Pt. 163, App.
Appendix to Part 163
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
. (All references, unless otherwise indicated, are to the current edition of title 19, Code of Federal Regulations, as amended by subsequent Federal Register
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
* 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 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
§ 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 3-177, 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
§ 10.905PTPA records that the importer may have in support of a PTPA claim for preferential tariff treatment, including an importer's certification
15 CFR part 301Requirements for entry of scientific and educational apparatus
§ 10.121Certificate from the U.S. Department of State 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.
§ 10.512SFTA 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.
§ 10.522SFTA TPL Certificate of eligibility.
§ 10.585CAFTA-DR records that the importer may have in support of a CAFTA-DR claim for preferential tariff treatment, including an importer's certification.
§ 10.704 US-JFTA records that the importer may have in support of a US-JFTA claim for preferential tariff treatment, including an importer's declaration.
§ 10.765MFTA records that the importer may have in support of a MFTA claim for preferential tariff treatment, including an importer's declaration.
§ 10.805BFTA records that the importer may have in support of a BFTA claim for preferential tariff treatment, including an importer's declaration.
§ 10.820BFTA TPL certificate of eligibility.
§ 10.821BFTA TPL declaration.
§ 10.848HOPE Act Declaration of Compliance.
§ 10.865OFTA records that the importer may have in support of an OFTA claim for preferential tariff treatment, including an importer's declaration.
§ 10.883OFTA TPL certificate of eligibility.
§ 10.884OFTA TPL declaration.
§ 10.1005UKFTA records that the importer may have in support of a UKFTA claim for preferential tariff treatment, including an importer's certification.
§ 10.2003-10.2007PANTPA records that the importer may have in support of a PANTPA claim for preferential tariff treatment, including an importer's certification.
§ 10.3005CTPA records that the importer may have in support of a CTPA claim for preferential tariff treatment, including an importer's certification.
§ 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 (CG-5096) 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
§ 12.140(b) and (c)Canadian-issued Export Permit, Certificate of Origin issued by Canada's Maritime Lumber Bureau.
§ 12.142Softwood Lumber Importer Declaration Supporting Documentation, Softwood Lumber Home Packages and Kits Documentation.
§ 12.151Documentation supporting importer's certification on jadeite, rubies, or articles of jewelry containing jadeite or rubies, including an exporter's certification.
§ 12.152Kimberley Process Certificate for rough diamonds.
§ 54.5Declaration by importer of use of certain metal articles
§ 54.6(a)Re-Melting Certificate
§ 102.25NAFTA textile requirements
Part 113, Appendix B—Bond 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
For Federal Register
citations affecting the appendix to part 163
, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.