CSMS Message: 94-000929

PROPOSED LIST OF RECORDS REQUIRED TO BE MAINTAINED
AND PRODUCED UNDER 19 U.S.C. 1509(A)(1)(A)

AGENCY: U.S. CUSTOMS SERVICE, DEPARTMENT OF THE TREASURY.

ACTION: NOTICE OF PROPOSED "(A)(1)(A) LIST".

SUMMARY: SECTION 615 OF TITLE VI OF THE NORTH AMERICAN FREE
TRADE AGREEMENT IMPLEMENTATION ACT (GENERALLY REFERRED
TO AS THE "CUSTOMS MODERNIZATION ACT") AMENDS 19 U.S.C. 1509
BY ADDING A NEW SUBSECTION (E) WHICH REQUIRES THE CUSTOMS
SERVICE TO IDENTIFY AND PUBLISH A LIST OF RECORDS OR ENTRY
INFORMATION THAT IS REQUIRED TO BE MAINTAINED AND PRODUCED
UNDER 19 U.S.C 1509(A)(1)(A) -- COMMONLY REFERRED TO AS "THE
(A)(1)(A) LIST." THIS DOCUMENT SETS FORTH THE PROPOSED LIST.
BEFORE FINALIZING THIS PROPOSED LIST, CONSIDERATION WILL BE
GIVEN TO ANY WRITTEN COMMENTS THAT ARE TIMELY SUBMITTED TO
CUSTOMS.

DATE: COMMENTS MUST BE RECEIVED ON OR BEFORE OCTOBER 12,
1994.

ADDRESSES: COMMENTS SHOULD BE ADDRESSED TO, AND MAY BE
INSPECTED, AT THE OFFICE OF REGULATORY AUDIT, U.S.
CUSTOMS SERVICE, 1301 CONSTITUTION AVENUE, WASHINGTON, D.C.
20229. COMMENTS SUBMITTED WILL BE AVAILABLE FOR PUBLIC
INSPECTION IN ACCORDANCE WITH THE FREEDOM OF INFORMATION ACT
(5 U.S.C. 552), 1.4, TREASURY DEPARTMENT REGULATIONS (31 CFR
1.4), AND 103.11(B), CUSTOMS REGULATIONS (19 CFR 103.11(B)),
DURING REGULAR BUSINESS DAYS BETWEEN THE HOURS OF 9:00 A.M.
AND 4:30 P.M.

FOR FURTHER INFORMATION CONTACT: WILLIAM INCH, DIRECTOR,
OFFICE OF REGULATORY AUDIT AT
(202) 927-1100, OR STUART SEIDEL, DIRECTOR, INTERNATIONAL
TRADE COMPLIANCE DIVISION, OFFICE OF REGULATIONS AND RULINGS
AT (202) 482-6920.

THE PROPOSED LIST IS SET FORTH BELOW.

SIGNED

STUART P. SEIDEL, DIRECTOR
INTERNATIONAL TRADE COMPLIANCE DIVISION

PROPOSED(A)(1)(A) LIST

BACKGROUND: SECTION 508 OF THE TARIFF ACT OF 1930, AS
AMENDED (19 USC 1508), SETS FORTH THE GENERAL
RECORDKEEPING REQUIREMENTS FOR CUSTOMS-RELATED ACTIVITIES.
SECTION 509 OF THE TARIFF ACT OF 1930, AS AMENDED (19 USC
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).

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 USC 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 USC 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 USC
1509 (A)(1)(A)). THIS LIST IS COMMONLY REFERRED TO AS "THE
(A)(1)(A) LIST."

THE CUSTOMS SERVICE HAS TRIED TO IDENTIFY ALL THE PRESENTLY
REQUIRED ENTRY INFORMATION OR RECORDS ON THE FOLLOWING
PROPOSED 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.

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 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. 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

THE FOLLOWING RECORDS (WHICH INCLUDES, BUT IS NOT LIMITED TO,
ANY STATEMENT, DECLARATION, DOCUMENT, OR ELECTRONICALLY
GENERATED OR MACHINE READABLE DATA) ARE REQUIRED BY LAW AND
REGULATION FOR THE ENTRY OF MERCHANDISE AND ARE REQUIRED TO BE
PRODUCED BY THE IMPORTER OF RECORD TO CUSTOMS. INFORMATION
MAY BE SUBMITTED TO CUSTOMS AT TIME OF ENTRY IN A CUSTOMS
AUTHORIZED ELECTRONIC OR PAPER FORMAT. NOT EVERY ENTRY TYPE
CONTAINS THE FOLLOWING INFORMATION, ONLY THOSE ITEMS
APPLICABLE TO AN ENTRY TYPE WILL BE REQUIRED MANDATORY. THE
LIST MAY BE AMENDED AS CUSTOMS REVIEWS ITS REQUIREMENTS AND
CONTINUES TO IMPLEMENT THE CUSTOMS MODERNIZATION ACT.

141.11-.15 EVIDENCE OF RIGHT TO MAKE ENTRY(AIRWAY
BILL BILL OF LADING OR CARRIER CERTIFICATE,
ETC.)
141.19 DECLARATION OF ENTRY
141.32 POWER OF ATTORNEY
141.54 CONSOLIDATED SHIPMENTS AUTHORITY TO MAKE ENTRY
142.3 PACKING LIST
142.4 BOND INFORMATION

THE FOLLOWING RECORDS OR INFORMATION IS REQUIRED BY 141.61 ON
CUSTOMS FORM 3461 OR CF 7533 OR THE REGULATIONS CITED.

141.11 IT BL AWB NUMBER AND CODE
141.61,142.3A BROKER IMPORTER FILER NUMBER
141.61,142. ULTIMATE CONSIGNEE NAME AND NUMBER STREET
ADDRESS OF PREMISES TO BE DELIVERED
141.61 IMPORTER OF RECORD NUMBER
LOCATION OF GOODS-CODE(S) NAME(S)
U.S. PORT OF UNLADING
GENERAL ORDER NUMBER
141.61 CARRIER CODE
VOYAGE FLIGHT TRIP
VESSEL CODE NAME
142.3, .3A ENTRY NUMBER
ENTRY TYPE CODE
PORT CODE
142.4 BOND INFORMATION
TOTAL VALUE
142.6 DESCRIPTION OF MERCHANDISE
142.6 MANIFEST QUANTITY
142.6 H.T.S.U.S.A. NUMBER
COUNTRY OF ORIGIN
MANUFACTURER ID NUMBER (FOR AD CVD MUST BE
ACTUAL MFR.)
SIGNATURE OF APPLICANT
ARRIVAL DATE
ELECTED ENTRY DATE

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.

10.108 LEASE STATEMENT
10.102 DUTY FREE ENTRY CERTIFICATE
(9808.00.30009 HTS)
141.61 ENTRY DATE
141.61 ENTRY SUMMARY DATE
141.61 EXPORTING COUNTRY AND DATE EXPORTED
I.T. (IN-BOND) ENTRY DATE
CURRENCY
MODE OF TRANSPORTATION (MOT CODE)
REFERENCE NUMBER
TEXTILE CATEGORY NUMBER
FOREIGN PORT OF LADING
IMPORT DATE AND LINE NUMBERS
141.61 ENTERED VALUE, CHARGES, AND RELATIONSHIP
141.61 APPLICABLE H.T.S.U.S.A. RATE, ADA CVD RATE,
I.R.C. RATE, AND OR VISA NUMBER, DUTY,
I.R. TAX, AND FEES (E.G. HMF, MPF, COTTON)
141.61 IMPORTING CARRIER NAME
141.61 IMPORTER OF RECORD NAME AND ADDRESS
141.61 ADA CVD CASE NUMBER
141.61 GROSS WEIGHT
141.61 NET QUANTITY IN H.T.S.U.S.A. UNITS
141.61 RELATIONSHIP
141.61 SIGNATURE OF DECLARANT, TITLE, AND DATE
MANIFEST QUANTITY
141.83,.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
CONTRACT
PURCHASE ORDER
TERMS OF SALE
141.82 CONVEYANCE NAME NUMBER
SHIPPING QUANTITIES
SHIPPING UNITS OF MEASUREMENTS
MANIFEST DESCRIPTION OF GOODS
TARIFF DESCRIPTION, QUANTITY, AND UNIT OF
MEASURE
141.61 NON-DUTIABLE CHARGES
FOREIGN TRADE ZONE DESIGNATION AND STATUS
DESIGNATION
141.61 IDENTIFICATION NUMBER FOR MERCHANDISE SUBJECT
TO ANTI-DUMPING OR COUNTERVAILING DUTY
ORDER
INDICATION OF ELIGIBILITY FOR SPECIAL ACCESS
PROGRAM (9802 GSP CBI)
141.89 CF 5523
141.89, ET AL CORRECTED COMMERCIAL INVOICE
141.86 (E) PACKING LIST 27. TO 97. - RESERVED
142.3 BOND NUMBER, BOND TYPE CODE AND SURETY CODE
142.3 ULTIMATE CONSIGNEE ADDRESS
177.8 BINDING RULING IDENTIFICATION NUMBER

19 CFR DOCUMENTS RECORDS OR INFORMATION REQUIRED FOR
ENTRY OF SPECIAL CATEGORIES OF MERCHANDISE
(DOCUMENTS ONLY REQUIRED FOR MERCHANDISE
ENTRIES COVERED BY THE SECTIONS LISTED). THESE
ARE IN ADDITION TO ANY DOCUMENTS RECORDS OR
INFORMATION REQUIRED BY OTHER AGENCIES IN THEIR
REGULATIONS FOR THE ENTRY OF MERCHANDISE:

4.14 CF 226 INFORMATION FOR VESSEL REPAIRS, PARTS
AND EQUIPMENT
DOCUMENTS REQUIRED FOR ENTRY OF ARTICLES
EXPORTED AND RETURNED
10.1-10.6 FOREIGN SHIPPER'S DECLARATION OR MASTER'S
CERTIFICATE, DECLARATION FOR FREE ENTRY BY
OWNER, IMPORTER OR CONSIGNEE
CF 3311
10.7 CERTIFICATE FROM FOREIGN SHIPPER FOR REUSABLE
CONTAINERS
10.8 DECLARATION OF PERSON PERFORMING ALTERATIONS OR
REPAIRS
DECLARATION FOR NON-CONFORMING MERCHANDISE
10.9 DECLARATION OF PROCESSING
10.24 DECLARATION BY ASSEMBLER
ENDORSEMENT BY IMPORTER
10.31,.35 DOCUMENTS REQUIRED FOR TEMPORARY IMPORTATIONS
UNDER BOND
INFORMATION REQUIRED, BOND OR CARNET
10.36 LISTS FOR SAMPLES, PROFESSIONAL
EQUIPMENT, THEATRICAL EFFECTS
DOCUMENTS REQUIRED FOR INSTRUMENTS OF
INTERNATIONAL TRAFFIC
10.41 APPLICATION, BOND OR TIR CARNET
NOTE: ADDITIONAL 1508 RECORDS: SEE
10.41B(E)
10.43 DOCUMENTS REQUIRED FOR EXEMPT ORGANIZATIONS
10.46 REQUEST FROM HEAD OF AGENCY FOR 9808.00.10 20
TREATMENT
DOCUMENTS REQUIRED FOR WORKS OF ART
10.48 DECLARATION OF ARTIST, SELLER OR
SHIPPER, CURATOR, ETC
10.49,.52 DECLARATION BY INSTITUTION
10.53 DECLARATION BY IMPORTER
USFWS FORM 3-177, IF APPROPRIATE
10.59,.63 DOCUMENTS CF 5125 FOR WITHDRAWAL OF SHIP
SUPPLIES
10.66,.67 DECLARATIONS FOR ARTICLES EXPORTED AND
RETURNED
10.68.,69 DOCUMENTS FOR COMMERCIAL SAMPLES, TOOLS,
THEATRICAL EFFECTS
10.70,.71 PUREBRED BREEDING CERTIFICATE
10.84 AUTOMOTIVE PRODUCTS CERTIFICATE
10.90 MASTER RECORDS AND METAL MATRICES: DETAILED
STATEMENT OF COST OF PRODUCTION.
10.98 DECLARATIONS FOR COPPER FLUXING MATERIAL
10.99 DECLARATION OF NON-BEVERAGE ETHYL ALCOHOL.
ATF PERMIT
10.101-.102 STIPULATION FOR GOVERNMENT SHIPMENTS AND OR
CERTIFICATION FOR GOVERNMENT DUTY-FREE
ENTRIES, ETC.
10.107 REPORT FOR RESCUE AND RELIEF EQUIPMENT
15 CFR 301 REQUIREMENTS FOR ENTRY OF SCIENTIFIC AND
EDUCATIONAL APPARATUS
10.121 CERTIFICATE FROM USIA FOR VISUAL AUDITORY
MATERIALS
10.134 DECLARATION OF ACTUAL USE
10.138 END USE CERTIFICATE
10.171- DOCUMENTS, ETC. REQUIRED FOR ENTRIES OF GSP
MERCHANDISE
10.173,10.175 GSP DECLARATION
10.174 EVIDENCE OF DIRECT SHIPMENT
10.179 CERTIFICATE OF IMPORTER OF CRUDE PETROLEUM
10.180 CERTIFICATE OF FRESH, CHILLED OR FROZEN BEEF
10.183 CIVIL AIRCRAFT PARTS SIMULATOR DOCUMENTATION
AND CERTIFICATIONS
10.191-.198 DOCUMENTS, ETC. REQUIRED FOR ENTRIES OF CBI
MERCHANDISE
CBI DECLARATION OF ORIGIN
10.307* 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
12.6 EUROPEAN COMMUNITY CHEESE AFFIDAVIT
12.7 HHS PERMIT FOR MILK OR CREAM IMPORTATION
12.11 NOTICE OF ARRIVAL FOR PLANT AND PLANT PRODUCTS
12.17 APHIS PERMIT ANIMAL VIRUSES, SERUMS AND TOXINS
12.21 HHS LICENSE FOR VIRUSES, TOXINS, ANTITOXINS,
ETC FOR TREATMENT OF MAN
12.23 NOTICE OF CLAIMED INVESTIGATIONAL EXEMPTION
FOR A NEW DRUG
12.26-.31 NECESSARY PERMITS FROM APHIS, FWS FOREIGN
GOVERNMENT CERTIFICATES WHEN REQUIRED BY
THE APPLICABLE REGULATION
12.33 CHOP LIST, PROFORMA INVOICE AND RELEASE PERMIT
FROM HHS
12.34 CERTIFICATE OF MATCH INSPECTION AND IMPORTER'S
DECLARATION
12.43 CERTIFICATE OF ORIGIN DECLARATIONS FOR GOODS
MADE BY FORCED LABOR, ETC.
12.61 SHIPPER'S DECLARATION, OFFICIAL CERTIFICATE FOR
SEAL AND OTTER SKINS
12.73 12.80 MOTOR VEHICLE DECLARATIONS
12.85 BOAT DECLARATIONS(CG-5096) AND USCG EXEMPTION
12.91 FDA FORM 2877 AND REQUIRED DECLARATIONS FOR
ELECTRONICS PRODUCTS
12.99 DECLARATIONS FOR SWITCHBLADE KNIVES
12.104-.104I CULTURAL PROPERTY DECLARATIONS, STATEMENTS AND
CERTIFICATES OF ORIGIN
12.105-.109 PRE-COLUMBIAN MONUMENTAL AND ARCHITECTURAL
SCULPTURE AND MURALS
CERTIFICATE OF LEGAL EXPORTATION
EVIDENCE OF EXEMPTION
12.110- PESTICIDES, ETC. NOTICE OF ARRIVAL
12.118-.127 TOXIC SUBSTANCES: TSCA STATEMENTS
12.130 TEXTILES TEXTILE PRODUCTS
SINGLE COUNTRY DECLARATION
MULTIPLE COUNTRY DECLARATION
VISA
12.132 NAFTA TEXTILE REQUIREMENTS
54.5 DECLARATION BY IMPORTER OF USE OF USE OF
CERTAIN METAL ARTICLES
54.6 (A) RE-MELTING CERTIFICATE
114 CARNETS
115 CONTAINER CERTIFICATE OF APPROVAL
128 EXPRESS CONSIGNMENTS
128.21 MANIFESTS WITH REQUIRED INFORMATION
132.23 ACKNOWLEDGEMENT OF DELIVERY FOR MAILED ITEMS
SUBJECT TO QUOTA
133.21(B)(6)6) CONSENT FROM TRADEMARK OR TRADENAME HOLDER TO
IMPORT OTHERWISE RESTRICTED GOODS
134.25,.36 CERTIFICATE OF MARKING; NOTICE TO REPACKER
141.88 COMPUTED VALUE INFORMATION
141.89 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.
143.13 DOCUMENTS REQUIRED FOR APPRAISEMENT ENTRIES
BILLS, STATEMENTS OF COSTS OF PRODUCTION
VALUE DECLARATION
143.23 INFORMAL ENTRY: COMMERCIAL INVOICE PLUS
DECLARATION
144.12 WAREHOUSE ENTRY INFORMATION
145.12 MAIL ENTRY INFORMATION
148 SUPPORTING DOCUMENTS FOR PERSONAL IMPORTATIONS
151 SP B SCALE WEIGHT
151 SP B SUGAR IMPORTS SAMPLING LAB INFORMATION
(CHEMICAL ANALYSIS)
151 SP C PETROLEUM IMPORTS SAMPLING LAB INFORMATION
OUTTURN REPORT 24. TO 25. - RESERVED
151 SP E WOOL AND HAIR INVOICE INFORMATION, ADDITIONAL
DOCUMENTS
151 SP F COTTON "
181.22 NAFTA RECORDS
COFFEE FORM O (CURRENTLY SUSPENDED)

OTHER FEDERAL AND STATE AGENCY DOCUMENTS

STATE AND LOCAL GOVERNMENT DOCUMENTS
OTHER FEDERAL AGENCY FORMS (SEE 19 CFR PART 12)
LICENSES

FOREIGN TRADE ZONES

146.32 SUPPORTING DOCUMENTS TO CF 214