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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.

General Questions

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.

Where should completed and signed CBP Form 5106s be submitted?

Licensed Customs Brokers with access to the ACE CBP Form 5106 Portal and ABI functionality will be able to create an IOR entity within the ACE Portal.

 

(Note: Members of the trade community who use the CBP Form 5106 Portal will have certain limitations around CBP-Assigned Numbers that members who use the CBP Form 5106 ABI functionality will not have.)

 

For manual input by CBP:

Completed and signed CBP Form 5106s should be emailed to the appropriate Center of Excellence and Expertise (Centers).  The subject of the message should include “New 5106 Add” or “5106 Update” along with the team assignment of the account so that it can easily be routed to the appropriate division.  If the Importer has not been assigned to a Center, the Center should be selected based on the tariff number with the highest value.  For the scope of industries covered by each Center, see the Regulatory Implementation of the Centers of Excellence and Expertise, starting on page 92982. Center email addresses are below:

 

 

Center

Team Codes

New Team Codes

Email Address

Agriculture & Prepared Products

002, 012, 022, 032, 042, 052, 062, 072, 082, 092

B##

CEE-Agriculture@cbp.dhs.gov

Apparel, Footwear & Textiles

004, 014, 024, 034, 044, 054, 064, 074, 084, 094

D##

CEE-Apparel@cbp.dhs.gov

Automotive & Aerospace

003, 013, 023, 033, 043, 053, 063, 073, 083, 093

C##

CEE-Automotive@cbp.dhs.gov      

CEE-Aerospace@cbp.dhs.gov

Base Metals

005, 015, 025, 035, 045, 055, 065, 075, 085, 095

E##

CEE-Basemetals@cbp.dhs.gov

Consumer Products & Mass Merchandising

008, 018, 028, 038, 048, 058, 068, 078, 088, 098

H##

CEE-Consumer@cbp.dhs.gov

Electronics

007, 017, 027, 037, 047, 057, 067, 077, 087, 097

G##

CEE-Electronics@cbp.dhs.gov

Industrial & Manufacturing Materials

009, 019, 029, 039, 049, 059, 069, 079, 089, 099

I##

CEE-IndustrialMaterials@cbp.dhs.gov  

Machinery

010, 020, 030, 040, 050, 060, 070, 080, 090, 180

J##

CEE-Machinery@cbp.dhs.gov

Petroleum, Natural Gas & Minerals

006, 016, 026, 036, 046, 056, 066, 076, 086, 096

F##

CEE-Petroleum@cbp.dhs.gov

Pharmaceutical, Health & Chemicals

001, 011, 021, 031, 041, 051, 061, 071, 081, 091

A##

CEE-Pharmaceuticals@cbp.dhs.gov

 

 

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).

Are the data elements in the “Company Information” section of the form optional?

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.

Are there any new mandatory data elements on the revised “Create/Update Importer Identity Form”?

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.

Can multiple DIV/AKA/DBA names be input on the 5106?

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.

Is there a way to un-void an Importer of Record Number?

Yes, Importer of Record Numbers can be un-voided by emailing an un-void request to bondquestions@cbp.dhs.gov and providing the documentation below:

 

Social Security Number (SSN) Based Numbers:

 

  1. An up-to-date CBP Form 5106

 

  1. An active signed power of attorney (if applicable)

 

  1. IOR Proof (an acceptable IRS document)

 

  • Social Security Number – A copy of the importer’s Social Security card (front & back) or submit a copy of the front page of the importer’s most recent tax return.

 

Internal Revenue Service provided Employer Identification Number (EIN) Based Numbers:

 

  1. An up-to-date CBP Form 5106

 

  1. An active signed power of attorney (if applicable)

 

  1. IOR Proof (an acceptable IRS document)

 

  • Employee Identification Number (EIN) – Pre-printed documentation received from the U.S. Department of Treasury, i.e., Internal Revenue Service (IRS), within the last 12 months that reflects the proper EIN and company name. Examples of IRS tax documentation include the following: 147C, 1040, 2363, 941/941V, SS-4, 1065, 8109/8109C, 7004, 355-ES, 1096, 1120/1120S, etc. You can call 1-800-829-0115 in order to obtain EIN verification (form 147C) if necessary. THE ABOVE DOCUMENTS MUST BE RECEIVED FROM THE IRS, U.S. DEPARTMENT OF TREASURY.

 

  • Note: W-9 applications, SS-4 applications, State documents, and any documentation submitted to the IRS are unacceptable.

 

CBP-Assigned Numbers:

 

  1. An up-to-date CBP Form 5106

 

  1. An active signed power of attorney (if applicable)

Is there a way to re-activate an Importer of Record Number?

Yes, if an IOR number is in “inactive” status, it can be reactivated by emailing an updated and signed CBP Form 5106 to an Entry Specialist at one of CBP’s 10 Centers of Excellence and Expertise (Centers).  The subject of the message should include “IOR Reactivation Request” along with the team assignment of the account so that it can easily be routed to the appropriate division.  If the Importer has not been assigned to a Center, the Center should be selected based on the tariff number with the highest value. For the scope of industries covered by each Center, see the Regulatory Implementation of the Centers of Excellence and Expertise, starting on page 92982. Center email addresses are below:

 

Center

Team Codes

New Team Codes

Email Address

Agriculture & Prepared Products

002, 012, 022, 032, 042, 052, 062, 072, 082, 092

B##

CEE-Agriculture@cbp.dhs.gov

Apparel, Footwear & Textiles

004, 014, 024, 034, 044, 054, 064, 074, 084, 094

D##

CEE-Apparel@cbp.dhs.gov

Automotive & Aerospace

003, 013, 023, 033, 043, 053, 063, 073, 083, 093

C##

CEE-Automotive@cbp.dhs.gov      

CEE-Aerospace@cbp.dhs.gov

Base Metals

005, 015, 025, 035, 045, 055, 065, 075, 085, 095

E##

CEE-Basemetals@cbp.dhs.gov

Consumer Products & Mass Merchandising

008, 018, 028, 038, 048, 058, 068, 078, 088, 098

H##

CEE-Consumer@cbp.dhs.gov

Electronics

007, 017, 027, 037, 047, 057, 067, 077, 087, 097

G##

CEE-Electronics@cbp.dhs.gov

Industrial & Manufacturing Materials

009, 019, 029, 039, 049, 059, 069, 079, 089, 099

I##

CEE-IndustrialMaterials@cbp.dhs.gov  

Machinery

010, 020, 030, 040, 050, 060, 070, 080, 090, 180

J##

CEE-Machinery@cbp.dhs.gov

Petroleum, Natural Gas & Minerals

006, 016, 026, 036, 046, 056, 066, 076, 086, 096

F##

CEE-Petroleum@cbp.dhs.gov

Pharmaceutical, Health & Chemicals

001, 011, 021, 031, 041, 051, 061, 071, 081, 091

A##

CEE-Pharmaceuticals@cbp.dhs.gov

Is there a way to look-up a CBP-Assigned Number?

Yes, licensed Customs Brokers and the Importer of Record (IOR)/Consignee’s employees may ask CBP to lookup a CBP-Assigned Number for their client/employer.

 

License Customs Brokers

 

To lookup a CBP-Assigned Number for a client as a licensed Customs Broker, email an active signed power of attorney with the client’s name and address on it to 5106@cbp.dhs.gov.

 

IOR/Consignee Employee

 

Senior Managers:

 

To lookup a CBP-Assigned Number for your employer if you are a senior manager, simply send an email from your employee email address requesting the CBP-Assigned Number for your employer with your title provided in your signature block to 5106@cbp.dhs.gov

 

Non-Managerial Employees:

 

If you are a not a senior manager at your company, you will need to provide a signed letter from one of your organization’s senior managers (Chief Executive Officer, Chief Financial Officer, President, Vice President, etc.) requesting that CBP looks up the CBP-Assigned Number and provides it to you.

I keep receiving an error message when I try to open the CBP Form 5106 on cbp.gov. Is there something wrong with the form?

The form cannot be opened directly. First, download and save the file to your computer. Then, right click on the file and select “Open with.” Select the Adobe product to open the document. Alternatively, you can first open the Adobe product and then open the file in the program.

My shipment is for personal use only and was not imported for commercial purposes. Do I still need to fill out the CBP Form 5106?

Registering as an Importer of Record (IOR) with CBP is necessary if an entity intends to be involved as an importer, consignee/ultimate consignee, sold to party, 4811 party, etc. on an informal or formal entry. Currently, individuals and organizations do not need to be registered as an IOR with CBP to make a section 321, also referred to as de minimis, entry. De minimis entries are for shipments imported by one person on one day valued at $800 or less.

Periodic Monthly Statement (PMS) 5106 Activations

How can an importer submit a CBP Form 5106 for Periodic Monthly Statement activation?

CBP Form 5106 Periodic Monthly Statement (PMS) activation requests should be emailed to PERIODICSTATEMENT@cbp.dhs.gov.  Please note that the self-filer’s filer code must be provided in bock 3D, even if a licensed Customs Broker is filing the form on the self-filer’s behalf, for the PMS activation request to be accepted.  In addition, the individual submitting the form should write “Periodic Monthly Statement” or “PMS” “activation” on the form’s first page.

 

 

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.

CBP-Assigned Numbers

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.

Form Input Formatting

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”.

Last modified: 
Thursday, September 2, 2021 - 16:28