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Importer Security Filing and
Additional Carrier Requirements
September 2013
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Today’s Presentation
Compliance Update
Enforcement Strategy
Q & A
1. Importer of Record Number 2. Consignee Number
3. Seller (Owner) name/address 4. Buyer (Owner) name/address 5. Ship-to Party
6. Manufacturer (Supplier) name/address 7. Country of Origin
8. Commodity HTS-6
9. Container Stuffing Location
10. Consolidator (Stuffer) name/address 11. Bill of Lading Number (house or reg.) 12. ISF Importer
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ISF-10 Data Elements
U.S.-bound Cargo (3461 Entries, IT, FTZ)
CBP Form 3461
ISF Filing Requirements
Before an ISF can be
considered finished, it must be Complete, Accurate, and Timely.
The responsibility rests
with the ISF Importer!
The check for ISF completeness is mostly done by system edits
The ISF Filer receives an initial system notification message:
Accepted
Accepted with Warning (an update may be required)
Postal Code was not provided
All flexible filings must be updated
Rejected (must start over)
Bill of lading number is missing or in incorrect format
Some of the ISF data were missing
If the ISF is accepted, CBP sends a unique transaction number
Electronic receipt that an ISF was submitted and accepted
Includes a data and time stamp so it can be compared to vessel departure message
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Complete ISF
Accurate ISF
Includes properly matching the ISF to a bill of lading at the lowest level in ACE
A match or no-match message is sent back to the ISF Filer
: S1- Bill on File- Generated when the ISF is matched to an ACE BOL
S2- No Bill Match (Not on File)- Not a great cause of concern; the ISF often precedes the manifest filing
S3- No Bill Match (Not on File)- Still no match 5 days after ISF
S4- No Bill Match (Not on File)- Still no match 20 days after ISF
S5- No Bill Match (Not on File)- Still no match 30 days after ISF
S6- No Bill Match (Wrong Type)
S7- Duplicate ISF by Another Filer
Accurate ISF: ABI Bill of Lading Query
CBP updated the Automated Broker Interface (ABI) bill of lading query to help ISF Filers and ISF Importers obtain the correct bill of lading numbers and bill of lading types to use on their ISFs.
If a bill of lading number is queried requesting related bills, CBP will return the bill type (i.e., master, house, or regular/ocean) as well as related bills.
Note: the bill of lading numbers need to be on file for the query to work
properly. In many instances, the ISF will be filed prior to the manifest being filed.
Timely ISF
CBP regulations generally require that an ISF be submitted electronically no later than 24 hours prior to vessel lading, or anytime prior to lading for FROB
CBP is using the vessel departure message minus 24 hours to better assess ISF timeliness.
Flexible filings MUST be updated as soon as the new information is known, but under no circumstances later than 24 hours prior to arrival
CBP maintains a record of all ISF filings
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ISF Enforcement Strategy
The full compliance date for the 10+2 requirements began on January 26, 2010, which marked the end of a 12-month delayed enforcement period in which CBP provided extensive outreach to educate the trade community on the new requirements. \
CBP at the LA/LB Seaport is currently:
Holding all non-compliant ISF shipments at the terminal until the required ISF is filed.
Once the ISF data is received and a security assessment is made,
additional enforcement actions including Non-Intrusive Inspections (NII) and/or intrusive exams may be initiated.
CBP may also assess liquidated damages of up to $5000 per violation as warranted.
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Enforcement Measures
Informed Compliance Efforts
Public outreach (webinars, meetings, ISF progress reports, etc.)
Informal and formal notification (e.g., warning letters)
Mid-level Compliance Measures
Domestic NII examination manifest holds
Domestic physical examinations
Re-evaluation and possible reduction of C-TPAT status
Strictest Enforcement Measures
Liquidated damages
“ISF Jail” (i.e., lengthier manifest holds)
Suspension or revocation of C-TPAT status
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Common ISF Questions
Which bill of lading number do I use?
Must use the lowest bill of lading transmitted in ACE (house or regular)
Contact your shipper
New ABI query functionality helps
CBP allows the bill of lading number to be updated on the ISF
Do I need to file 24 hours prior to lading of the feeder or mother vessel?
The ISF is due 24 hours prior to lading of the mother vessel
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Top ISF Issues Identified
I didn’t receive the ISF Bill on File match message.
This is common; especially when the ISF filing precedes the filing of the customs manifest (i.e., bill info).
Make sure you (or your agent) annotated the correct bill type on the ISF.
Regular Bill – This bill type is sometimes called an ocean bill and is issued by a carrier. There are no underlying house bills.
House Bill – Typically issued by a NVOCC (sometimes referred to as an automated freight forwarder). A house bill of lading always falls under a carrier’s master bill of lading.
ISFs cannot be filed against master bills
Do NOT Send in a REPLACE to force an ISF-Bill Match message
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Available Resources
www.cbp.gov
• Interim Final Rule
• ISF PowerPoint Presentation
• Frequently Asked Questions (FAQs)
• Copy of the Regulatory Assessment
• Implementation Guides (technical file formats)
• Mitigation Guidelines
• News Releases
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