CBP Requests for Information, How to Respond Without Creating More Risk

1. INTRODUCTION

When U.S. Customs and Border Protection sends a Request for Information, the immediate risk is not only delay or extra work. The bigger risk is that a rushed or incomplete response can expand the scope of CBP review, trigger follow up actions, or create inconsistencies that undermine an importer’s compliance posture. CBP RFIs often arrive during post entry review activities, including review of entry documentation and recordkeeping. In an environment of increased enforcement focus on admissibility, forced labor risk, valuation, tariff classification, and origin claims, an RFI should be treated as a controlled compliance event, with clear ownership, disciplined documentation, and careful alignment to the entry record and supporting records. 

2. REGULATORY OR POLICY CONTEXT

CBP’s authority to request and examine import related records is grounded in federal statute and implementing regulations.

Recordkeeping framework

Importers of record, entry filers, and other covered parties are required to maintain and produce records relating to import transactions under 19 U.S.C. 1508 and 19 CFR Part 163. These authorities establish expectations for retaining records and making them available to CBP upon request.

Examination and inquiry authority

CBP also has authority to examine records relevant to an investigation or inquiry under 19 U.S.C. 1509. This is a core legal basis for CBP to request information connected to entries and related compliance questions.

Operational tools used by CBP

In practice, many RFIs are issued using CBP Form 28, Request for Information, and may be followed by CBP Form 29, Notice of Action, depending on what CBP determines after reviewing the response. Trade users may receive and respond to these forms through the modernized ACE Portal process, which CBP documents in its Quick Reference Guides.

Reasonable care expectations

CBP’s informed compliance publications emphasize the importer’s responsibility to exercise reasonable care. In an RFI context, reasonable care means you respond accurately, timely, and with records that substantiate the declaration made to CBP, without guessing or submitting unsupported claims. aseline performance goals from NIST and CISA can support that governance. 

3. WHAT CBP OR REGULATORS EXPECT

CBP is typically looking for a complete, consistent, and audit ready explanation that ties back to the entry and the underlying commercial reality. A strong response usually has three characteristics: it is responsive to the question asked, it is supported by primary source records, and it is internally consistent across documents.

Practical expectations, audit focused
CBP generally expects the importer and broker to be able to:

1. Identify the impacted entries, line items, and dates quickly.
2. Provide the specific documents that support the filed declaration.
3. Explain how the documents support classification, value, origin, and admissibility decisions.
4. Produce records in an organized format that is easy to review, with clear labeling and cross references.
5. Maintain a clean record of what was submitted, when it was submitted, and to whom.

Common document categories CBP often requests

Your specific request will vary, but RFIs frequently involve one or more of these record types:

1. Entry summary support, including commercial invoice, packing list, bill of lading or airway bill, arrival and release documentation.
2. Pricing and payment support, including purchase orders, contracts, proof of payment, assists, royalties, commissions, and reconciliations when applicable.
3. Classification support, including product descriptions, technical specifications, composition breakdowns, and binding rulings when relevant.
4. Origin and marking support, including supplier origin statements, production records, and bills of material where needed to substantiate claims.
5. Recordkeeping and internal controls evidence, including written procedures or compliance program materials, when the inquiry is broader.

ACE process expectations

If the request is delivered through ACE forms modernization, CBP provides procedures for receiving and responding to Forms 28, 29, and 4647 in the ACE Portal. Following CBP’s workflow reduces the risk of missed deadlines or incomplete submissions. 

4. COMMON COMPLIANCE GAPS

These gaps are observed in audits and recordkeeping examinations. They are preventable, but only with structured controls.

1. Incomplete transaction records
2. Providing isolated documents without the full commercial chain leaves valuation and origin questions unresolved under 19 CFR Part 163.
3. Inconsistencies across documents
4. Differences in pricing, quantities, Incoterms, or product descriptions between entry data and commercial documentation create credibility concerns.
5. Unsupported tariff classification
6. Narrative explanations without technical specifications or composition data do not meet reasonable care expectations.
7. Weak origin substantiation
8. Country of origin declarations must be supported by documentary evidence tied directly to the merchandise entered.
9. Overbroad submissions
10. Submitting excessive unrelated documentation without an index can expand the scope of review.
11. Informal or conflicting internal communications
12. Emails or notes that contradict the formal response can undermine credibility.
13. Failure to reassess when an error is discovered
14. If internal review identifies a potential violation, the response strategy must be evaluated carefully. CBP’s prior disclosure framework is addressed in 19 CFR 162.74, and penalty authority under 19 U.S.C. 1592. These decisions are fact specific and require disciplined evaluation.

5. HOW S. J. STILE ASSOCIATES HELPS

S. J. Stile Associates approaches RFIs as structured compliance events, not administrative tasks.

Our role is advisory and process driven.

We assist importers by:

1. Clarifying scope
2. Identifying precisely what CBP is requesting and isolating the affected entries.
3. Building a document architecture
4. Creating indexed, cross referenced response packages aligned to entry line data.
5. Validating recordkeeping compliance
6. Confirming that records satisfy statutory and regulatory retention and production requirements.
7. Supporting technical substantiation
8. Organizing classification, valuation, and origin evidence into a coherent submission.
9. Coordinating ACE submissions
10. Ensuring responses follow CBP’s modernized forms workflow.
11. Escalation discipline
12. If review identifies a potential compliance exposure, we help evaluate next steps consistent with applicable regulations and the importer’s risk posture.

The objective is clarity, defensibility, and alignment with CBP expectations.

6. FREQUENTLY ASKED QUESTIONS

Q1. Is a CBP Form 28 the same as a penalty notice

No. A Form 28 is a Request for Information. CBP may issue a Form 29 Notice of Action after reviewing the response if it determines an action is necessary.

Q2. What legal authority requires me to provide records

19 U.S.C. 1508 establishes recordkeeping obligations, and 19 U.S.C. 1509 authorizes CBP to examine records relevant to an inquiry. Implementing requirements are in 19 CFR Part 163.

Q3. Should I provide more than what CBP asked for

Only documentation responsive to the request and necessary to substantiate the declaration should be provided. Over submission may increase review scope.

Q4. What if I cannot meet the deadline

Do not ignore the request. Use the communication channel provided, including ACE where applicable, and document all correspondence.

Q5. What if I discover an error while preparing the response

Pause and assess. CBP’s prior disclosure procedures are addressed in 19 CFR 162.74. The appropriate path depends on facts and timing.

Q6. Does CBP publish guidance on reasonable care

Yes. CBP provides Informed Compliance Publications that outline importer obligations regarding reasonable care and recordkeeping.

7. References

CBP Form 28, Request for Information
https://www.cbp.gov/document/forms/cbp-form-28-request-information

Modernized ACE Portal, Receive and Respond to CBP Forms, Quick Reference Guide
https://www.cbp.gov/document/guidance/modernized-ace-portal-cbp-forms-qrg

19 CFR Part 163, Recordkeeping
https://www.ecfr.gov/current/title-19/chapter-I/part-163

19 U.S.C. 1508, Recordkeeping
https://www.cbp.gov/document/guidance/modernized-ace-portal-cbp-forms-qrg

19 U.S.C. 1509, Examination of records
https://www.cbp.gov/document/guidance/modernized-ace-portal-cbp-forms-qrg

19 CFR 162.74, Prior Disclosure
https://www.cbp.gov/document/guidance/modernized-ace-portal-cbp-forms-qrg

19 U.S.C. 1592, Penalties
https://www.cbp.gov/document/guidance/modernized-ace-portal-cbp-forms-qrg

CBP Informed Compliance Publication, Reasonable Care
https://www.cbp.gov/document/publications/reasonable-care

8. Final Thoughts

A CBP Request for Information is a structured regulatory inquiry. It should be managed with documented procedures, indexed records, and disciplined communication.

The goal is not simply to respond. The goal is to respond in a manner that is complete, consistent, and defensible under the reasonable care standard.

Importers who treat RFIs as controlled compliance events are better positioned to close inquiries efficiently and reduce escalation risk.

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Choosing S.J. Stile Associates means partnering with a customs broker that understands the realities of today’s trade environment and is fully invested in protecting your business.

Contact S.J. Stile Associates today to learn how we can strengthen your compliance posture and streamline your supply chain.

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