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sheet 1 isf set up process ups importer security filing set up process as of january 26 2010 customs and border protection cbp is enforcing importer security filing isf requirements ...

icon picture XLS Filetype Excel XLS | Posted on 27 Jun 2022 | 3 years ago
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Sheet 1: ISF SET UP PROCESS



UPS Importer Security Filing Set Up Process







As of January 26, 2010, Customs and Border Protection (CBP) is enforcing Importer Security Filing (ISF) requirements; all clients should understand that ISF regulations are in effect now.



For the purposes of this document:

- An ISF Importer may be a U.S. party, or a non-US party (for example, a shipper using DDP terms).

- A UPS account representative may be in operations, customer service, Business Development, or Program Management, may be within the Forwarding, Supplier Management, or Brokerage products, and may be in the U.S., or outside of the U.S.



Typically, the ISF importer notifies their UPS account representative of the intent to engage UPS as their ISF agent.
Alternately, the origin may contact the UPS ISF site contact or account representative shown in the Quote Assist Client Profile to request information from the ISF Importer regarding their nomination of an ISF filer.



ISF-10 or ISF-5 Determination:

In order to determine whether an ISF-10 and / or ISF-5 Profile has to be provided follow the below rules:

- If the HBL or OBL destination (Sea/Air Port of Discharge and/or Place of Delivery) is in the U.S. or Puerto Rico, an ISF-10 is required. If the cargo will be cleared through US Customs at the port of discharge or move from the port of discharge on an I.T. (Immediate Transportation) bond, an ISF-10 is required.

- If the HBL or OBL destination is not in the U.S. or Puerto Rico, but the shipment physically transits the U.S. or Puerto Rico from the first US port on an IE (Immediate Exportation) or T&E (Transportation and Exportation), an ISF-5 is required. An ISF-5 is also required for Freight Remaining On Board (FROB) a vessel that calls the U.S. prior to freight discharge at a non-U.S. port.



When UPS is nominated be the ISF Importer's ISF filer, the UPS account representative provides the ISF importer with tools, such as:

- A document containing ISF definitions (select 10+2_ISF Definitions link)

- A letter template that the importer can use to communicate ISF requirements to supply chain partners (select Client Facing link, then 10+2_ISF_IFR-Origin-Shipper-Client_Letter)



If the ISF importer, the importer of record, the consignee, or the bond holder are not on file with U.S. Customs and Border Protection (CBP), the ISF Importer must contact their broker before their first ISF submission to have a CBP 5106 filed for each of these parties. Submission of an electronic or hard copy CBP5106 form creates a record of the importer with CBP. When UPS is the broker, this is included in the standard importer set up process.


1 ISF Set Up Documents

Below are documents required for ISF set up that the UPS account representative must review with the ISF Importer.






1.1 ISF Pricing Agreement

All ISF Importers nominating UPS (Brokerage or Forwarding) as their ISF agent are required to complete and sign the pricing agreement.

- Pricing Agreement (choose the appropriate tiered pricing agreement, and download or print to send to the ISF importer for signature)

- Pricing Mitigation Procedure (select to review PQR form and instructions)
1.2 ISF Profile Form

ISF Importers nominating UPS as their ISF agent must provide the completed and signed appropriate ISF-10* Profile form. If an ISF Importer wishes to set up multiple business units, after the ISF 10 Profile form is completed for the parent company, the importer may choose to provide profile data for additional businesses on the ISF Profile Addendum tab.

*ISF-10 (tab on this document)

Note: Any special instructions should be communicated to the UPS account representative for confirmation before the client signs the profile documents. Special services or instructions are subject to approval by the UPS operation performing the service.
1.3 ISF Brokerage Transmittal Form

ISF Importers nominating UPS Brokerage to perform their ISF filing must be provided with an ISF Brokerage Transmittal Form*, and agree to send the completed form to their designated ISF brokerage contact for each shipment requiring ISF submission. No variations of the ISF Brokerage Transmittal Form should be used unless a requested modification has been made by UPS Brokerage Compliance.

*ISF Brokerage Transmittal Form
1.4 Power of Attorney (POA)

The ISF Importer must grant a valid Power of Attorney in order for UPS to act as the ISF Agent. An existing Import Power of Attorney (for entry purposes) is sufficient for ISF filing.

- If no existing POA is on file with UPS, and the client wishes to grant a POA for ISF purposes only, the UPS account representative will provide the ISF Importer with an ISF Power of Attorney to be completed, signed, and returned.

- ISF POA (select Client Facing link, then 10+2_ISF POA)

NOTE: A UPS ISF POA is used exclusively for ISF services and cannot be used for customs entry purposes. If the customer is a new UPS Brokerage client, the POA is obtained through the standard set up process.
1.5 Surety Bond

A bond is required for all Regular Filing shipment types. The ISF Importer must provide their bond information on the ISF Profile.

NOTE: A bond is a formal contractual guarantee by one party (the surety) on behalf of a second party (the ISF Importer), made to a third party (CBP) that the second party will fulfill a specified legal, financial and/or performance obligation. The ISF Importer must provide the Bond Activity Type, Bond Holder ID and Bond Type when the enforcement period begins. If an importer does not have a continuous bond, a Surety ID code and Bond Number are also required.


2 Transmittal Documents (used on a transactional, per shipment basis)

When the ISF Importer nominates UPS Forwarding to file at the Origin, the UPS account representative can provide the Forwarding Transmittal document to the ISF Importer to be used to relay ISF information to the ISF agent at origin.
The Forwarding Transmittal document may be used by the ISF Importer or by any of their suppliers to provide consistent information in a standard format. Alternatively (for Forwarding ISF filing only), the ISF Importer may use a document of their choice, providing all required ISF elements are included. Reminder: The ISF Brokerage Transmittal form is required to be provided by the ISF Importer to UPS brokerage for each shipment requiring ISF if UPS brokerage is nominated as the ISF agent and may not be modified without UPS approval.

The ISF importer is responsible to provide UPS with ISF information at least 72 hours prior to container lading for export as follows:

- When UPS Brokerage has been chosen to file ISF, the ISF importer must provide the UPS broker with a completed ISF transmittal form for each shipment requiring ISF

- Brokerage Transmittal Document (Required from the ISF Importer for each ISF transaction)

- When UPS Forwarding has been chosen to file ISF, the ISF importer must ensure that their supplier(s) provide(s) UPS Forwarding with information required for ISF submission for each shipment requiring ISF

- Forwarding Transmittal Document (Optional)


3 UPS Responsibilities
3.1 UPS Account Representative Set Up Document Submission

The signed UPS ISF Profile and/or signed pricing agreement must be submitted to the appropriate set up team, based on whether the ISF Importer designates UPS Brokerage or UPS Forwarding to file the ISF.

- UPS Brokerage as ISF Agent - E-mail ISF Profile and pricing agreement documents to CRG Requests with current brokerage entry processing site(s)

- UPS Forwarding as ISF Agent - E-mail ISF Profile and pricing agreement documents to U.S. ISF Site Contact*

* US ISF Site Contact List

- UPS Trade Direct Accounts - For new accounts e-mail ISF profile and pricing agreement to 'TD Setup Request (VBN9DSP)'
3.2 UPS ISF Set Up Team Responsibilities

The appropriate UPS set up team 1) validates the POA or confirms that a valid POA is on file, 2) confirms that the pricing agreement is signed, and 3) confirms that the ISF Profile is completed and signed, 4) sets up the ISF importer in the appropriate system(s). The CRG group works with U.S. brokerage operations to determine which brokerage office will manage ISF filing for the ISF Importer and communicates in advance with management at that site. The UPS set up group notifies the appropriate UPS operations about UPS's nomination as the ISF agent by the ISF Importer.

A valid POA, an ISF Profile (when applicable), and pricing agreement must be complete, and signed, for the ISF Importer to be set up.
3.3 Invoicing

UPS files ISF records on behalf of the ISF importer and bills the agreed rate to the ISF importer on a per transaction basis (unless otherwise agreed).


4 Reporting

The ISF importer may request CBP ISF Progress Reports from the UPS account representative.

- The UPS account representative generates CBP ISF Progress Reports per instructions.


5 Hybrid Solution: When neither of the standard ISF packages (all ISF filed by Brokerage or all ISF filed by Transportation or Supplier Management) solutions are acceptable to the customer, both UPS Brokerage and UPS Transportation or Supplier Management may submit ISF records. The account must meet the below criteria to qualify:

- UPS Transportation will provide ISF services when UPS is the Transportation or Supplier Management Provider.

- UPS Brokerage will provide ISF services when UPS Brokerage is the broker and UPS is not involved in Transportation or Supplier Management. For brokerage filing, a completed transmittal form is required for each shipment.
5.1 Special Hybrid set up instructions can be found at this link:

Hybrid Customer solution




Sheet 2: ISF10 PROFILE-INSTRUCTIONS
IMPORTER SECURITY FILING (ISF-10) PROFILE INSTRUCTIONS
Note: If an ISF Importer has multiple businesses to set up, after the ISF 10 Profile form is completed for the parent company, the importer may choose to provide profile data for additional businesses on the ISF10 Profile Addendum tab.

FIELD NAME INSTRUCTIONS
Part I - ISF Nomination and Agent Information

Choose One ISF Filing by UPS Forwarding at Origin Select as applicable.
UPS Forwarding will file ISF only for cargo for which UPS is the NVOCC, forwarder, or Supplier Management provider.
ISF Filing by UPS Brokerage Select as applicable.
UPS Brokerage will file ISF only for cargo cleared by UPS. Customs clearance done by UPS Brokerage.
ISF Filing 'Hybrid' Select as applicable.
ISF Filing by UPS Forwarding at Origin for cargo moving on UPS B/L.
ISF Filing by UPS Brokerage for cargo not moving on UPS B/L. Customs clearance done by UPS Brokerage.
ISF Filing by non-UPS ISF Agent Select as applicable.
If selected, include company name, contact name, email address, and phone number of non-UPS ISF agent. NOTE: If UPS is not the ISF agent only Part I and Part II must be completed. No signature required.
Part II - ISF Importer Information


ISF Importer Company Name Company name of the ISF Importer

ISF Importer Company Name Address of the ISF Importer

ISF Importer Primary Contact Name Name of primary contact of the ISF Importer

ISF Importer Contact Email Address Email address of primary contact of the ISF Importer

ISF Importer CMF # UPS account number for the ISF Importer

Importer's Reference Type (optional) Importer reference type that UPS should include in the ISF record; reference information won't be transmitted to CBP. Examples: purchase order number, commercial invoice number, etc.
PART III — ID# and Bond Defaults


ISF Importer ID# Identification Number of the party who will act as ISF importer.
ID Format Examples: Employer ID Number (EIN) (NN-NNNNNNNNN), Social Security Number (SSN) (NNN-NN-NNNN), CBP-Assigned Number (NNNNNN-NNNNN), or Passport Number

ISF Importer ID Type Choose applicable ID Type: Employer ID Number (EIN), Social Security Number (SSN), CBP-Assigned Number, or Passport Number

IOR (Importer of Record) ID# If not the same as the ISF Importer ID#, provide the Importer of Record ID#. This is the ID# of the importer appearing on the US customs entry.
ID Format Examples: Employer ID Number (EIN) (NN-NNNNNNNNN), Social Security Number (SSN) (NNN-NN-NNNN), CBP-Assigned Number (NNNNNN-NNNNN), or Passport Number

IOR ID Type Choose applicable ID Type: Employer ID Number (EIN), Social Security Number (SSN), CBP-Assigned Number, or Passport Number

Consignee ID# If not the same as the ISF Importer ID#, provide the ID# of the party on whose account the goods are being shipped; this is typically the same party as the importer of record on the customs entry. A U.S. consignee ID# must be reported in the case of a DDP shipment having a non-US ISF importer.
ID Format Examples: Employer ID Number (EIN) (NN-NNNNNNNNN), Social Security Number (SSN) (NNN-NN-NNNN), CBP-Assigned Number (NNNNNN-NNNNN), or Passport Number

Consignee ID Type Choose applicable ID Type: Employer ID Number (EIN), Social Security Number (SSN), CBP-Assigned Number, or Passport Number

Bond Activity Type Bond Activity Type is typically "Importer". Other types include Custodian of Bonded Merchandise, Intl Carrier, FTZ Operator, ISF Bond.

Bond Holder ID# Bond Holder ID# is the ID# of the company in whose name the surety bond for the ISF is secured; this is typically the same party as the ISF Importer.
ID Format Examples: Employer ID Number (EIN) (NN-NNNNNNNNN), Social Security Number (SSN) (NNN-NN-NNNN), CBP-Assigned Number (NNNNNN-NNNNN), or Passport Number

Bond Holder ID Type Choose applicable ID Type: Employer ID Number (EIN), Social Security Number (SSN), CBP-Assigned Number, or Passport Number

Bond Type Bond Type is "Continuous" if the ISF importer has a continuous entry bond or continuous ISF-only bond, and "Single Transaction" if not. Enter 3-digit surety company ID if "Single Transaction".

POA (Power of Attorney) Select appropriate box for either Import POA (used for Customs entry purposes, and also valid for ISF) or ISF Only POA (valid only for ISF submission). Also provide the POA expiration date.
PART IV — Supply Chain Party Defaults


(Party Types Listed) For each party type, indicate whether the name and address of the party will vary by shipment, and should be collected for each shipment, or whether the name and address won't vary, and supply the name and address on the Profile-Manufacturers tab and the Profile-Other Parties tab. This is a good opportunity to provide party information that might always be the same for all shipments, such as the Buyer.
PART V — Default Shipment Type and Filing Type


(Shipment Types Listed) Choose a specific shipment type only if UPS should always default to this shipment type; otherwise, check the box for 'Will Vary - obtain at time of shipment'.
Regular Filing: This transaction type covers the vast majority of commercial shipments.
To Order Shipments: Should be used for shipments that have not yet been sold to a buyer in the U.S. Typically used for commodities shipments (e.g., coffee beans, cocoa, etc.).
Household Goods / Personal Effects: Should be used for all household goods & personal effects shipments. This includes shipments for returning military members, other U.S. governmental personnel and their families. No bond is required.
Military / Govt: Only to be used for actual government or military shipments and not the personal effects or household goods of individual government personnel. No bond is required.
Diplomatic Shipment: Only to be used by foreign entities entitled to diplomatic immunity. Returning U.S. diplomatic personnel are not entitled to use this transaction type. No bond is required.
Carnet: Covers shipments arriving under a carnet. No bond is required.
US Returned Goods: Reserved for shipments containing solely U.S. Goods Returned.
FTZ Shipment: Reserved for shipments going into a Foreign Trade Zone.
International Mail: Reserved for USPS mail shipments. No bond is required.
Outer Continental Shelf (OCS) Shipments: Reserved for shipments arriving from a U.S. outer continental shelf point
or from vessels operating over a U.S. OCS point (e.g. rigs, derrick barges, seismic vessels).

(Filing Types Listed) Choose a specific filing type only if UPS should always default to this filing type; otherwise, check the box for 'Will Vary - obtain at time of shipment'.
Compliant Transaction: All required ISF data is included in the ISF record at time of initial submission
Flexible Range: Due to uncertainty at time of initial ISF filing, for any of the four eligible elements (manufacturer, ship to party, HTS#, country of origin), a range of possible data (multiples) has been provided to CBP; at least 24 hours prior to US arrival, the importer must provide the actual/true data for elements for which a range had been provided. Example: Flexible Range can be used when an importer isn't sure of the manufacturer at time of initial filing, and the importer provides Mfr A, Mfr B, and Mfr C. At least 24 hours prior to US arrival, the importer instructs UPS to report the actual manufacturer, ex. Mfr B. At this time, the filing type will be changed to Compliant Transaction and the record will be resubmitted to CBP.
Flexible Timing: If either or both of the consolidator or container stuffing location are unknown at the time of initial
ISF filing, the importer may choose the Flexible Timing filing type, and provide all other required ISF elements; at
least 24 hours prior to US arrival, the ISF record must be amended to include the missing consolidator and/or
container stuffing location, filing type changed to Compliant Transaction, and resubmitted.
Flexible Range and Flexible Timing: Both requirements outlined above are required for this filing type.



PART VI - Special Instructions or Exceptions



Describe any special instructions or exceptions for ISF filing. Any special instructions or exceptions must be agreed to by UPS operations prior to implementation.
PART VII — Email Addresses for ISF Acceptance Messaging

Email Addresses Provide email address(es) of importer, forwarder, and/or shipper who require receipt of the ISF acceptance.
PART VIII — ISF Importer Contact, Certifying that Above Information will be Used for ISF Filing


Printed Name Printed Name of the person completing the declaration and authorizing UPS to use information for ISF filing.

Signature Signature of the person completing the declaration and authorizing UPS to use information for ISF filing.

Date Date form was completed.
PROFILE TABS: Supply Chain Party Defaults (MANUFACTURERS, OTHER PARTIES)
Provide if party information will always be the same across shipments; for instance, if all shipments will be shipped to a single location, to a single buyer, produced by a single manufacturer, always factory loaded, etc.
Alternatively, select appropriate check boxes on the Profile form if this information will vary and must be collected at time of shipment.
TAB: PROFILE-MANUFACTURERS

Manufacturer's Name and Address Name and address of the entity that last manufactures, assembles, produces, or grows the commodity or name and address of the supplier of the finished goods in the country from which they are leaving. In the alternative, the name and address of the manufacturer (or supplier) that is currently required by the import laws, rules and regulations of the US (i.e. entry procedures) may be provided (this is the information that is used to create the existing manufacturer identification (MID) number for entry purposes). Manufacturer information is required for each line item shipper references in Part III. If there are multiple manufacturers, use the ADDL MANUFACTURERS worksheet to insert additional names and address. Insert additional fields as needed. Alternatively, shipper can provide scanned commercial invoice only if many items or invoices exist.
Part Number Part number of each type of commodity. This information is not required in the ISF submission.
Item Description Product description used to apply the Harmonized Tariff Code if one has not been provided by the importer. This information is not required in the ISF submission, but a clear and complete description is critical if UPS will assign the Harmonized Tariff Code.
Tariff Code Duty/statistical reporting number under which the article is classified in the HTSUS. The HTSUS number is required to be provided to at least the 6 digit level and may be provided to the 10 digit level. This element is the same as the “H.S. Number” on the customs entry and is required in the ISF submission.
Quantity Item quantity. This information is not required in the ISF submission.
Country of Orign Country of manufacture, production, or growth of the article, based upon import laws, rules, and regulations of the United States. This element is the same as the “country of origin” on the customs entry and is required in the ISF submission.
TAB: PROFILE-OTHER PARTIES

Select an empty field in the Party Type field and choose a party type from the drop down menu, or type manually.
Seller's Name and Address Name and address of the last known entity by whom the goods are sold or agreed to be sold. If the goods are to be imported otherwise than in pursuance of a purchase, the name and address of the owner of the goods must be provided. (The party required for this element is consistent with the information required on the invoice of imported merchandise to the U.S.)
Ship To Name and Address Name and address of the first deliver-to party scheduled to physically receive the goods after the goods have been released from customs custody.
Buyer's Name and Address Name and address of the last known entity to whom the goods are sold or agreed to be sold. If the goods are to be imported otherwise than in pursuance of a purchase, the name and address of the owner of the goods must be provided. (The party required for this element is consistent with the information required on the invoice of imported merchandise to the U.S.)
Container Stuffing Location Name and Address Name and address of the last physical location where goods were stuffed into the container. For break bulk shipments, the name and address of the physical location where the goods were made “ship ready” must be provided.
Consolidator Name and Address Name and address of the last party who stuffed the container or arranged for the last stuffing of the container. For break bulk shipments, the name and address of the party who made the goods “ship ready” or the party who arranged for the goods to be made “ship ready” must be provided.
TAB: ISF10 PROFILE ADDENDUM

If an ISF Importer has multiple businesses to set up, after the ISF 10 Profile form is completed for the parent company, the importer may choose to provide profile data for additional businesses on the ISF10 Profile Addendum tab.


Sheet 3: ISF10 PROFILE















Importer Profile (v5) for IMPORTER SECURITY FILING (ISF)











ISF-10 Note: If an ISF Importer has multiple businesses to set up, after the ISF 10 Profile form is completed for the parent company, the importer may choose to provide profile data for additional businesses on the ISF10 Profile Addendum tab.










Part I - ISF Nomination and Agent Information






































ISF Agent Company Please provide ISF filer company name





Contact Name Please provide ISF filer contact name





only Part I and Part II must be

Email Please provide ISF filer e-mail





completed. No signature required.

Phone Please provide ISF filer phone number


















Part II - ISF Importer Information











ISF Importer Company Name
Please provide customer / client company name





ISF Importer Address
Please provide customer / client address





ISF Importer Primary Contact Name
Please provide customer / client primary contact name





ISF Importer Contact Email Address
Please provide customer / client primary contact e-mail





ISF Importer CMF #
Please provide customer / client CMF number





Importer's Reference Type (optional)




















PART III — ID# and Bond Defaults











ISF Importer ID#: Provide formatted ID number ID Type: (Choose from list)











Employer ID Number (EIN)


IOR ID#: If not, enter ID#:
Social Security Number



ID Type:
CBP-Assigned Number


Consignee ID#: If not, enter ID#:





Passport Number




ID Type: (Choose from list)






Bond ActivityType:
If other, indicate type:


















Bond Holder ID#: If not, enter ID#:








ID Type: (Choose from list)






Bond Type:
Provide surety code for Single Transaction Bond:















POA: Expiration Date:






PART IV — Supply Chain Party Defaults





Manufacturer




Seller



Ship To Party



Buyer



Container Stuffing Location




Consolidator



PART V - Default Shipment Type and Filing Type




Shipment Type (Choose from list)





Filing Type (Choose from list)


Compliant Transaction


PART VI - Special Instructions or Exceptions (must be agreed upon by UPS operations):





Flexible Range





Flexible Timing




Flexible Range and Timing


















PART VII — Email Addresses for ISF Acceptance Messaging





Regular Filing


Email Address


To Order Shipments


Email Address
Email Address


Household Goods / Pers Eff












Military / Government


PART VIII — ISF Importer Contact, Certifying that Above Information will be Used for ISF Purposes.








Diplomatic Shipment


Printed Name
Date


Carnet


Signature





US Returned Goods


REQUIRED FIELDS IN BOLD



LAST UPDATE TIME: 6/27/2022 3:10

FTZ Shipments












International Mail












Outer Continental Shelf Shpts


The words contained in this file might help you see if this file matches what you are looking for:

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