Appendix to Part 163 - Interim (a)(1)(A) List
List of Records Required for the Entry of Merchandise
(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 103-182, 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 103-182 (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:
through 141.15 Evidence of right to make entry (airway bill/bill of lading or *carrier certificate, etc.) when goods are imported on a common carrier
* Declaration of entry (usually contained on the entry summary or warehouse entry)
Power of attorney (when required by regulations)
Consolidated shipments authority to make entry (if this procedure is utilized)
Packing list (where appropriate)
Bond 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 its electronic equivalent, 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:
* Entry Type Code
* Elected Entry Date
* Port Code
, 142.3a * Broker/Importer Filer Number
, 142.3 * Ultimate Consignee Name and Number/street address of premises to be delivered
* Country of Origin
* Arrival Date
* 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)
* Description of Merchandise
* 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, or its electronic equivalent, is filed:
* Bond Number, Bond Type Code and Surety code
* Ultimate Consignee Address
* Importer of Record Name and Address
* Exporting Country and Date Exported
* I.T. (In-bond) Entry Date (for IT Entries only)
* Mode of Transportation (MOT Code)
* Foreign Port of Lading
* Import Date and Line Numbers
* Reference Number
* HTSUS Number
* Identification number for merchandise subject to Anti-dumping or Countervailing duty order (ADA/CVD Case Number)
* Manifest Quantity
* Entered Value, Charges, and Relationship
* 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)
* Signature of Declarant, Title, and Date
* Textile Category Number
, 141.86 Invoice 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 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)
Part 141 Corrected Commercial Invoice
177.8 * Binding Ruling Identification Number (or a copy of the ruling)
Duty Free Entry Certificate (9808.00.30009 HTS)
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:
CF 226 Information for vessel repairs, parts and equipment
CBP Form 3229, or its electronic equivalent, Origin certificate for insular possessions Shipper's and importer's declaration for insular possessions
Part 10 Documents required for entry of articles exported and returned:
through 10.6 Foreign shipper's declaration or master's certificate, declaration for free entry by owner, importer or consignee
Certificate from foreign shipper for reusable containers
Declaration of person performing alterations or repairs
Declaration for non-conforming merchandise
Declaration of processing
Declaration by assembler Endorsement by importer
, 10.35 Documents required for Temporary Importations Under Bond:
Information required, Bond or Carnet
Lists for samples, professional equipment, theatrical effects
Documents required for Instruments of International Traffic:
Application, Bond or TIR carnet
Documents required for exempt organizations
Request from head of agency for 9808.00.10 or 9808.00.20 HTSUS treatment
Documents required for works of art
Declaration of artist, seller or shipper, curator, etc.
, 10.52 Declaration by institution
USFWS Form 3-177, if appropriate
, 10.63 Documents/CF 5125 for withdrawal of ship supplies
, 10.67 Declarations for articles exported and returned
, 10.69 Documents for commercial samples, tools, theatrical effects
, 10.71 Purebred breeding certificate
Automotive Products certificate
Master records and metal matrices: detailed statement of cost of production
Declarations for copper fluxing material
Declaration of non-beverage ethyl alcohol, ATF permit
through 10.102 Stipulation for government shipments and/or certification for government duty-free entries, etc.
Report for rescue and relief equipment
PTPA records that the importer may have in support of a PTPA claim for preferential tariff treatment, including an importer's certification
15 CFR part 301
Requirements for entry of scientific and educational apparatus
Certificate from the U.S. Department of State
for visual/auditory materials
Declaration of actual use (When classification involves actual use)
through 10.178 Documents, etc. required for entries of GSP merchandise, GSP Declaration (plus supporting documentation)
Certificate of importer of crude petroleum
Certificate of fresh, chilled or frozen beef
Civil aircraft parts/simulator documentation and certifications
through 10.198 Documents, etc. required for entries of CBI merchandise, CBI declaration of origin (plus supporting information)
Documents, etc. required for duty-free entry of spirituous beverages produced in Canada from CBI rum, declaration of Canadian processor (plus supporting information)
AGOA Textile Certificate of Origin
CBTPA Textile Certificate of Origin and supporting records
CBTPA Declaration of Compliance for brassieres
CBTPA Non-textile Certificate of Origin and supporting records
ATPDEA Textile Certificate of Origin
ATPDEA Declaration of Compliance for Brassieres
ATPDEA Non-textile Certificate of Origin
Evidence of direct shipment for CFTA]
Documents, etc. required for entries under CFTA Certificate of origin of CF 353]
[†CFTA provisions are suspended while NAFTA remains in effect. See part 181]
US-CFTA Certification of origin and supporting records.
SFTA records that the importer may have in support of a SFTA claim for preferential tariff treatment, including an importer's supporting statement if previously required by the port director or Center director before January 19, 2017 or the Center director on or after January 19, 2017.
SFTA TPL Certificate of eligibility.
CAFTA-DR records that the importer may have in support of a CAFTA-DR claim for preferential tariff treatment, including an importer's certification.
US-JFTA records that the importer may have in support of a US-JFTA claim for preferential tariff treatment, including an importer's declaration.
.727 AFTA records that the importer may have in support of an AFTA claim for preferential tariff treatment, including an importer's supporting statement.
MFTA records that the importer may have in support of a MFTA claim for preferential tariff treatment, including an importer's declaration.
BFTA records that the importer may have in support of a BFTA claim for preferential tariff treatment, including an importer's declaration.
BFTA TPL certificate of eligibility.
HOPE Act Declaration of Compliance.
OFTA records that the importer may have in support of an OFTA claim for preferential tariff treatment, including an importer's declaration.
OFTA TPL certificate of eligibility.
UKFTA records that the importer may have in support of a UKFTA claim for preferential tariff treatment, including an importer's certification.
.2007 PANTPA records that the importer may have in support of a PANTPA claim for preferential tariff treatment, including an importer's certification.
CTPA records that the importer may have in support of a CTPA claim for preferential tariff treatment, including an importer's certification.
European Community cheese affidavit
HHS permit for milk or cream importation
Notice of arrival for plant and plant products
APHIS Permit animal viruses, serums and toxins
HHS license for viruses, toxins, antitoxins, etc. for treatment of man
Notice of claimed investigational exemption for a new drug
through 12.31 Necessary permits from APHIS, FWS & foreign government certificates when required by the applicable regulation
Chop list, proforma invoice and release permit from HHS
Certificate of match inspection and importer's declaration
Certificate of origin/declarations for goods made by forced labor, etc.
Shipper's declaration, official certificate for seal and otter skins
, 12.80 Motor vehicle declarations
Boat declarations (CG-5096, or its electronic equivalent) and USCG exemption
FDA form 2877 and required declarations for electronics products
Declarations for switchblade knives
through 12.104i Cultural property declarations, statements and certificates of origin
through 12.109 Pre-Columbian monumental and architectural sculpture and murals
Certificate of legal exportation
Evidence of exemption
Pesticides, etc. notice of arrival
through 12.127 Toxic substances: TSCA statements
§ 12.140(b) and (c)
Canadian-issued Export Permit, Certificate of Origin issued by Canada's Maritime Lumber Bureau.
Softwood Lumber Importer Declaration Supporting Documentation, Softwood Lumber Home Packages and Kits Documentation.
Kimberley Process Certificate for rough diamonds.
Declaration by importer of use of certain metal articles
Part 113, Appendix B - Bond to Indemnify Complainant Under Section 337, Tariff Act of 1930
, as Amended
Part 114 Carnets (serves as entry and bond document where applicable)
Part 115 Container certificate of approval
Part 128 Express consignments
* Manifests with required information (filed by carrier)
, 132.17 Export certificates, respectively, for beef or sugar-containing products subject to tariff-rate quota.
License, or written authorization, as applicable, for worsted wool fabric subject to tariff-rate quota
Acknowledgment of delivery for mailed items subject to quota
, 133.22(c)(3) and 133.23(e) Consent from trademark or trade name holder to import otherwise restricted goods
, 134.36 Certificate of marking; notice to repacker
Additional 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.
Documents required for appraisement entries Bills, statements of costs of production Value declaration
Informal entry: commercial invoice plus declaration
Customs Declaration for Mail, Invoice
Mail entry information (CF 3419 is completed by Customs but formal entry may be required.)
Part 148 Supporting documents for personal importations
Part 151, subpart B Scale Weight
Part 151, subpart B Sugar imports sampling/lab information (Chemical Analysis)
Part 151, subpart C Petroleum imports sampling/lab information Out turn Report 24. to 25 - Reserved
Part 151, subpart E Wool and Hair invoice information, additional documents
Part 151, subpart F Cotton invoice information, additional documents
NAFTA Certificate of origin and supporting records
Other Federal and State Agency Documents
State and Local Government Records
Licenses, Authorizations, Permits
Foreign Trade Zones
For Federal Register citations affecting the appendix, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.