19 CFR Appendix to Part 163 - Interim (a)(1)(A) List

Updated to:December 2005
CONTENT

TITLE 19 - CUSTOMS DUTIES

CHAPTER I - BUREAU OF CUSTOMS AND BORDER PROTECTION, DEPARTMENT OF HOMELAND SECURITY; DEPARTMENT OF THE TREASURY

PART 163 - RECORDKEEPING

Appendix to Part 163 - Interim (a)(1)(A) List

List of Records Required for the Entry of Merchandise General Information (1) Section 508 of the Tariff Act of 1930, as amended (19 U.S.C. 1508), sets forth the general recordkeeping requirements for Customs-related activities. Section 509 of the Tariff Act of 1930, as amended (19 U.S.C.

1509) sets forth the procedures for the production and examination of those records (which includes, but is not limited to, any statement, declaration, document, or electronically generated or machine readable data).

(2) Section 509(a)(1)(A) of the Tariff Act of 1930, as amended by title VI of Public Law 103182, commonly referred to as the Customs Modernization Act (19 U.S.C. 1509(a)(1)(A)), requires the production, within a reasonable time after demand by the Customs Service is made (taking into consideration the number, type and age of the item demanded) if such record is required by law or regulation for the entry of the merchandise (whether or not the Customs Service required its presentation at the time of entry). Section 509(e) of the Tariff Act of 1930, as amended by Public Law 103182 (19 U.S.C. 1509(e)) requires the Customs Service to identify and publish a list of the records and entry information that is required to be maintained and produced under subsection (a)(1)(A) of section 509 (19 U.S.C. 1509(a)(1)(A)). This list is commonly referred to as the (a)(1)(A) list.

(3) The Customs Service has tried to identify all the presently required entry information or records on the following list. However, as automated programs and new procedures are introduced, these may change.

In addition, errors and omissions to the list may be discovered upon further review by Customs officials or the trade. Pursuant to section 509(g), the failure to produce listed records or information upon reasonable demand may result in penalty action or liquidation or reliquidation at a higher rate than entered. A recordkeeping penalty may not be assessed if the listed information or records are transmitted to and retained by Customs.

(4) Other recordkeeping requirements: The importing community and Customs officials are reminded that the (a)(1)(A) list only pertains to records or information required for the entry of merchandise. An owner, importer, consignee, importer of record, entry filer, or other party who imports merchandise, files a drawback claim or transports or stores bonded merchandise, any agent of the foregoing, or any person whose activities require them to file a declaration or entry, is also required to make, keep and render for examination and inspection records (including, but not limited to, statements, declarations, documents and electronically generated or machine readable data) which pertain to any such activity or the information contained in the records required by the Tariff Act in connection with any such activity, and are normally kept in the ordinary course of business. While these records are not subject to administrative penalties, they are subject to examination and/or summons by Customs officers. Failure to comply could result in the imposition of significant judicially imposed penalties and denial of import privileges.

(5) The following list does not replace entry requirements, but is merely provided for information and reference. In the case of the list conflicting with regulatory or statutory requirements, the latter will govern.

List of Records and Information Required for the Entry of Merchandise The following records (which include, but are not limited to, any statement, declaration, document, or electronically generated or machine readable data) are required by law or regulation for the entry of merchandise and are required to be maintained and produced to Customs upon reasonable demand (whether or not Customs required their presentation at the time of entry). Information may be submitted to Customs at the time of entry in a Customs authorized electronic or paper format. Not every entry of merchandise requires all of the following information. Only those records or information applicable to the entry requirements for the merchandise in question will be required/mandatory.

The list may be amended as Customs reviews its requirements and continues to implement the Customs Modernization Act. When a record or information is filed with and retained by Customs, the record is not subject to recordkeeping penalties, although the underlying backup or supporting information from which it is obtained may also be subject to the general record retention regulations and examination or summons pursuant to 19 U.S.C. 1508 and 1509. (All references, unless otherwise indicated, are to the current edition of title 19, Code of Federal Regulations, as amended by subsequent Federal Register documents.) I. General list of records required for most entries. Information shown with an asterisk (*) is usually on the appropriate form and filed with and retained by Customs: 141.11 through 141.15Evidence of right to make entry (airway bill/bill of lading or *carrier certificate, etc.) when goods are imported on a common carrier 141.19*Declaration of entry (usually contained on the entry summary or warehouse entry) 141.32Power of attorney (when required by regulations) 141.54Consolidated shipments authority to make entry (if this procedure is utilized) 142.3Packing list (where appropriate) 142.4Bond information (except if 10.101 or 142.4(c) applies) Parts 4, 18, 122, 123*Vessel, Vehicle or Air Manifest (filed by the carrier) II. The following records or information are required by 141.61 on Customs Form (CF) 3461 or CF 7533 or the regulations cited. Information shown with an asterisk (*) is contained on the appropriate form and/or otherwise filed with and retained by Customs: 142.3, 142.3a*Entry Number *Entry Type Code *Elected Entry Date *Port Code 142.4*Bond information 141.61, 142.3a*Broker/Importer Filer Number 141.61, 142.3*Ultimate Consignee Name and Number/street address of premises to be delivered 141.61*Importer of Record Number *Country of Origin 141.11*IT/BL/AWB Number and Code *Arrival Date 141.61*Carrier Code *Voyage/Flight/Trip *Vessel Code/Name *Manufacturer ID Number (for AD/CVD must be actual mfr.) *Location of Goods-Code(s)/Name(s) *U.S. Port of Unlading *General Order Number (only when required by the regulations) 142.6*Description of Merchandise 142.6*HTSUSA Number 142.6*Manifest Quantity *Total Value *Signature of Applicant III. In addition to the information listed above, the following records or items of information are required by law and regulation for the entry of merchandise and are presently required to be produced by the importer of record at the time the Customs Form 7501 is filed: 141.61*Entry Summary Date 141.61*Entry Date 142.3*Bond Number, Bond Type Code and Surety code 142.3*Ultimate Consignee Address 141.61*Importer of Record Name and Address 141.61*Exporting Country and Date Exported *I.T. (In-bond) Entry Date (for IT Entries only) *Mode of Transportation (MOT Code) 141.61*Importing Carrier Name 141.82Conveyance Name/Number *Foreign Port of Lading *Import Date and Line Numbers *Reference Number *HTSUS Number 141.61*Identification number for merchandise subject to Anti-dumping or Countervailing duty order (ADA/CVD Case Number) 141.61*Gross Weight *Manifest Quantity 141.61*Net Quantity in HTSUSA Units 141.61*Entered Value, Charges, and Relationship 141.61*Applicable HTSUSA Rate, ADA/CVD Rate, I.R.C. Rate, and/or Visa Number, Duty, I.R. Tax, and Fees (e.g. HMF, MPF, Cotton) 141.61Non-Dutiable Charges 141.61*Signature of Declarant, Title, and Date *Textile Category Number 141.83, 141.86Invoice information which includes, e.g., date, number, merchandise (commercial product) description, quantities, values, unit price, trade terms, part, model, style, marks and numbers, name and address of foreign party responsible for invoicing, kind of currency Terms of Sale Shipping Quantities Shipping Units of Measurements Manifest Description of Goods Foreign Trade Zone Designation and Status Designation (if applicable) Indication of Eligibility for Special Access Program (9802/GSP/CBI) 141.89CF 5523 Part 141Corrected Commercial Invoice 141.86 (e)Packing List 177.8*Binding Ruling Identification Number (or a copy of the ruling) 10.102Duty Free Entry Certificate (9808.00.30009 HTS) 10.108Lease Statement IV. Documents/records or information required for entry of special categories of merchandise (the listed documents or information is only required for merchandise entered [or required to be entered] in accordance with the provisions of the sections of 19 CFR [the Customs Regulations] listed). These are in addition to any documents/records or information required by other agencies in their regulations for the entry of merchandise: 4.14CF 226 Information for vessel repairs, parts and equipment 7.3(f)CF 3229 Origin certificate for insular possessions Shipper's and importer's declaration for insular possessions Part 10Documents required for entry of articles exported and returned: 10.1 through 10.6Foreign shipper's declaration or master's certificate, declaration for free entry by owner, importer or consignee 10.7Certificate from foreign shipper for reusable containers 10.8Declaration of person performing alterations or repairs Declaration for non-conforming merchandise 10.9Declaration of processing 10.24Declaration by assembler Endorsement by importer 10.31, 10.35Documents required for Temporary Importations Under Bond: Information required, Bond or Carnet 10.36Lists for samples, professional equipment, theatrical effects Documents required for Instruments of International Traffic: 10.41Application, Bond or TIR carnet Note: additional 19 U.S.C. 1508 records: see 10.41b(e) 10.43Documents required for exempt organizations 10.46Request from head of agency for 9808.00.10 or 9808.00.20 HTSUS treatment Documents required for works of art 10.48Declaration of artist, seller or shipper, curator, etc.

10.49, 10.52Declaration by institution 10.53Declaration by importer USFWS Form 3177, if appropriate 10.59, 10.63Documents/CF 5125 for withdrawal of ship supplies 10.66, 10.67Declarations for articles exported and returned 10.68, 10.69Documents for commercial samples, tools, theatrical effects 10.70, 10.71Purebred breeding certificate 10.84Automotive Products certificate 10.90Master records and metal matrices: detailed statement of cost of production 10.98Declarations for copper fluxing material 10.99Declaration of non-beverage ethyl alcohol, ATF permit 10.101 through 10.102Stipulation for government shipments and/or certification for government duty-free entries, etc.

10.107Report for rescue and relief equipment 15 CFR part 301Requirements for entry of scientific and educational apparatus 10.121Certificate from USIA for visual/auditory materials 10.134Declaration of actual use (When classification involves actual use) 10.138End Use Certificate 10.171 through 10.178Documents, etc. required for entries of GSP merchandise, GSP Declaration (plus supporting documentation) 10.174Evidence of direct shipment 10.179Certificate of importer of crude petroleum 10.180Certificate of fresh, chilled or frozen beef 10.183Civil aircraft parts/simulator documentation and certifications 10.191 through 10.198Documents, etc. required for entries of CBI merchandise, CBI declaration of origin (plus supporting information) 10.194Evidence of direct shipment 10.199Documents, etc. required for duty-free entry of spirituous beverages produced in Canada from CBI rum, declaration of Canadian processor (plus supporting information) 10.216AGOA Textile Certificate of Origin and supporting records 10.226CBTPA Textile Certificate of Origin and supporting records 10.228CBTPA Declaration of Compliance for brassieres 10.236CBTPA Non-textile Certificate of Origin and supporting records 10.246ATPDEA Textile Certificate of Origin 10.248ATPDEA Declaration of Compliance for Brassieres 10.256ATPDEA Non-textile Certificate of Origin [10.306Evidence of direct shipment for CFTA] [10.307Documents, etc. required for entries under CFTA Certificate of origin of CF 353] [CFTA provisions are suspended while NAFTA remains in effect. See part 181] 10.410US-CFTA Certification of origin and supporting records.

12.6European Community cheese affidavit 12.7HHS permit for milk or cream importation 12.11Notice of arrival for plant and plant products 12.17APHIS Permit animal viruses, serums and toxins 12.21HHS license for viruses, toxins, antitoxins, etc. for treatment of man 12.23Notice of claimed investigational exemption for a new drug 12.26 through 12.31Necessary permits from APHIS, FWS & foreign government certificates when required by the applicable regulation 12.33Chop list, proforma invoice and release permit from HHS 12.34Certificate of match inspection and importer's declaration 12.43Certificate of origin/declarations for goods made by forced labor, etc.

12.61Shipper's declaration, official certificate for seal and otter skins 12.73, 12.80Motor vehicle declarations 12.85Boat declarations (CG5096) and USCG exemption 12.91FDA form 2877 and required declarations for electronics products 12.99Declarations for switchblade knives 12.104 through 12.104iCultural property declarations, statements and certificates of origin 12.105 through 12.109Pre-Columbian monumental and architectural sculpture and murals Certificate of legal exportation Evidence of exemption 12.110Pesticides, etc. notice of arrival 12.118 through 12.127Toxic substances: TSCA statements 12.140Province of first manufacture, export permit number and fee status of softwood lumber from Canada 54.5Declaration by importer of use of certain metal articles 54.6(a)Re-Melting Certificate 102.25NAFTA textile requirements Part 113, Appendix BBond to Indemnify Complainant Under Section 337, Tariff Act of 1930, as Amended Part 114Carnets (serves as entry and bond document where applicable) Part 115Container certificate of approval Part 128Express consignments 128.21*Manifests with required information (filed by carrier) 132.15, 132.17Export certificates, respectively, for beef or sugar-containing products subject to tariff-rate quota.

132.18License, or written authorization, as applicable, for worsted wool fabric subject to tariff-rate quota 132.23Acknowledgment of delivery for mailed items subject to quota 133.21(e), 133.22(c)(3) and 133.23(e)Consent from trademark or trade name holder to import otherwise restricted goods 134.25, 134.36Certificate of marking; notice to repacker 141.88Computed value information 141.89Additional invoice information required for certain classes of merchandise including, but not limited to: Textile Entries: Quota charge Statement, if applicable including Style Number, Article Number and Product Steel Entries: Ordering specifications, including but not limited to, all applicable industry standards and mill certificates, including but not limited to, chemical composition.

143.13Documents required for appraisement entries Bills, statements of costs of production Value declaration 143.23Informal entry: commercial invoice plus declaration 144.12Warehouse entry information 145.11Customs Declaration for Mail, Invoice 145.12Mail entry information (CF 3419 is completed by Customs but formal entry may be required.) Part 148Supporting documents for personal importations Part 151, subpart BScale Weight Part 151, subpart BSugar imports sampling/lab information (Chemical Analysis) Part 151, subpart CPetroleum imports sampling/lab information Out turn Report 24. to 25.Reserved Part 151, subpart EWool and Hair invoice information, additional documents Part 151, subpart FCotton invoice information, additional documents 181.22NAFTA Certificate of origin and supporting records 19 U.S.C. 1356kCoffee Form O (currently suspended) Other Federal and State Agency Documents State and Local Government Records Other Federal Agency Records (See 19 CFR part 12, 19 U.S.C. 1484, 1499) Licenses, Authorizations, Permits Foreign Trade Zones 146.32Supporting documents to CF 214 [T.D. 9856, 63 FR 32946, June 16, 1998; as amended by T.D. 007, 65 FR 5431, Feb 4, 2000; T.D. 0068, T.D. 0067, 65 FR 59666, 59681, Oct. 5, 2000; T.D. 0087, 65 FR 77816, Dec. 13, 2000; T.D. 0117, 66 FR 9647, Feb.

9, 2001; T.D. 0135, 66 FR 21667, May 1, 2001; T.D. 0174, 66 FR 50541, Oct. 4, 2001; T.D. 0236, 67 FR 46588, July 16, 2002; T.D. 0259, 67 FR 62884, Oct. 9, 2002; T.D. 0316, 68 FR 14500, Mar. 25, 2003; CBP Dec. 0428, 69 FR 52600, Aug. 27, 2004; CBP Dec. 0507, 70 FR 10884, Mar. 7, 2005; CBP Dec. 0532, 70 FR 58016, Oct. 5, 2005]