t"e im&orter, u&on #i$ing t"e ,!F, "ave to s"o% ever &art H(!:! number or can
t"e s"o% a genera$ number suc" as K@<3.<?>>H> %"ic" is &arts and accessories o# motorcc$esD
("e e.act &arts in t"e s"i&ment ma not be 'no%n u&on #i$ing t"e ,!F and since K@<3.<?>>H> is
s&eci#ica$$ &arts and accessories o# motorcc$es is it acce&tab$eD
("e dut-statistica$ re&orting number under %"ic" t"e artic$e is c$assi#ied in t"e H(!:! must be
&rovided. ("e H(!:! number must be &rovided to t"e si. digit $eve$. ("e ,!F ,m&orter can
submit an initia$ res&onse or res&onses based on t"e best avai$ab$e data at t"e time o# t"e #i$ing.
Ho%ever, t"e ,!F must be u&dated as soon as more &recise or more accurate in#ormation is
avai$ab$e in no event $ess t"an 13 "ours &rior to arriva$ at a :.!. &ort (or u&on $ading at a #oreign
&ort t"at is $ess t"an a 13 "our voage to t"e c$osest :.!. &ort).
=. F*6B7 Ho% man H(! digits are re4uired #or #oreign cargo remaining on board (F*6B)D
("e commodit H(!:! number #or F*6B cargo must be &rovided to t"e si.2digit $eve$. ("e
H(!:! number ma be &rovided to t"e <>2digit $eve$.
3. Garments on "angers7 At t"e time o# s"i&&ing, our e$ectronic &urc"ase orders t"at %e &rovide
to our overseas t"ird &art $ogistics &rovider (=P/) do not s&eci# %"en garments %i$$ s"i& %it"
"angers. :&on entr, "o%ever, our :.!. customs bro'ers "ave t"is in#ormation and c$assi# t"e
"angers se&arate #rom t"e garments because t"e 4ua$i# #or t"e $o%er dut treatment. For ,!F
&ur&oses, do %e need to &rovide t"e H2digit H(! number #or t"e "angers in addition to t"e H(!
number #or t"e garments t"at are "anging on t"emD
("e ,!F needs to inc$ude t"e H2digit H(! number #or t"e "angers i# t"e ,!F im&orter is a%are o#
t"e e.istence o# t"e "angers. ,# t"e ,!F ,m&orter is initia$$ una%are t"at t"e "angers are s"i&&ed
%it" t"e garments, t"en t"e ,!F ,m&orter s"ou$d u&date t"e ,!F as soon as t"e become a%are o#
t"is in#ormation.
G. Container !tu##ing /ocation7
<. *egarding t"e Container !tu##ing /ocation and Conso$idator (!tu##er) (t"e 1 data e$ements
36
t"at are to be #i$ed as soon as &ossib$e, but no $ater t"an 13 "ours &rior to arriva$) W is t"e timing
#$e.ibi$it Fust #or t"e one2ear #$e.ib$e en#orcement &eriodD
("e #$e.ibi$it as to timing #or t"e Container !tu##ing /ocation and Conso$idator (!tu##er)
e$ements %i$$ remain in &$ace un$ess and unti$ CBP determines t"at a c"ange s"ou$d be made.
,nterested &ersons are invited to submit %ritten comments on t"e #$e.ibi$it as to timing &rovided
&ursuant to t"e ,nterim Fina$ *u$e. CBP %i$$ consider t"ese comments and, i# CBP determines
t"at a c"ange to t"e #$e.ibi$it as to timing is necessar, CBP %i$$ amend t"e regu$ations
according$.
1. ,# a sing$e container is stu##ed in mu$ti&$e $ocations, must , enter a$$ $ocations into t"e ,!FD
Ees. +"en a container is stu##ed at more t"an one $ocation and-or more t"an one container is on
a sing$e bi$$ o# $ading, a$$ o# t"e stu##ing $ocations #or t"e goods $isted on t"e bi$$ o# $ading must
be &rovided.
=. ("e interim #ina$ ru$e states t"at #or brea' bu$' cargo t"e Container !tu##ing /ocation s"ou$d
be t"e &art t"at made t"e goods R!"i& read.R ("is term is some%"at vague %"en it comes to
t"e s"i&&ing o# motor ve"ic$es on ro2ro vesse$s. Does R!"i& readR re#er to t"e &re&aration #or
trans&ort o# t"e ve"ic$e suc" as t"e a&&$ication o# &rotective ta&e and sus&ension b$oc's or does it
re#er to t"e actua$ movement onboard t"e vesse$ and $as"ing o# t"e ve"ic$eD
0!"i& readC re#ers to t"e $ocation(s) %"ere t"e cargo is made read (ta&ed, banded, &ac'aged,
etc.) to be $aden on t"e vesse$. ("is cou$d be t"e #actor, termina$, intermediate %are"ouse, or
ot"er $ocation.
E. * need sim&le 3y to e2&lin 3't Continer Stu((in+ Ao#tion D Consolidtor
$Stu((er% men to my (orei+n s'i&&ers. ?o you 've nyt'in+ t't e2&lins e2#tly 3't
t'ese 2 dt elements re, nd 'o3 my s'i&&ers #n obtin t'e in(ormtion, in sim&le
termsM
Also, do you 've sm&le or mo#k7u& o( n *SF so t't 3e #n better understnd
3't 3ePll be utiliRin+M
1'e #ontiner stu((in+ lo#tion$s% re t'e &'ysi#l lo#tion$s% 3'ere t'e +oods 3ere
stu((ed into t'e #ontiner. 1'is does not men t'e lo#tion o( t'e +oods within t'e
#ontiner. For brek bulk s'i&ments, t'is is t'e &'ysi#l lo#tion$s% 3'ere t'e +oods
3ere mde )s'i& redy.-
1'e #onsolidtor $stu((er% is t'e &rty 3'o stu((ed t'e #ontiner or rrn+ed (or t'e
stu((in+ o( t'e #ontiner. For brek bulk s'i&ments t'is is t'e &rty 3'o mde t'e +oods
)s'i& redy- or rrn+ed (or t'e +oods to be mde )s'i& redy-.
5. An e2&ort s'i&ment is loded into #ontiner t (#ility in 5ermny in 3'i#' t'e
bri#k nd mortr, s 3ell s t'e +oods in t'e (#ility, re o3ned by Com&ny A5.
@o3ever, t'e (#ility is o&erted by relted (irm, Com&ny A5 Ao+isti#s Servi#es.
37
='o 3ould be listed s t'e UContiner Stu((in+ Ao#tionU (or t'e *SFM Com&ny A5 or
Com&ny A5 Ao+isti#s Servi#esM
"rovide t'e nme o( t'e o&ertor o( t'e (#ility nd t'e ddress o( t'e (#ility 3'ere t'e
+oods 3ere stu((ed into t'e #ontiner or mde )s'i& redy.-
B5 'onsolidator 9Stu66er< (ameE#ddress:
0. ,e+rdin+ t'e Continer Stu((in+ Ao#tion nd Consolidtor $Stu((er% $t'e 2 dt
elements t't re to be (iled s soon s &ossible, but no lter t'n 2E 'ours &rior to
rrivl% Q is t'e timin+ (le2ibility 8ust (or t'e one7yer (le2ible en(or#ement &eriodM
1'e (le2ibility s to timin+ (or t'e Continer Stu((in+ Ao#tion nd Consolidtor $Stu((er%
elements 3ill remin in &l#e unless nd until C!" determines t't #'n+e s'ould be
mde. *( C!" determines t't su#' #'n+e is ne#essry, C!" 3ill mend t'e
re+ultions ##ordin+ly.
2. *( t'ere re multi&le stu((in+ lo#tions nd t'ere re multi&le #onsolidtors do ll
#onsolidtors need to be listedM An e2m&le 3ould be n NCOCC doin+ milk run
3'ere it sto&s t multi&le lo#tions nd t'e #ontiner is stu((ed t e#' lo#tion by
di((erent &rty. =ould ll stu((ers need to be listed (or 8ust t'e &rty 3'o A,,AN5>? (or
t'e stu((in+M
*n t'is s#enrio, t'e nme o( t'e &rty t't rrn+ed (or t'e stu((in+ o( t'e #ontiner
s'ould be &rovided.
/. For )S'i&&er Aoded- Continer t't is s'i&&ed by mnu(#turer dire#tly 3it' t'e
stems'i& line, 3'o 3ould be s'o3n s t'e Consolidtor or Stu((erM
*( t'e mnu(#turer is t'e &rty t't stu((ed t'e #ontiner or rrn+ed (or t'e #ontiner to
be stu((ed, t'en t'e mnu(#turer is t'e #onsolidtor $stu((er%.
E. *( * 've one s'i&ment +oin+ to one im&orter t't 's multi&le #ontiners 3'i#' re
stu((ed by vrious #onsolidtors, do * 've to list t'em ll s &rt o( my *SFM
Jes. *t is im&ortnt to note t't t'ere #n be more t'n one )Consolidtor- involved in
trns#tion. C!" requires t't i( multi&le )Consolidtors- re involved $e.+., some #o7
lod situtions%, multi&le )Consolidtors- need to be &rovided s &rt o( t'e *m&orter
Se#urity Filin+.
UNIQUE ISF-5 DATA ELEMENTS
I5 Foreign Port o6 Unlading:
38
0. )Forei+n &ort o( unldin+- is de(ined s t'e &ort #ode (or t'e (orei+n &ort o( unldin+
t t'e intended (inl destintion. @o3 s'ould lo#tion be re&orted 3'en t'e lo#tion is
not &ort or 3'en t'ere is no &ort #ode sso#ite 3it' t'e destintionM
*( t'e intended (inl destintion is not &ort, or i( t'ere is no &ort #ode sso#ited 3it'
t'e (inl destintion, &rovide t'e nerest S#'edule B #ode or UNAo#ode.
2. A vessel #rryin+ trnsit #r+o destined (or <e2i#o de&rts (rom @on+ Bon+ nd
dis#'r+es sid #r+o in Aos An+eles, CA, USA. 1'e #r+o is t'en &ut on tru#k
bound (or Aredo, 1K, USA. 1'e #r+o e2its t'e U.S. nd enters <e2i#o t Nuevo
Aredo, <e2i#o. 1'e (inl destintion o( t'e #r+o is <e2i#o City, <e2i#o.
='t do 3e use (or t'e Forei+n "ort o( Unldin+M
For s'i&ments t't re bein+ e2&orted to Cnd or <e2i#o vi tru#k or ril, t'e
UNAo#ode o( t'e (irst (orei+n &ort o( entry $or nerest #ity% (ter e2&ort (rom t'e United
Sttes my be usedO in t'is #se, <K A,? $t'e #ode (or Nuevo Aredo% 3ould be
##e&tble.
J5 Place o6 4eliDery:
0. A vessel #rryin+ trnsit #r+o destined (or <e2i#o de&rts (rom @on+ Bon+ nd
dis#'r+es sid #r+o in Aos An+eles, CA, USA. 1'e #r+o is t'en &ut on tru#k
bound (or Aredo, 1K, USA. 1'e #r+o e2its t'e U.S. nd enters <e2i#o t Nuevo
Aredo, <e2i#o. 1'e (inl destintion o( t'e #r+o is <e2i#o City, <e2i#o. ='t do 3e
use (or t'e )"l#e o( ?eliveryM
*n t'is #se, t'e kno3n )"l#e o( ?elivery- is <e2i#o City, <e2i#o $<K <>K%
4IPL&3#"I' SBIP3%("S 9see coded transactions<
0. Cn returnin+ U.S. di&lomt, U.S. embssy &ersonnel or ot'er U.S. #itiRens
3orkin+ on be'l( o( t'e U.S. +overnment use t'e ?i&lomti# 1y&e 5 #oded trns#tionM
No. 1'is s'i&ment ty&e is reserved (or re&resenttives o( (orei+n +overnments nd
members o( t'eir (milies nd t'eir b+++e nd e((e#ts s &rovided (or in 0H CF,
0E8.82.
,eturnin+ U.S. &ersonnel nd t'eir +oods re not #onsidered di&lomti# s'i&ments nd
re not eli+ible to use t'e 1y&e 5 #oded trns#tion.
2. ?o bon (ide di&lomti# s'i&ments require bond to #over t'e *SF requirementsM
39
No.
/. ='t does t'e di&lomti# ty&e #oded trns#tion look likeM <ust 3e &rovide ll )00-
*SF elementsM
>2m&le o( n *SF (or di&lomti# s'i&ment9
ISF "ype 0, 4iplomatic S+ipment 2uidelines
*SF Filer9 A!* or A<S Filer Code
*SF 1y&e9 05 )?i&lomti#-
*SF *m&orter9 A+ent or *m&orter *,SN o( A+ent or Customs Assi+ned
Number $CANN% o( t'e (orei+n
embssy or #onsulte in t'e United
Sttes.
*SF !ond @older9 >K><"1 &er &oli#y
!ill o( Adin+ Numbers$s%9 SCAC:bill number$s% o( t'e lo3est A<S
bill o( ldin+ number$s%
0. *m&orter o( ,e#ord N9 A+ent or *m&orter *,SN o( A+ent or Customs Assi+ned
Sttes
2. Consi+nee N *,SN o( A+ent or Customs Assi+ned
Sttes
or &ss&ort number, #ountry o( issun#e
nd dte o( birt' o( ##e&tin+ &rty
/. !uyer $&>ner%9 1'e nme nd ddress o( t'e (orei+n
Sttes.
or t'e *,SN, CANN o( t'e (orei+n
Sttes
4$
E. Seller $&>ner%9 1'e nme nd ddress o( t'e (orei+n
Sttes.
Sttes
5. S'i& to "rties9 Nme nd ddress o( t'e &rty
re#eivin+ t'e +oods in t'e United Sttes
or t'e nme nd ddress o( t'e (orei+n
Sttes.
Sttes
F. <nu(#turer $Su&&lier%9 Nme nd ddress o( t'e (orei+n
+overnment
.. Country o( Ori+in9 *SO #ountry #ode o( t'e (orei+n #ountry
8. @1S Codes9 100500 ?i&lomti# e((e#ts:rti#les
H. Consolidtor $Stu((er%9 Follo3 norml requirements.
00. Continer Stu((in+ Ao#tion9 Follo3 norml requirements.
%(F&:'%3%(" 3%#SU:%S
1'e (ull #om&lin#e $en(or#ement% dte (or t'e )00;2- requirements #ommen#ed on
January 20! 2010, t'us endin+ 027mont' (le2ible en(or#ement &eriod durin+ 3'i#'
C!" &rovided e2tensive outre#' to edu#te t'e trde #ommunity on t'e ne3
requirements.
As t'e (le2ible en(or#ement &eriod 's ended, t'e +uidin+ &rin#i&le is to e2er#ise t'e
lest &unitive mesures vilble to obtin (ull #om&lin#e. *n order to #'ieve
m2imum #om&lin#e 3it' t'e lest mount o( disru&tion to t'e trde nd to domesti#
&ort o&ertions, C!" 3ill &&ly mesured, #ommon sense &&ro#' to en(or#ement.
1'is delibertive &&ro#' to3rds en(or#ement s'ould not be vie3ed by t'e trde
#ommunity s (urt'er e2tension o( t'e stru#tured revie3 nd (le2ible en(or#ement
&eriod.
At t'e outset, C!" 3ill #on#entrte its en(or#ement e((orts on im&orters 3'o re not
41
(ilin+ *SFs (or U.S.7bound s'i&ments. At t'e very lest, non7#om&lint *SF *m&orters
s'ould e2&e#t to re#eive 3rnin+ nd:or 3ill e2&erien#e delys in t'e relese o( t'eir
#r+o 3'ile C!" nlyRes nd miti+tes t'e &otentil risk o( t'e #r+o. At minimum,
non7#om&lint im&orters s'ould e2&e#t t'eir s'i&ments to under+o non intrusive
ins&e#tion $N**% e2m u&on rrivl in t'e U.S.
As C!"Ls en(or#ement re+ime mtures, non7#om&lint im&orters 3ill #ontinue to see
in#reses in t'e mount o( mni(est 'olds nd e2mintions, nd 3ill be sub8e#t to t'e
+reter use o( stri#ter en(or#ement mesures su#' s liquidted dm+es nd do not
lod $?NA% 'olds. For C71"A1 #om&nies t't remin non7#om&lint, C!" 3ill #onsider
sus&endin+, redu#in+ nd even revokin+ t'eir C71"A1 sttus.
C!" 3ill evlute instn#es o( non7#om&lin#e on #se7by7#se bsis nd 3ill
#onsider (#tors surroundin+ &otentil violtions be(ore &&lyin+ en(or#ement #tions.
#5 4o (ot Load 3essages:
0. *( C!" issues ?NA (or t'e *SF, 'o3 3ill t'e #rrier kno3 i( it 3s be#use t'e *SF
or mni(estM
C!" 3ill &rovide mess+e to t'e #rrier vi vessel A<S t't t'e ?NA 3s s&e#i(i#lly
due to t'e *SF.
$5 LiKuidated 4amages:
0. =ill C!" ssess liquidted dm+es (or multi&le violtions on one *SFM
C!" 3ill ssess liquidted dm+es in ##ordn#e 3it' t'e relevnt miti+tion
+uidelines 3'i#' 3ere &ublis'ed in t'e C!" !ulletin on Iuly 0., 200H. ='ile t'ere my
be multi&le errors on n *SF trnsmission, in ##ordn#e 3it' t'e +uidelines, C!" my
ssess #lim (or liquidted dm+es s (ollo3s9 W5,000 &er lte *SF, W5,000 &er
in##urte *SF, nd W5,000 (or t'e (irst in##urte *SF u&dte.
'5 3itigation 2uidelines
0. ='ere #n * (ind #o&y o( t'e *SF <iti+tion 5uidelinesM
1'e +uidelines (or t'e ssessment nd #n#elltion o( #lims (or liquidted dm+es (or
(ilure to #om&ly 3it' t'e vessel sto3 &ln, #ontiner sttus mess+e, nd im&orter
se#urity (ilin+ requirements 3ere &ublis'ed in t'e Customs !ulletin on Iuly 0., 200H nd
re vilble t'rou+' t'e link belo3.
42
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:le+l:bulletins4de#isions:bulletins4200H:volE/
40.0.200H4no28:E/+enno28.#tt:E/+enno28.&d(
1'e +uidelines be+in on &+e 2H nd end on &+e E0.
%;%3P"I&(S "& ISF :%AUI:%3%("S
#5 2/ Bour 3ani6est :ule %7emptions 96or e7empt $reaM.$ulM <:
0. >2istin+ rules e2em&t bulk nd #ertin brek7bulk #r+oes $e.+. most (orest nd steel
&rodu#ts% (rom t'e 2E 'our timing reKuirements o( t'e 2E @our ,ule. "lese dvise i(
t'ese #ommodities re e2em&t (rom t'e ne3 rules s 3ell.
See se#tion on !ulk nd !rek7!ulk
$5 2eneral ISF :eKuirements 9%7emptions<:
2. Are )#ontineriRed bulk- s'i&ments e2em&tM
No. On#e #r+o is &l#ed in #ontiner it #n no lon+er be #onsidered bulk #r+o. See
0H CF, E..$b%$E%$i%.
/. Are t'ere ny bond e2em&tionsM
Jes. $See !onds%
E. ='t bout outer #ontinentl s'el( $OCS% s'i&mentsM Are t'ey e2em&t (rom t'e *SF
requirementsM
$See OCS s'i&ments%
'5 Instruments o6 International "rade 9II"<
0. Are %3P"C '&("#I(%:S e2em&t (rom t'e im&orter se#urity (ilin+ requirementsM
Jes, em&ty #ontiners re e2em&t (rom V 0EH.2 )*m&orter se#urity (ilin+Zrequirement,
time o( trnsmission, veri(i#tion o( in(ormtion, u&dte, 3it'dr3l, #om&lin#e dte.-
@o3ever, C!" requires t't em&ty #ontiners be re&orted vi vessel sto3 &lns nd
#ontiner sttus mess+es.
2. Are em&ty s'i&&er $or im&orter% o3ned #ontiners sub8e#t to t'e *m&orter Se#urity
43
(ilin+ requirementsM
No. !ut t'ey must still be re&orted vi vessel sto3 &lns nd #ontiner sttus
mess+es 3'ere &&ro&rite by t'e #rrier.
/. Are IS& "#(LS e2em&t (rom t'e *SF ,equirementsM
*SO tnks re treted like ny ot'er #ontiners. *( t'e *SO tnks #ontin #r+o, t'en
t'ey require t'e (ilin+ o( n *SF. *( t'e *SO tnks re em&ty $no residue%, t'ey do not
require t'e (ilin+ o( n *SF.
E. Are s'i&Ls equi&ment nd #rrierLs inter#om&ny moves e2em&t (rom t'e *m&orter
Se#urity Filin+ requirementsM
An *m&orter Se#urity Filin+ is not required (or s'i&Ls equi&ment. @o3ever, unless
ot'er3ise e2em&ted, t'e *SF *m&orter must submit n *m&orter Se#urity Filin+ (or
inter#om&ny moves.
5. Are SBIPNS SP#:%S e2em&t (rom t'e *SF (ilin+ requirementsM
Jes.
F. *s SBIPNS %AUIP3%(" e2em&t (rom t'e *SF (ilin+ requirementsM
Jes.
FL%;I$L% %(F&:'%3%(" P%:I&4 9See also %n6orcement 3easures<
0. Are t'e (le2ibilities $i.e., )##e&tble rn+e o( res&onses- nd )(le2ible timin+-% only
(or t'e (le2ible en(or#ement &eriod or is it C!"Ps intent to kee& t'ese (le2ibilities in t'e
(ilin+ (ter t'e (le2ible en(or#ement &eriod e2&iresM
1'e (le2ibility s to inter&rettion (or t'e Manufacturer (Supplier), Ship to Party, Country
of Origin, nd HTSUS number, nd (le2ible timin+ &rovisions (or t'e Consolidtor
(Stuffer) nd:or Container Stuffing Location 3ill remin in &l#e unless nd until C!"
determines t't #'n+e s'ould be mde. *( C!" determines t't su#' #'n+e is
ne#essry, C!" 3ill mend t'e re+ultions ##ordin+ly.
I4%("IFI'#"I&( (U3$%:S
#5 2eneral:
44
0. Cn you &rovide list o( ll t'e 3idely re#o+niRed #ommer#illy ##e&ted
identi(i#tion numbers (or t'e *SF entities su#' s t'e buyer, seller, et#.M *t 3s
mentioned in t'e interim (inl rule t't C!" 3ill ##e&t 3idely re#o+niRed #ommer#illy
##e&ted identi(i#tion numbers su#' s ?un nd !rdstreet ?t Universl Numberin+
System $?UNS% numbers. Are t'ere ny ot'er numbers t't 3ill be ##e&tedM
C!" 3ill llo3 t'e trde to &rovide 3idely re#o+niRed #ommer#illy ##e&ted
identi(i#tion numbers su#' s ?UNS numbers s n lterntive to t'e nme nd
ddress (or t'e (ollo3in+ elements9 Seller, !uyer, <nu(#turer $or su&&lier%, S'i& to
&rty, Continer stu((in+ lo#tion, Consolidtor $stu((er%, nd !ookin+ &rty. *n ddition,
C!" 3ill ##e&t F#ilities *n(ormtion nd ,esour#es <n+ement System $F*,<S%
#odes (or t'e s'i& to &rty, 3'en &&li#ble. C!" 3ill #ontinue to #onsider, in
#oordintion 3it' t'e trde, ##e&tin+ ot'er 3idely re#o+niRed #ommer#illy ##e&ted
identi(i#tion numbers.
$5 4U(S:
0. =ill C!" &rovide query (un#tionlity (or ?UNS numbersM
No. *t is t'e *SF (ilerLs res&onsibility to obtin t'e #orre#t ?UNS number$s%.
I3PL%3%("#"I&( 2UI4%S
C!"Ls most #urrent im&lementtion +uides $dt trns#tion sets% #n be (ound t t'e
(ollo3in+ link9
'tt&9::333.#b&.+ov:2&:#+ov:trde:utomted:utomted4systems:s(4trns#tion4sets:
I(F&:3#L SBIP3%("S $See lso Coded 1rns#tions%
#5 2eneral:
0. Are *SFs required (or in(orml s'i&mentsM
Jes. *SFs re required (or in(orml s'i&ments. See Coded 1rns#tions (or more
detils.
$5 3ilitary S+ipments:
45
0. Are *SFs required (or returnin+ U.S. militry 'ouse'old +oods s'i&mentsM
Jes. "lese utiliRe t'e *SF )1y&e 0/- Filin+ $See lso Coded 1rns#tions%.
2. Are bonds required (or *SFs (or U.S. militry 'ouse'old +oods s'i&mentsM
No. 1'e bond requirements (or t'ese ty&es o( s'i&ments 've been 3ived s mtter
o( &oli#y.
/. For U.S. militry 'ouse'old +oods, #n t'e movin+ #om&ny #ontr#tor be t'e *SF
*m&orterM

@ouse'old +oods nd &ersonl e((e#ts, in#ludin+ U.S. militry 'ouse'old +oods, #n be
'ndled by usin+ #oded trns#tion ty&e )0/- (ilin+. 1'e +ent #n be t'e *SF
*m&orter nd &rovide its o3n im&orter o( re#ord number s lon+ s ll o( t'e #tul
#onsi+nees re &ro&erly identi(ied on t'e *SF (ilin+.
ISF FILI(2S
#5 2eneral:
0. Cn n *SF #over more t'n one vessel nd voy+eM
No.
2. *s t'ere +oin+ to be &&er *SF FormM
No. *t is ll ele#troni#.
/. Sin#e mni(ested quntity is not &rt o( t'e *SF (ilin+, 'o3 3ill C!" 'ndle multi&le
*SFs (or one bill o( ldin+M
C!" 3ill return unique identi(i#tion number (or e#' unique *SF (ilin+ even i( +inst
t'e sme bill o( ldin+. $See unique identi(i#tion number%
E. Cn bills o( ldin+ on t'e sme vessel nd voy+e (or t'e sme im&orter be
#ombined in t'e sme *SF i( t'e &orts o( lodin+ or dis#'r+e re di((erentM
An *SF (ilin+ #overs sin+le )s'i&ment- +oin+ to sin+le *SF *m&orter rrivin+ on
sin+le vessel voy+e. ='ile *SF (ilin+s my nturlly mt#' u& 3it' C!" Form /EF0
entries, t'ere is no #tul requirement t't t'ey do so.
*SFs re to be done t t'e )lo3est- bill o( ldin+ level t't 's been $or 3ill be% re#orded
in t'e vessel A<S system. C!" 3ill ##e&t n *SF t eit'er t'e 'ouse bill o( ldin+ level
46
or re+ulr $i.e. sim&le, stri+'t% bill o( ldin+ level. C!" 3ill not ##e&t *SFs t't re
(iled +inst <ster bill o( ldin+.
Additionlly, sin+le *SF my #over multi&le bills o( ldin+ s lon+ s t'ey re ll +oin+
to t'e sme im&orterY s &rt o( t'e sme s'i&ment on t'e sme vessel voy+e.
YNote9 *n t'e #se o( F,O!, *> nd 1> #r+o, t'e #rrier my not )bundle- non7relted
s'i&ments under sin+le *SF (ilin+. 1'ese s'i&ments re not ultimtely )+oin+ to- t'e
#rrier.
5. *t is &ossible to trnsmit one *SF (or multi&le bills o( ldin+ on t'e sme vessel (or
one im&orter i( t'ey re one s'i&ment. =e see severl &ossible s#enrios 'ere9
7multi&le bills o( ldin+ (or t'e sme im&orter t't 3ill ll be #lered under one entry
7multi&le bills o( ldin+ (or t'e sme im&orter t't 3ill result in multi&le entries (or t't
im&orter
1'e question no3 is does t'e 3ord )s'i&ment- men entry s in e2m&le oneM Or #n
t'e 3ord s'i&ment be &&lied to multi&le entries s in e2m&le t3oM *( t'e de(inition o(
Us'i&mentU #n be #onstrued to men e2m&le t3o 3e re #on(used s to 'o3 3e #ould
(ile #ombined *SF:entry. =ould 3e sim&ly &i#k ny one o( t'e entries nd tt#' t'e
*SF (ilin+ (or ll t'e bills o( ldin+ to t't oneM
1'ere re severl &ossible (ilin+ o&tions, s lon+ s t'ere is one s'i&ment, one im&orter
o( re#ord number, on t'e sme vessel nd sme voy+e number, in#ludin+ t'e
(ollo3in+9
One *SF &er bill o( ldin+
One *SF to #over multi&le bills o( ldin+Y.
*n )uni(ied entry- one *SF &er entry re+rdless o( t'e number o( bills o( ldin+ $s lon+
s t'ese bills o( ldin+ re (or t'e sme s'i&mentY nd re re&resented on t'e entry%.
YNote9 *n t'e #se o( F,O!, *> nd 1> #r+o, t'e #rrier my not )bundle- non7relted
s'i&ments under sin+le *SF (ilin+. 1'ese s'i&ments re not ultimtely )+oin+ to- t'e
#rrier.
F. <y #om&ny re+ulrly im&orts to t'e U.S., Cnd nd <e2i#oO sometimes t t'e
sme time. At t'e time t'e *SF is required, 3e donLt l3ys kno3 t'e s&e#i(i#
destintion (or &rti#ulr s'i&ment. For instn#e, sometimes t'e de#ision is mde to
divert &ortion o( U.S. bound s'i&ment to n F1G or to Cnd:<e2i#o (ter vessel
silin+. *n t'ese #ses, s'ould * (ile n *SF700 insted o( n *SF75 (ilin+M
*n t'ese #ses, n *SF700 s'ould be submitted. 1'e *SF700 must be u&dted t lter
time 3it' n *SF75 i( t'e de#ision is mde to divert t'e s'i&ment to <e2i#o or Cnd
vi n *> or 1D> or on#e better in(ormtion be#omes vilble &rior to vessel rrivl t
47
t'e (irst U.S. &ort. @o3ever, i( better in(ormtion does not be#ome vilble until (ter
vessel rrivl in t'e (irst U.S. &ort, t'e *SF im&orter is no lon+er bound to u&dte t'e
*SF700 but my still do so t t'eir dis#retion. As mtter o( &oli#y, u&dtin+ n *SF700
to n *SF75 does not require "ort ?ire#tor &&rovl. $See lso S&lits, ?iversions nd
,ollin+ o( Cr+o%
$5 Sel6 Filer:
0. =e #urrently use broker to (ile our entry do#uments vi t'e A!* inter(#e. As n
im&orter, is t'ere 3y to #onne#t vi t'e AC> system to only (ile t'e *SF700M =ill C!"
#rete 3eb &ortl in AC> so im&orters #n (ile t'eir o3n *m&orter Se#urity Filin+sM
1'e *SF #nnot be submitted t'rou+' AC> t t'is time. @o3ever, C!" 3ill #ontinue to
e2&lore dditionl *SF (un#tionlity s AC> is develo&ed. An im&orter my lso #ont#t
C!" Client ,e&resenttive t 5.07EF875500 to dis#uss sel( (ilin+ o&tions.
'5 "iming :eKuirements:
$See lso, Continer Stu((in+ Ao#tion, Consolidtor Nme:Address.%
0. "ursunt to t'e ne3 re+ultions, some *SF elements must be submitted no lter t'n
2E 'ours be(ore t'e #r+o is lden bord t'e vessel t t'e (orei+n &ort. ='en #r+o is
(irst lden bord (eeder vessel, re t'ese elements required no lter t'n 2E 'ours
be(ore t'e #r+o is lden bord t'e (eeder vessel or t'e vessel destined to t'e United
SttesM ='en re *SFs (or F,O! requiredM
For *SF elements t't must be submitted no lter t'n 2E 'ours be(ore t'e #r+o is
lden bord t'e vessel t t'e (orei+n &ort, t'e elements must be submitted no lter
t'n 2E 'ours be(ore t'e #r+o is lden bord a veel !etine! to the Unite! State.
Similrly, (or F,O!, t'e required elements must be submitted &rior to ldin+ bord a
veel !etine! to the Unite! State.
45 ISF., Filings:
0. On t'e *.>.Ls nd 1D>Ls re 3e required to trnsmit t'e inbond number &rior to or t
t'e sme time t'e 5 dditionl elements re trnsmitted or #n 3e trnsmit t't lterM
No. An in7bond number is not required s &rt o( t'e *SF.
2. ='o is t'e res&onsible &rty (or (ilin+ n *SF75 (or F,O!M ='o is res&onsible (or
(ilin+ t'e *SF75 (or *> nd 1D> s'i&mentsM
48
Under t'e interim (inl rule, t'e &rty required to submit t'e *m&orter Se#urity Filin+ is
t'e &rty #usin+ t'e +oods to enter t'e limits o( &ort in t'e United Sttes. 1'is &rty
is t'e #rrier (or F,O! nd t'e &rty (ilin+ (or t'e immedite e2&orttion $*>%,
trns&orttion nd e2&orttion $1D>% (or t'ose ty&es o( s'i&ments.
/. * m n utomted NCOCC (ilin+ mni(est dt vi A<S. Am * lso res&onsible (or
submittin+ t'e *SF5 to C!" (or F,O! s'i&mentsM 1'e *F, sttes t't t'e #rrier is t'e
res&onsible &rty. @o3ever, NCOCCs re lso s&e#i(i#lly in#luded s #rriers under 0H
CF, E...
As t'e ,ule is #urrently 3ritten, t'e #rrier, de(ined s t'e vessel o&ertor, is
res&onsible (or (ilin+ t'e *SF75 (or F,O! s'i&ments. @o3ever, C!" is 3re t't
NCOCCs re in#luded s #rriers in 0H CF, E.. but re not in#luded s #rriers in 0H
CF, 0EH. C!" &lns to ddress t'is issue t'rou+' t'e re+ultory &ro#ess.
Until su#' time s C!" ddresses t'is issue, (ilers o( *SF75 F,O! dt 3ill be treted
3it' 3ide dis#retion by C!" reltive to *SF en(or#ement issues, &rovided C!" re#eives
t'e required *SF5 F,O! dt. *n t'e interim, vessel o&ertin+ #rriers must submit t'e
*SF75 (or F,O! s'i&ments i( t'ey 've dire#t ##ess to t'e dt s t'e entity t't
re#eived t'e bookin+ dire#tly (rom t'e s'i&&er.
*n t'ose instn#es 3'ere n NCOCC is (ilin+ mni(est dt vi A<S, t'e NCOCC my
(ile t'e *SF75 (or t'e &&ro&rite trns#tionsO nd t'is #tion my be done 3it'out
obtinin+ &o3er o( ttorney (rom t'e #rrier. C!" 3ill re#eive t'ese trns#tions nd
&ro#ess t'em usin+ stndrd dt edits nd mess+in+.
Crriers nd NCOCCs 3ill be o&ertin+ under t'e sme #onsidertions s 3ill im&orters
nd brokers durin+ t'e +rduted en(or#ement &eriod (or *SF.
%5 ISF "erritories o6 'oDerage 92eograp+ic<:

0. Are im&orts into "uerto ,i#o $o#en s'i&ments (rom non7US lo#tions% sub8e#t to
*SF:00;2 (ilin+ requirementsM
1'e rule #overs #r+o destined to rrive 3it'in t'e #ustoms territory o( t'e United
Sttes. "uerto ,i#o is &rt o( t'e #ustoms territory o( t'e United Sttes. 1'ere(ore,
im&orts into "uerto ,i#o re sub8e#t to t'e (ilin+ requirements.
2. Are s'i&ments ori+intin+ (rom U.S. insulr &ossession $su#' s U.S. Cir+in
*slnds, Ameri#n Smo, or 5um% nd bein+ e2&orted into t'e United Sttes sub8e#t
to t'e *SF:00;2 (ilin+ requirementsM
Jes. U.S. insulr &ossessions $su#' s U.S. Cir+in *slnds, Ameri#n Smo, or 5um%
re not &rt o( t'e #ustoms territory o( t'e United Sttes.
49
/. Are o#en s'i&ments (rom non7US lo#tions into U.S. insulr &ossession $su#' s
U.S. Cir+in *slnds, Ameri#n Smo, or 5um% sub8e#t to *SF:00;2 (ilin+
requirementsM
No. U.S. insulr &ossessions $su#' s U.S. Cir+in *slnds, Ameri#n Smo, or 5um%
re not &rt o( t'e #ustoms territory o( t'e United Sttes
F5 ISF #reas o6 'oDerage 93ode o6 "ransport<:
0. Are *SFs required (or +oods rrivin+ in t'e U.S. vi ril or tru#kM =ill * need to do t'e
*SF (ilin+ i( my #r+o 3ill not be on vessel until t'e &oint it is levin+ t'e United
SttesM
*SFs re only required (or +oods s#'eduled to rrive in t'e United Sttes by vessel.
2. <y +oods re s#'eduled to rrive in Cnd by vessel nd 3ill t'en be im&orted into
t'e U.S. vi tru#k or ril. ='ile itLs understood t't n *SF is not required (or s'i&ments
rrivin+ into t'e U.S. vi modes ot'er t'n vessel, my * still (ile n *SF700 (or t'ese
s'i&mentsM
Jes, s lon+ s t'ere is n sso#ited bill o( ldin+ t t'e lo3est level in A<S (or t'e *SF
to #onne#t 3it'.
25 Less t+an 'ontainer Load 9L'L< S+ipments
0. * m smll im&orter t't rrely brin+s in 3'ole #ontinerO most s'i&ments re
(e3 &llets or bo2es. *( 3e re 8ust brin+in+ in smll s'i&ments nd not #ontiners do
t'e sme re&ortin+ requirements &&lyM

An *SF is required (or non7bulk #r+o, re+rdless o( t'e siRe o( t'e s'i&ment.
B5 Late ISF Filings
0. *Lve never im&orted be(ore nd 3s un3re o( t'e *SF requirements. * 3nt to
submit my *SF, but my s'i&ment lredy de&rted t'e lst (orei+n &ort nd no3 * #nnot
obtin sin+le trns#tion bond to #over t'e *SF sin#e *Lve obviously run (oul o( t'e
requirements.
*m&orters 3'o re unble to se#ure bond (ter t'e dedline required to (ile n *SF
my ele#t to use t'e ISF Su8mission "ype , Late ISF.10 . (o $ond or ISF
Su8mission "ype 0 Late ISF., O (o $ond 9t+ese ne> su8mission types are
replacing t+e concept o6 t+e coded transaction ISF.10 "ype 1@<. 1'e us+e o(
t'ese ne3 *SF submission ty&es is n e2&li#it #kno3led+ement t't t'e *SF
requirements 3ere not &ro&erly met nd t't t'e *SF is lte. C!" reserves t'e ri+'t to
5$
tke ny nd ll &&ro&rite #tion $e.+., #r+o 'olds nd e2mintions% to en(or#e t'e
*SF requirements in t'ese #ses. *n ddition, *SF Submission 1y&es 5 nd F re
e2&e#ted to be in e((e#t (or limited mount o( time. Unless ot'er3ise noted, *SF
Submission 1y&es 5 nd F re s#'eduled to e2&ire on Iune /0, 2000.
"lese note t't *SF im&orters 3'o lredy 've #over+e under n e2istin+ 1y&e 0, 2,
/ or E #ontinuous bond re not to utiliRe t'ese ne3 submission ty&es sin#e t'ey lredy
've n eli+ible bond on (ile.
*n ddition, C!" 3ill #losely monitor t'e us+e o( t'ese ne3 *SF submission ty&es nd
3ill &y &rti#ulr ttention to ny entity t't ttem&ts to utiliRe t'ese submissions on
more t'n one o##sion.
ISF I3P&:"%:
#5 2eneral:
0. ='t i( * m t'e *SF *m&orter t t'e time t'e *SF 3s (iled nd * no lon+er 3nt to
tke res&onsibility (or t'e s'i&mentM
1'e *SF *m&orter is ultimtely res&onsible (or t'e #om&lete, ##urte, nd timely (ilin+ o(
t'e *SF. 1'is res&onsibility #nnot be trns(erred to not'er &rty.
2. @o3 #n n im&orter be res&onsible (or n *SF i( t'ey re not 3re o( s'i&mentM
1'e &rty #usin+ t'e +oods to enter t'e limits o( &ort in t'e United Sttes is t'e &rty
res&onsible (or (ilin+ t'e *SF. 1'is &rty #ould be t'e o3ner, &ur#'ser, #onsi+nee, or
+ent.
/. Cn (orei+n entity be t'e *SF *m&orterM
Jes. @o3ever, U.S. entity must be &rovided (or t'e #onsi+nee element.
$5 "ransit 'argo 9F:&$! I%! "%<:
0. Cn t'e NCOCC (ile n *SF even t'ou+' t'ere is no le+l requirement to do soM
Jes, n NCOCC #n (ile n *SF on its o3n be'l( $s n *SF *m&orter% or (ile n *SF s
n +ent (or not'er &rty.
2. *( t'e COC is t'e *SF *m&orter (or F,O!, does t'is men t'e COC is required to be
t'e *SF (iler (or 1D> nd *.>. #r+oM
51
No. 1'e *SF *m&orter (or bot' *.>. nd 1D> s'i&ments is t'e &rty (ilin+ t'e *.>. nd
1D> do#umenttion 3it' C!". *( t'e COC is t'e &rty (ilin+ t'e *.>. nd 1D>
do#umenttion 3it' C!", t'e COC is lso t'e *SF *m&orter.
/. =e #urrently 'ndle some s'i&ments t't move to n inlnd &ort on t'e o#en linerLs
*.1. On#e t'e s'i&ment rrives to t'e *.1. destintion &ort, 3e #n#el t'e *.1. 3it' eit'er
n *.>. or 1D> inbond to be e2&orted. Sin#e t'ey 3ill not be #onsum&tion entries, #n
3e submit only t'e *SF75M
An immedite trns&orttion $*1% entry requires n *SF700 (ilin+. For 1D> nd *.>.
s'i&ments, t'e *SF im&orter must &rovide n *SF75 or n *SF700 in lieu o( n *SF75.
3%SS#2I(2
#5 2eneral:
0. ='en n *SF is trnsmitted to C!" by Customs broker t'rou+' A!* nd
res&onse re#eived b#k to t'e Filer, 'o3 3ill t'e #rrier kno3 it is oky to lod t'e
s'i&mentM =ill t'e #rrier +et mess+eM
C!" does not issue )((irmtive lod- mess+es. Additionlly, t'ere is no requirement
t't #rrier veri(y t't n *SF 's been (iled +inst &rti#ulr bill o( ldin+.
@o3ever, t t'e request o( t'e trde, C!" &rovides sttus noti(i#tion mess+e to
bot' t'e *SF Filer s 3ell s t'e &&ro&rite #rrier t't n *SF 's su##ess(ully
mt#'ed to bill o( ldin+ t't is on (ile 3it' C!".
2. ?oes C!" mintin list o( *SF error #odesM
Jes. "lese see9 CA1A*, A&&endi2 S
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:utomted:utomted4systems:bi:#tir:&&
endi#es:&&4s450.#tt:&&4s450.do#
/. ?oes C!" mintin list o( *SF dis&osition #odesM
Jes. "lese see9 CA1A*, A&&endi2 N
'tt&9::333.#b&.+ov:link'ndler:#+ov:trde:utomted:utomted4systems:bi:#tir:&&
endi#es:&&endi24n.#tt:&&endi24n.do#
$5 #ccepted ISF Filings:
0. Cn t'e *SF *m&orter &rovide t'e *SF unique identi(i#tion number to t'e A<S noti(y
52
&rty (or s'i&ments 3'ere t'e *SF 's been mt#'ed to t'e mni(estM
Jes. As business de#ision, t'e *SF *m&orter my s're t'eir unique identi(i#tion
number 3it' ot'er &rties. @o3ever, t'is must be done outside o( t'e A<S system.
'5 UniKue ISF "ransaction (um8er:
0. =ill C!" &rovide (eedb#k 3'en t'e *SF is (iledM
Jes. U&on re#ei&t o( n *SF submission, C!" &ro#esses t'e dt nd &rovides
immedite (eedb#k to t'e *SF Filer. 1'e return mess+es in#lude n ##e&tn#e or
re8e#tion mess+e. For t'ose (ilin+s t't C!" ##e&ts C!" 3ill return unique *SF
trns#tion number. *( t'ere re ny errors, or i( t'e submission is re8e#ted, C!"
&rovides reson #ode.
2. ?oes t'e unique *? be#ome &rt o( t'e entry &#k+eM
No.
/. =ill C!" return unique identi(i#tion number (or uni(ied mni(est *SF75 (ilin+M
Not t t'is time.
45 #ccepted =it+ =arning:
0. *s C!" e2&e#tin+ n u&dte to t'e *SF (or (ilin+s 3'ere 3rnin+ mess+e is
re#eivedM
C!" e2&e#ts *SFs to be u&dted 3'en 3rnin+ mess+e is re#eived.
%5 :eJected ISF Filings9
0. *( my initil *SF is re8e#ted #n * sim&ly mend it or must * #rete ne3 oneM
*( n )dd- trns#tion is re8e#ted, t'e *SF must be #orre#ted nd resubmitted s ne3
)dd- sin#e t'ere is no #tive *SF re#ord &resent in C!"Ls system to )re&l#e- $i.e.,
mend%.
2. Cn * re#eive unique trns#tion number (or my re8e#ted (ilin+s in order to )&rove-
t't * ttem&ted to submit n *SFM
No, unique *? numbers 3ill not be issued (or re8e#ted )dd- *SFs. @o3ever, re8e#ted
)re&l#e- trns#tions 3ill return t'e &rovided *SF 1rns#tion Number.
53
F5 Status #dDisory 3essages:
0. 1'e sttus dvisory mess+e #on(irmin+ mt#' $or no mt#'% 3it' t'e bill o( ldin+
is to be sent to t'e *SF (iler. *( t'ere re t3o (ilin+s +inst t'e sme bill o( ldin+, do
bot' (ilers re#eive t'e sttus dvisory mess+eM
>#' (iler 3ill re#eive se&rte nd unique mt#' $or no mt#'% mess+e.
25 4uplicate Filings:
0. @o3 3ill C!" &revent:'ndle du&li#te (ilin+sM =ill t'e #on(irmtion &rovide n
indi#tion o( du&li#te submissions i( t'e *SF is lredy on (ileM
C!" llo3s one *SF (ilin+ 3'i#' 's unique #ombintion o( bill o( ldin+ number nd
im&orter o( re#ord number &er *SF (iler. 1'e only e2#e&tion is )Uni(ied >ntry Filin+-,
3'i#' lso in#ludes t'e entry number s &rt o( t'e unique #ombintion.
*( se#ond *SF (ilin+ is re#eived 3it' t'e sme #ombintion o( t'ese elements t'e
se#ond (ilin+ 3ill be re8e#ted i( t'e *SF is submitted by t'e sme (iler. A reson (or t'e
re8e#tion 3ill be returned to t'e *SF (iler in ddition to t'e unique trns#tion number.
@o3ever, i( du&li#te *SF is (iled by di((erent (iler, C!" 3ill accept t'e du&li#te *SF
nd send 3rnin+ mess+e to t'e initil *SF (iler t't du&li#te 3s (iled. *n
ddition, C!" 3ill send n )##e&ted 3it' 3rnin+- mess+e to t'e subsequent *SF (iler
to let t'em kno3 t't di((erent &rty &reviously (iled n *SF +inst t'e sme
s'i&ment. C!" e2&e#ts t'e &rties involved to #ont#t t'e *SF im&orter in order to
s#ertin 3'i#' *SF is t'e ##urte one. Filure to do so my in#ur en(or#ement nd:or
#om&lin#e #tions.
B5 ISF., 3essaging:
0. *( #rrier submits uni(ied (ilin+ (or t'e 2E 'r mni(est dt nd *SF75 dt, 3ill n
*SF #kno3led+ment or unique identi(i#tion number $re#ei&tN% (or t'e *SF75 be
returned to t'e #rrierM

No. Uni(ied mni(est:*SF75 (ilin+s 3ill not re#eive unique identi(i#tion numbers.
54
3I4 (U3$%:S
0. Cn t'e <*? number be used in lieu o( t'e nme nd ddress (or t'e <nu(#turer
$or Su&&lier% elementM
No, C!" 3ill not ##e&t <*? Number in lieu o( (ull nme nd ddress to (ul(ill t'e
<nu(#turer $Su&&lier% requirement on t'e *SF. @o3ever, entities su#' s
mnu(#turers, im&orters, su&&lies, et#. my re+ister t'eir in(ormtion 3it' ?unn D
!rdstreet to obtin ?UNS number 3'i#' #n be used in lieu o( (ull nme nd
ddress.
&U"%: '&("I(%("#L SB%LF 9&'S< SBIP3%("S
0. ?o t'e *m&orter Se#urity Filin+ requirements &ertin to outer #ontinentl s'el( $OCS%
s'i&mentsM
Jes. See &+. .0.5. o( t'e *F, (or more detils.
2. Are t'ere ny s&e#il &rovisions (or OCS s'i&ments due to t'e #lose &ro2imity to t'e
U.S.M
Jes. As mtter o( &oli#y, C!" 3ill llo3 t'e (ilin+ o( *SFs (or OCS s'i&ments ny time
&rior to vessel ldin+. C!" 's dded s&e#il #oded trns#tion ty&e (or OCS
s'i&ments.
&U":%#'B %FF&:"S
0. @o3 do * (ind in(ormtion bout ny &ubli# outre#' e((orts in re+rds to t'e ne3
Se#urity Filin+M
"lese #'e#k t'e C!" 3ebsite (or ny u&#omin+ &ubli# outre#' events in your re t
333.#b&.+ov.
P&S"#L '&4%S
0. ?urin+ t'e (le2ible en(or#ement &eriod, t'e l#k o( &ostl #ode 3ill result in n
)##e&ted 3it' 3rnin+s- mess+e. *s C!" e2&e#tin+ n u&dte to t'e *SF (or ll (ilin+s
3'ere 3rnin+ mess+e is re#eivedM
Jes.
55
2. Some o( our *SF entities re in #ountries t't donPt 've (ormliRed &ostl #ode
system. @o3 3ill C!" 'ndle *SF entities t't re trnsmitted 3it'out &ostl #odeM
A &ostl #ode is not required s &rt o( n ddress on n *SF (or #ountries t't do not
#urrently utiliRe &ostl #ode system. C!" is 3orkin+ on (ormliRin+ list o( #ountries
t't use &ostl #odes. ='en t'is 's been #om&leted, C!" 3ill &rovide t'is list to t'e
trde.
P&=%:S &F #""&:(%C
0. =ill C!" require Us&e#ilU nd se&rte &o3er o( ttorney $"OA% (or *SF
&ur&osesM Currently, brokers use +eneri# "OA t't in#ludes brod +en#y ln+u+e
(or ll im&ortin+ #tivities, in#ludin+ #ustoms broker+e nd (or3rdin+ i( &&li#ble.
C!" s'ould ##e&t t'e #urrent "OA used by brokers.
C!" 3ill not require ne3 or )s&e#il- "OA. 1'e su((i#ien#y o( &o3er o( ttorney 3ill
be de#ided on #se by #se bsis. @o3ever, 0H CF, 0E0./2 #ontins n e2m&le o(
n ##e&tble +enerl &o3er o( ttorney 3it' unlimited ut'ority.
P:&2:%SS :%P&:"S
0. =ill C!" &rovide (eedb#k (rom t'e system to t'e im&orters : +ents (or *SF (ilin+
timeliness nd:or ##ur#yM
Jes. U&on re#ei&t o( n *SF submission, C!" &ro#esses t'e dt nd &rovides
immedite (eedb#k to t'e *SF Filer. 1'e return mess+es in#lude n ##e&tn#e or
re8e#tion mess+e. For t'ose (ilin+s t't C!" ##e&ts, C!" 3ill return unique *SF
trns#tion number. *( t'ere re ny errors, or i( t'e submission is re8e#ted, C!" 3ill
&rovide reson #ode.
*n ddition to t'e instnt (eedb#k &rovided on submission by submission bsis, C!"
's develo&ed system +enerted )*SF "ro+ress ,e&ort- t't is sent b#k to e#' *SF
Filer on mont'ly #y#le. 1o obtin n *SF "ro+ress ,e&ort, *SF Filers must re+ister vi
t'e (ollo3in+ e7mil ddress9 &ro+ress4re&ort6#b&.d's.+ov
1'e emil must &rovide t'e (ollo3in+ in(ormtion9
[ FilerLs #or&orte nme
[ Filer #ode used (or (ilin+ Se#urity Filin+s
[ "oint o( Cont#t
56
[ "oint o( Cont#tLs tele&'one number
[ Cor&orte emil ddress to 3'i#' to send t'e "er(ormn#e ,e&ort.
C!" my #ont#t t'e "oint o( Cont#t to veri(y t'e &rovided in(ormtion.
2. =ill *SF *m&orters be ble to re+ister nd obtin #o&y o( t'eir *SF "ro+ress
,e&ortM
C!" #urrently llo3s 1ier / C71"A1 nd 1ier 2 C71"A1 members t'e o&&ortunity to
re+ister 3it' C!" to re#eive t'eir *SF "ro+ress ,e&orts dire#tly (rom C!". All ot'er *SF
im&orters must obtin #o&y o( t'eir *SF "ro+ress ,e&ort (rom t'eir ut'oriRed *SF
Filer.
"lese send n emil mess+e to &ro+ress4re&ort6#b&.d's.+ov 3it' t'e (ollo3in+
in(ormtion9
Com&ny nme
C71"A1 1ier Aevel
"oint o( #ont#t
"oint o( #ont#t tele&'one
*O, numbers to be in#luded in t'e re&orts
>7mil ddress to 3'i#' t'e re&orts 3ill be sent
A detiled trns#tion bsed re&ort is utomti#lly &rovided but only to C71"A1 1ier /
im&orters. Jou do not need to si+n u& (or t'is re&ort i( you quli(y, but you must (irst si+n
u& (or t'e im&orter re&ort by &rovidin+ t'e in(ormtion listed bove.
/. @o3 is C!" 3%#SU:I(2 "I3%LI(%SS on t'e *SF "ro+ress ,e&ortsM
1'e timeliness se#tion o( t'e *SF "ro+ress ,e&ort is bsed u&on t'e veel !eparture
!ate minu "# hour$
*( #rrier 's re#eived n e2em&tion to t'e 2E @our <ni(est ,ule (or t'e timin+
&rovision o( t'e mni(est dt (or #ertin #r+o s'i&ments, i.e., )e2em&t- brek bulk, t'e
*SF is not required until 2E 'ours &rior to vessel rrivl into t'e United Sttes. At t'is
time, C!" is not s&e#i(i#lly mesurin+ t'e timeliness o( t'ese )e2em&t- brek bulk
s'i&ments.
E. =ill t'e *SF "ro+ress ,e&orts be used by C!" s n en(or#ement toolM
1'e *SF "ro+ress ,e&orts 3ere not desi+ned to 'el& C!" en(or#e t'e ne3 dt
requirements. 1'ey re merely intended s +uide to 'el& im&orters nd (ilers +u+e
t'eir level o( &rti#i&tion. C!" 3ill evlute instn#es o( non7#om&lin#e on #se7by7
#se bsis nd 3ill #onsider (#tors surroundin+ &otentil violtions be(ore &&lyin+
en(or#ement #tions.
57
5. @o3 do * +et my trns#tionl *SF dtM =ill C!" &rovide ##ess to my
trns#tionl dt in t'e (utureM
C!" only &rovides trns#tionl *SF dt to 1ier / C71"A1 im&orters u&on request. At
t'is time, ll ot'er im&orters need to obtin t'e trns#tionl level dt dire#tly (rom
t'eir servi#e &roviders $i.e., brokers, +ents, (ilers%.
C!" is in t'e &ro#ess o( develo&in+ dt 3re'ouse t't 3ill llo3 im&orters t'e
bility to #rete nd e2tr#t re&orts (rom C!"O t'is 3ill in#lude t'e #&bility to obtin
trns#tionl dt. C!" 3ill mke every e((ort to de&loy t'is #&bility to 1ier / nd 1ier
2 C71"A1 im&orters sometime in t'e Fll o( 2000.
:%'&:4 L%%PI(2 :%AUI:%3%("S
0. ='t re t'e im&orterLs re#ordkee&in+ requirements (or n *SF (ilin+M
1'e ne3 re+ultions do not #ontin s&e#i(i# re#ord kee&in+ requirements ot'er t'n
retention o( &o3ers o( ttorney $see 0H CF, 0EH.5$#%%. @o3ever, *SF &rties s'ould
retin re#ords ne#essry to demonstrte #om&lin#e 3it' *SF (ilin+ requirements. *n
ddition, t'e +enerl 0H U.S.C. V 0508 re#ordkee&in+ requirements my be &&li#ble
to t'e *SF (iler.
:%"U:(%4 &: :%FUS%4 SBIP3%("S 9Includes U5S5 2oods :eturned<
#5 2eneral
0. *( #ontiner is loded on vessel in t'e U.S. nd +oes (orei+n but is not unlden
until it returns to t'e U.S., 3't re t'e *SF (ilin+ requirementsM
An *SF is not required (or #r+o lden in t'e U.S. t't +oes (orei+n but is not unlden
until it returns to t'e U.S.
2. *( #r+o is re(used dmission by (orei+n #ountry (ter 'vin+ been e2&orted (rom
t'e U.S. nd t'e #r+o 's not le(t t'e #ustody o( t'e #rrier or t'e (orei+n #ustoms
servi#e, 3ill su#' #r+o require n *SFM
*( t'e #r+o 3s loded t (orei+n &ort on bord vessel destined (or t'e U.S., n *SF
must be submitted.
$5 U5S5 2oods :eturned:
58
0. Are t'ere or 3ill t'ere be e2#e&tions to t'e *SF (ilin+ requirements (or U.S. +oods
returnedM
*SFs re required (or U.S. +oods returned.
2. For U.S. +oods returned, s'ould t'e @1SUS C'&ter H8 number or t'e @1SUS
#ommodity number be &rovidedM
For U.S. +oods returned, bot' t'e @1SUS C'&ter H8 number nd t'e @1SUS
#ommodity number re required.
/. For U.S. +oods returned, #n t'e mnu(#turer $su&&lier% be U.S. #om&nyM
1'e mnu(#turer $su&&lier% #n be U.S. #om&ny i( t'e &rty t't lst mnu(#tured,
ssembled, &rodu#ed, or +re3 $or su&&lied% t'e #ommodity is U.S. #om&ny.
E. *( my s'i&ment #ontins mi2 o( U.S. 5oods ,eturned nd (orei+n mnu(#tured
+oods, 3'i#' *SF #oded trns#tion ty&e s'ould * useM 1y&e 00 or 1y&e 0.M
*( U.S. +oods re #ommin+led or mi2ed 3it' non7U.S. +oods, t'e )1y&e 00- Stndrd
#oded trns#tion ty&e s'ould be used. 1'e )1y&e 0.- U.S. 5oods ,eturned #oded
trns#tion ty&e is reserved (or t'ose s'i&ments t't #onsist entirely o6 U5S5 goods.
SPLI"S! 4IP%:SI&(S and :&LLI(2 o6 '#:2&
0. On some o##sions, (ter vessel de&rts, our s'i&ments +et )s&lit- nd sent to ne3
destintions. ?o 3e need to &rovide ne3 *SFs (or t'ese s&lit s'i&mentsM

No. *( ne3 bills o( ldin+ re introdu#ed into A<S (or t'ese s'i&ments, t'e ori+inl *SF
3ill need to be u&dted $mended% 3it' t'ese ne3 bills o( ldin+. *n ddition, t'e *SF
*m&orter or t'eir +ent must lso u&dte ny ot'er dt elements t't my 've
#'n+ed su#' s t'e S'i& 1o "rty nme:ddress.
2. On some o##sions, 3e 've to )s&lit- s'i&ment onto t3o di((erent vessels. On
ot'ers, t'e #rrier rolls my #r+o (or t'eir #onvenien#e. ?o * need to &rovide t3o
se&rte *SFs (or t'ese s'i&mentsM
Jes. *n t'ese instn#es, t'e s'i&ments must e#' be ssi+ned unique bill o( ldin+
number so t3o se&rte *SFs #n be (iled.
S":U'"U:%4 :%PI%= P%:I&4
59
0. @o3 3ill n im&orter demonstrte to C!" t't t'ey re mkin+ Pstis(#tory &ro+ress
to3rds #om&lin#eMP
C!" 3ill #onsider t'e totlity o( t'e #ir#umstn#es, on #se7by7#se bsis, 3'en
mkin+ t'is determintion. *SF *m&orters s'ould retin do#umenttion demonstrtin+
t'e ste&s t't 3ere tken durin+ t'e stru#tured revie3 nd (le2ible en(or#ement &eriod.
$See *SF ",O5,>SS ,>"O,1S%
":#(S3ISSI&( 3%"B&4S
$See lso9 A!*, AC>, nd C>SS>A S1O= "AANS%
0. @o3 must *SF in(ormtion be submitted to C!"M
1'e *SF my only be submitted t'rou+' A<S or A!*.
U(IFI%4 ISF.10 and %(":C FILI(2S
0. * 've question on 'o3 t'e uni(ied (ilin+ is +oin+ to 3ork under t'e *SF.
<ny o( our s'i&ments re sent in7bond (rom t'e unldin+ &ort to t'e &ort o( entry. 1'is
in(ormtion 3ill most likely not be vilble i( 3e ttem&t to (ile uni(ied (ilin+.
"lese e2&lin 'o3 t'e uni(ied (ilin+ 3ill 3ork 7 does ll t'e entry dt need to be
submittedM
Uni(ied entry is not vilble (or in bond entries. Under t'is s#enrio, t'e *SF *m&orter or
its +ent must use t'e stnd lone *SF (ilin+ &ro#ess.

2. For uni(ied entry (ilin+, i( t'e entry is re8e#ted 3ill t'e *SF (ilin+ be utomti#lly
re8e#ted s 3ellM
1'e *SF (ilin+ 3ill not be re8e#ted merely be#use n entry (ilin+ is re8e#ted.
/. For uni(ied entry, 3'en do duties 've to be &idM
All entries 3ill be &ro#ess in ##ordn#e 3it' ll #urrent l3s nd re+ultions. 1'is
in#ludes uni(ied entries.

P%SS%L S"&= PL#(S
6$
#5 :esponsi8ility to File:
0. ?oes n *SF *m&orter need to submit vessel sto3 &lns or #ontiner sttus
mess+esM

No. Crriers must submit vessel sto3 &lns nd #ontiner sttus mess+es.
$5 %7emptions:
0. Are vessels e2#lusively #rryin+ bulk nd brek7bulk #r+o e2em&t (rom t'e
requirement to &rovide vessel sto3 &lnM
Jes. Cessels e%cluively #rryin+ bulk nd brek7bulk #r+o re e2em&t (rom t'e
requirement to &rovide vessel sto3 &ln.
2. Are ,o,o vessels e2em&t (rom t'e requirement to &rovide vessel sto3 &lnM
Jes, s lon+ s t'ere is no #ontineriRed #r+o bord.
'5 %.mail #ddress:
0. "lese dvise t'e emil ddress t't t'e #rrier #n submit t'e sto3 &ln to.
1o submit sto3 &ln (ile by e7mil, #rrier or its +ent needs only emil it s .t2t
tt#'ment to sto3&ln6#b&.d's.+ov. !e dvised t't t'e C!" system 3ill only ##e&t
one sto3 &ln (ile &er e7mil.
45 Formats:
0. Are 3e ble to submit sto3 &lns by emil in <i#roso(t >2#el (ormtM
C!" 3ill ##e&t t'e S<?5 $smd+.or+% versions o( t'e UN>?*FAC1 !A"A*> sto3 &ln.
C!" is develo&in+ <S >2#el (ormtted vessel sto3 &ln t'n my be used by #rriers
3'o do not #urrently use UN>?*FAC1 !A"A*>s t t'is time. ,equests to use t'is
lterntive (ormt 3ill be revie3ed nd &&roved on limited nd #se by #se bsis.
%5 #mendments:
0. Clri(i#tion is needed re+rdin+ 3'i#' #'n+es or errors, i( ny, ot'er t'n
&reviously unre&orted #ontiner, 3ould 3rrnt sto3 &ln mendment, nd 3'en or
'o3 (requently t'ey 3ould need to be (iled. *t is understood t't i( #rrier (ound sto3
61
&ln error re(le#tin+ on t'e &resen#e o( &reviously unre&orted #ontiner onbord, n
immedite mendment 3ould be needed.
Sto3 &lns must be #om&lete, ##urte, nd timely. @o3ever, C!" 3ill #onsider t'e
s&e#i(i# violtion$s% 3'en determinin+ miti+tion.
2. =e normlly list t'e 6lat.racM equi&ment number on our vessel sto3 &ln, but use
t'e desi+ntor o( )NC- or )not7#ontineriRed- on t'e #ustoms mni(est. S'ortly (ter 3e
send in t'e sto3 &ln to C!", 3e re#eive 3rnin+ mess+e b#k t't t'e 6lat.racM is
#onsidered )unmni(ested-. ='t s'ould 3e doM
*n t'ese instn#es, t'e #rrier s'ould +o b#k into t'e mni(est s soon s it be#omes
3re o( t'is issue nd u&dte t'e equi&ment number (ield to re(le#t t'e (lt7r#kLs
equi&ment number.
/. ='t )SCAC- s'ould 3e use (or s'i&&er o3ned #ontiners on t'e !A"A*>M 1'ese
#ontiners do not 've n #tul SCAC sso#ited 3it' t'em.
*n order (or t'e #ontiner numbers to mt#' bet3een t'e vessel sto3 &ln nd
t'e mni(est, t'e )SCAC- #odes need to mt#'. C!" is 3orkin+ on develo&in+ #ode
t't #n be used to denote t'e &resen#e o( s'i&&er o3ned #ontiner. On#e t'e #ode
is &ut into e((e#t, it s'ould be used on bot' t'e vessel sto3 &ln $!A"A*>% s 3ell s in
t'e mni(est. 1'e #ode 3ill most likely be )1111-, but is sub8e#t to #'n+e. "lese red
t'e ltest im&lementtion +uide.
H1
62

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