Importer Create/Update Identity Form (CBP Form 5106) FAQ
Below is a list of frequently asked questions about the Create/Update Importer Identity Form (CBP Form 5106) that were compiled based on the inquiries received during the Importer Account (CBP Form 5106) webinar, which took place on Thursday March 7, 2019.
Do entities that are consignees/ultimate consignees, sold to parties, buyers, etc. need to register as an Importer of Record (IOR) via the “Create/Update Importer Identity Form” (CBP Form 5106)?
Yes. While the term IOR may appear to refer to importers, any individual or organization involved as a party, such as 4811 party, consignee, sold to party, etc., on an Automated Commercial Environment (ACE) based trade transaction will be required to register as an IOR via the CBP Form 5106.
The revised form can be submitted a number of ways. Brokers and self-filers can submit the form electronically through the Automated Broker Interface or through the ACE Portal. Individuals can also submit it to CBP’s Office of Finance at firstname.lastname@example.org or to an Entry Team at a U.S. Port of Entry.
When submitting via paper, how long does it take CBP to input and activate a new importer or consignee who has correctly submitted a revised “Create/Update Importer Identity Form” (CBP Form 5106)?
It typically takes CBP two business days to input and activate a new Importer of Record (IOR).
How long does it typically take CBP to update information for an existing importer or consignee who has correctly submitted a "change of name" or "change of address" request?
It typically takes CBP five business days to update an existing Importer of Record (IOR).
Yes, all the data elements in the third section of the form are optional except when an individual who is requesting a CBP-Assigned Number has a Social Security Number (SSN). In these situations, a contact with an SSN must be provided in block 3J of section three.
Yes, entities submitting the revised form will be required to provide the type of address for their mailing address and, if applicable, their physical location address. They will also have to provide an email address.
A phone number is also required on the new form but that is not a new requirement inasmuch as filers should have provided a phone number in block 19 of the previous version of the CBP Form 5106.
Do individuals and organizations that have already filed an old “Create/Update Importer Identity Form” (CBP Form 5106) have to update their filing to include new mandatory data elements on the revised version of the form?
No, entities with a CBP Form 5106 on file prior to the ACE deployment of the revised form on March 16, 2019, will be “grandfathered-in” and not have to update their information to include the new mandatory data elements. However, all “grandfathered-in” importers or consignees that update their CBP Form 5106 information after the deployment will have to provide all the new mandatory data elements required by the revised form.
When submitting a revised “Create/Update Importer Identity Form” (CBP Form 5106) to a U.S. Port of Entry or CBP’s Office of Finance, does a hard copy have to be physically mailed in or will an emailed scanned copy be accepted?
U.S. Ports of Entry will accept a hard copy of the form received via mail, a faxed copy of the form, or a scanned and emailed copy of the form. CBP’s Office of Finance will only accepted scanned and emailed copies of the form in most situations.
Are electronic signatures accepted on the certification section of the "Create/Update Importer Identity Form" (CBP Form 5106)?
Yes. As with the previous version of the form, CBP will accept electronic signatures on the form.
Are the revised “Create/Update Importer Identity Form” (CBP Form 5106) requirements the same for an importer as a consignee?
Yes, data elements that are mandatory for an importer will also be mandatory for a consignee.
What should Customs Brokers do when they do not know the phone number, email address, or address type(s) for consignees?
In situations where a Customs Broker does not have a phone number and/or email address for a consignee, the broker should select the “Consignee/Ultimate Consignee” option in block 1I of the updated Create/Update Importer Identity Form (CBPF 5106) and provide their own organization’s phone number and email address in blocks 2C and 2E.
If a broker is unaware of the type of address that has been provided by a consignee, the broker should make sure that the “Consignee/Ultimate Consignee” option is selected in block 1I, then select the “Other” option under type of address, and provide “Unknown” as the other explanation under type of address. It should be noted that if “Other” is selected for the type of mailing address in block 2A, a physical location address will have to be provided. If the mailing address is the same as the physical address but the type of address is unknown, the mailing address with the “Other” “Unknown” address type provided in block 2A will have to be re-entered as the physical location address in block 2B with the same “Other” “Unknown” address type.
Please note that CBP recommends updating this information to reflect the consignee’s actual phone number, email address, and type(s) of address within 30 days of initially submitting the CBP Form 5106.
If a revised “Create/Update Importer Identity Form” (CBP Form 5106) is submitted electronically, does the Customs Broker who processed it need to retain a signed copy of the form?
To comply with the recordkeeping requirements outlined in 19 CFR 163, a soft copy of the signed CBP Form 5106 should be retained by the Customs Broker and be available to be provided to CBP upon request.
No, only one 32 alphanumeric character DIV/AKA/DBA name may be provided per IOR number.
However, if an IOR was created using an IRS provided Employer Identification Number (EIN) additional “DIV/AKA/DBA” names could be added using the EIN by submitting a new CBP Form 5106 add request with the importer’s 9-digit EIN and a new two alphanumeric character division suffix. It should be noted that the suffix, per 19 CFR 24.5(d), cannot contain "O", "Z", and "I".
Doing this allows the IOR's owner to provide two additional names, one in block 1A and another in block 1D, that are linked to their EIN using a separate division suffix. Multiple division suffix based IORs can be created using the same EIN.
Will the process for PMS 5106 Actions, which involves writing PMS activation on the top of the form and emailing it to PERIODICSTATEMENT@cbp.dhs.gov, remain the same once the "Create/Update Importer Identity Form" (CBP Form 5106) has been deployed?
Yes, the request process will be the same but the new form will need to be submitted.
Will type of address, under blocks 2A and 2B, “Phone number” in block 2C, and “Email address” in block 2E be required for PMS 5106 activations?
While mailing address, 2A, and, in certain situations, physical location address, 2 B, are required, address type, phone number, and email address are not required for PMS 5106 activations. It should be noted that these data elements are only waived for PMS 5106 activations. Under all other circumstances, they will need to be submitted.
Can importers or consignees who have a Social Security Numbers (SSNs) request a CBP-Assigned Number on the new form?
Yes, individuals with an SSN may request a CBP-Assigned Number. They can do this by selecting the “I have an SSN, but wish to use a CBP-Assigned Number on all my entry documents” option in block 1E. However, if this option is selected a contact with a SSN must be provided in block 3J of the third section of the form.
Can importers or consignees who do not have a Social Security Number (SSN) request a CBP-Assigned Number?
Yes, individuals or organizations without an SSN or EIN may request a CBP-assigned number by selecting the appropriate options that apply to their business under Block 1E. Unlike individuals with an SSN who request a CBP-Assigned Number, individuals with no SSN or EIN will be able to request a CBP-Assigned Number without providing a contact in Block 3J.
Do importers or consignees with a CBP-Assigned Number have to submit a paper version of the new “Create/Update Importer Identity Form” (CBP Form 5106) to either a U.S. Port of Entry or CBP’s Office of Finance to update their information?
No, “Change of name”, “Change of address”, and other updates for importers or consignees with a CBP-Assigned Number may be submitted through the Automated Broker Interface.
Do importers or consignees requesting a CBP-Assigned Number for the first time have to submit a paper version of the new “Create/Update Importer Identity Form” (CBP Form 5106) to either a U.S. Port of Entry or CBP’s Office of Finance?
No, importers or consignees may request CBP-Assigned Numbers through the Automated Broker Interface.
When filling out the "Create/Update Importer Identity Form" (CBP Form 5106), is it better to leave the state blank or provide “FN” per the revised form’s instructions?
CBP requests that the code “FN” is provided when there is no two alphanumeric character state code. State information should not be left blank.
Are entities still able to input two-digit division suffixes for Importers of Records (IORs) registered with Employer Identification Numbers (EINs) on the revised form?
Yes, an entity may provide their nine-digit EIN and add a two-digit suffix of their choosing at the end of it for one or more of their divisions.
It should be noted that a new “Create/ Update Importer Identity Form” (CBP Form 5106) must be submitted for each division suffix being added to an EIN and that the division of (DIV) option should be selected in block 1C and the name of the parent company provided in block 1D.
Entities that register with an EIN that do not provide a suffix should be defaulted to a suffix of “00”.