[Federal Register Volume 61, Number 136 (Monday, July 15, 1996)]
[Notices]
[Pages 36955-36960]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-17833]


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[[Page 36956]]

DEPARTMENT OF THE TREASURY

Customs Service


Interim List of Records Required To Be Maintained and Produced 
Pursuant to 19 U.S.C. 1509(a)(1)(A)

AGENCY: U.S. Customs Service, Treasury.

ACTION: General notice.

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SUMMARY: This document sets forth for the information of the general 
public the text of a document that was previously published in the 
Customs Bulletin on January 3, 1996 concerning a list of records or 
entry information required to be maintained and produced under section 
509(a)(1)(A) of the Tariff Act of 1930, as amended by title VI of the 
North American Free Trade Agreement Implementation Act.

FOR FURTHER INFORMATION CONTACT: Stuart P. Seidel, Assistant 
Commissioner, Office of Regulations and Rulings at (202) 482-6920 or 
William Inch, Director, Office of Regulatory Audit at (202) 927-1100.

SUPPLEMENTARY INFORMATION:

Background

    On December 8, 1993, the President signed the North American Free 
Trade Agreement Implementation Act (Pub. L. 103-182). Title VI of the 
act is entitled ``Customs Modernization'' and is popularly known as the 
Customs Modernization Act. Section 615 of the Customs Modernization Act 
amends Sec. 509(a)(1)(A) of the Tariff Act of 1930 (19 U.S.C. 
1509(a)(1)(A)) to require the maintenance and production of a record if 
``such record is required by law or regulation for the entry of 
merchandise (whether or not the Customs Service required its 
presentation at the time of entry).'' Section 509 was further amended 
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 Sec. 509(a)(1)(A)--
commonly referred to as ``the (a)(1)(A) list.'' In their respective 
discussions of section 615, both the House Report and Senate Report on 
the North American Free Trade Agreement Implementation Act indicate 
that the requirement to publish the (a)(1)(A) list refers to 
publication in the Customs Bulletin. On January 3, 1996, Customs 
published the (a)(1)(A) list in the Customs Bulletin.
    This publication of the (a)(1)(A) list in the Federal Register is 
for the information of the general public.

    Dated: July 9, 1996.
 Stuart P. Seidel,
Assistant Commissioner, Office of Regulations and Rulings.

    Accordingly, the document setting forth the (a)(1)(A) list, as 
discussed above, is reproduced below:

DEPARTMENT OF THE TREASURY

UNITED STATES CUSTOMS SERVICE

(T.D. 96-1)

INTERIM LIST OF RECORDS REQUIRED TO BE MAINTAINED AND PRODUCED PURSUANT 
TO 19 U.S.C. Sec. 1509(a)(1)(A)

AGENCY: U.S. Customs Service, Treasury.

ACTION: Interim ``(a)(1)(A) list''.

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SUMMARY: This document lists records (which includes, but is not 
limited to, any statement, declaration, document, or electronically 
generated or machine readable data) required by law or regulation 
for the entry of the merchandise (whether or not the Customs Service 
requires its presentation at the time of entry). Publication is 
required by section 509(a)(1)(A) of the Tariff Act of 1930, as 
amended by section 615 of Public Law 103-182 (19 U.S.C. 
Sec. 1509(a)(1)(A)). This interim list addresses public comments 
solicited by the Proposed List which was posted on Customs 
Electronic Bulletin Board on September 12, 1994 and published in the 
Customs Bulletin on September 21, 1994. The list is being published 
as an interim listing because the Customs Service is re-engineering 
its entry and related processes and the list is expected to change 
as entry requirements are revised.

EFFECTIVE DATE: Since this document merely lists records already 
required by law or regulation, it is effective on January 3, 1996, 
the date of publication in the Customs Bulletin.

ADDRESSES: Comments should be addressed to the Regulations Branch, 
Office of Regulations and Rulings, U.S. Customs Service, 1301 
Constitution Avenue NW. (Franklin Court), Washington, D.C. 20229. 
Comments may be inspected at the Regulations Branch, Office of 
Regulations and Rulings, Suite 4000W, 1099 14th Street NW., 
Washington, DC 20005. Comments submitted will be available for 
public inspection in accordance with the Freedom of Information Act 
(5 U.S.C. 552), Sec. 1.4, Treasury Department Regulations (31 CFR 
1.4), and Sec. 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: Stuart Seidel, Assistant 
Commissioner, Office of Regulations and Rulings at (202) 482-6920 or 
William Inch, Director, Office of Regulatory Audit at (202) 927-
1100,

SUPPLEMENTARY INFORMATION:

Background

    Section 509(a)(1)(A) of the Tariff Act of 1930 (19 U.S.C. 
Sec. 1509(a)(1)(A)) as amended by 615 of title VI of the North 
American Free Trade Agreement Implementation Act (generally referred 
to as the ``Customs Modernization Act'') requires the maintenance 
and production of a record if ``such record is required by law or 
regulation for the entry of merchandise (whether or not the Customs 
Service required its presentation at the time of entry).'' Section 
509 was further amended 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 section 509(a)(1)(A)--commonly referred to as ``the 
(a)(1)(A) list.'' On September 12, 1994, the proposed (a)(1)(A) list 
was placed on the Customs Electronic Bulletin Board for public 
comment, followed by publication in the September 21, 1994 Customs 
Bulletin. Comments were received from the following organizations or 
their counsel: the Air Courier Conference of America, National 
Customs Brokers & Forwarders Association of America, Inc., The 
United States Association of Importers of Textiles and Apparel, The 
Joint Industry Group, American Association of Exporters and 
Importers, U.S. Transportation Coalition, and a group of petroleum 
and petrochemical companies. In addition comments were received from 
a Customs broker, a law firm, an express consignment company and its 
brokerage, and a Customs office. A total of eleven comments were 
received. However, many of the submissions were from trade groups, 
or their counsel, representing hundreds of interested parties. A 
summary of the comments received and Customs response follows:
    Comment: One commenter opined that NAFTA records should be 
excluded from the (a)(1)(A) list because it would subject record 
keepers to the additional penalties available under 19 U.S.C. 1509, 
and NAFTA exporter's records are already subject to penalties.
    Customs Response: Customs agrees that records required to be 
kept by U.S. exporters should be excluded from the (a)(1)(A) list 
(unless the same party is also an importer and is relying upon those 
records to claim a NAFTA preference on reimportation) since 
(a)(1)(A) only applies to entry records. However, Customs believes 
that certain other NAFTA records are entry records. The law requires 
a person claiming NAFTA preferences to be in possession of a NAFTA 
Certificate of Origin at the time the preference is claimed. Thus, 
when NAFTA preferences are claimed at the time of entry, the NAFTA 
records are entry records and properly fall within the purview of 
(a)(1)(A). To make this clear, the NAFTA certificate of origin and 
supporting records required by 19 CFR 181.22 have been specifically 
added to the list.
    Comment: One commenter suggested that for petroleum and 
petrochemical products, only the following should be required to be 
kept for five years: CF 7501 and related documents, purchase orders 
or contracts (except when made orally), invoice and payment records 
(including canceled checks, wire transfer evidence, inter company 
accounts and similar records, bills of lading or charter agreements, 
freight invoices, import inspection reports, etc, evidence of use 
(for classification where use controls), TSCA and EPA 
certifications.

[[Page 36957]]

    Customs Response: The record retention period is beyond the 
scope of the (a)(1)(A) list and will be addressed in a separate 
regulatory package. As indicated in the Background portion, Customs 
will consider changes in entry record requirements as Customs 
processes are revised. However, until those requirements are 
changed, the law requires that all records required for the entry of 
merchandise be included in the (a)(1)(A) list.
    Comment: One commenter expressed concern that the size of the 
(a)(1)(A) list will result in the list being a tool to penalize 
persons during routine audits. The commenter points out that under 
current practice, the failure to present certain required records 
results in a denial of a preference. In other cases, the record (19 
CFR 10.174, for example) may be required within 60 days of entry, 
after which it does not appear to be required. In other cases, 
importation is prohibited without the required record (19 CFR 12.161 
fur seal certificate). The commenter suggested that the (a)(1)(A) 
list be limited to those presently required to be produced, and not 
routinely the subject of waivers. The commenter suggested that the 
entry not be accepted without a statement that the required document 
is in the importer's possession, because without the statement, 
potential third party record keepers might not be willing to 
undertake this responsibility since there would be no guarantee that 
records would be available. The commenter further suggested reducing 
the maintenance period from five years to not longer than 
liquidation of the entry.
    Customs Response: In an automated environment, Customs must be 
able to use a post-entry record demand to ensure that an importer's 
claims on entry were valid. In order to expedite the release of 
merchandise, Customs may initially waive production of certain 
required records and then verify them at a later date. This is 
especially true in the case of records not affecting admissibility. 
This fact is recognized in the law, which refers to a record which 
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, emphasis added. A record retention period beyond 
liquidation was clearly contemplated by Congress, because the 
statute specifically permits reliquidation and denial of claimed 
preferences if the record is demanded within two years of the 
original liquidation and is not produced. As pointed out in other 
comments, Customs is reviewing its entire entry process and the 
(a)(1)(A) list will be adjusted in the future. With regard to the 
penalty process, Customs intends to follow the legislative history 
which states, ``[o]nce this listing has been made available and 
importers have had an opportunity to familiarize themselves with the 
contents, the Committee expects the person on whom a demand has been 
made for any of the records under section 509(a)(1)(A) of the Act 
will furnish them under the `reasonable time' standard embodied in 
the law. The Committee also believes that Customs headquarters 
should exercise tight control over the imposition of record keeping 
penalties, and until the Customs Service gains some experience in 
administering this penalty, no such penalty should be issued without 
prior headquarters review and approval.''
    Comment: One commenter was of the opinion that the (a)(1)(A) 
list should only contain those records required for ``entry,'' which 
the commenter equates with ``admission'' or ``release'' of the 
merchandise. The commenter further points out that many of the 
documents on the list are not required for release. The commenter 
suggests that as electronic textile visas are introduced, importers 
will not have any visa documentation to produce and the (a)(1)(A) 
list should reflect that. The commenter also believes it is 
inappropriate to list documents, such as origin declarations and 
quota charge statements which are presented at the time of entry and 
retained by Customs. The commenter also believes that purchase 
orders and contracts are not required for entry and refers to 19 CFR 
141.83 and 141.86, and therefor should be eliminated from the list. 
The commenter also believes that the manifest description of the 
goods should be stricken from the list since the carrier, not the 
importer is responsible for producing this to Customs. Finally, the 
commenter believes that the broker power of attorney should be 
eliminated since the record is not, in the commenter's view, 
required for entry.
    Customs Response: The term ``entry'' is used in the Customs laws 
and regulations in two ways. The first refers to a specific 
document, the ``entry'' form (such as consumption entry, vessel 
repair entry, etc); the second to a procedure, ``entry of 
merchandise,'' ``entry and clearance.'' Customs believes that the 
(a)(1)(A) list refers to the procedure-- that is, records required 
to complete the entry process. Section 1484 of title 19 of the 
United States Code (19 U.S.C. 1484) refers to an importer using 
reasonable care to make entry by filing such information as is 
necessary to obtain release of the merchandise, and completing the 
entry by filing such additional information as may be necessary to 
enable Customs to fix the final appraisement and classification of 
the merchandise and insure compliance with applicable law. Thus, the 
scope of the (a)(1)(A) list is broader than contemplated by the 
commenter. This is supported by the examples listed in the 
legislative history which include not only any record required for 
admissibility, but also the following which are not required for 
release: a commercial invoice, a packing list, certificate of origin 
Form A (where a claim for a preference is made), and declarations of 
a foreign manufacturer. With regard to purchase orders and 
contracts, Customs notes that while not every importation requires 
such records for entry, importations covered by sections 12.99, 
10.84 and 10.183 of the Customs Regulations do require contracts. 
Customs has deleted purchase orders from the (a)(1)(A) list, 
although they must be retained and made available for examination 
pursuant to other provisions of 19 U.S.C. 1508 and 1509. With regard 
to the comment that electronic visas may be transmitted to the 
Customs Service, we note that the visa will still be a record 
required for entry and thus will have to be listed, but the importer 
will not be subject to penalties, since the record is transmitted to 
and retained by Customs, and the penalty provisions do not apply 
when Customs retains the record.
    Comment: Several commenters recommended that the (a)(1)(A) list 
be simplified, to eliminate unnecessary material, and suggest 
Customs review documents which are routinely waived to see if they 
can be eliminated. One commenter believed that the list was 
accurate, but far too complex. The commenter suggested a ``front 
end'' summary of which documents contain which data elements and 
that the list be re-structured to simplify it. Finally, several 
commenters suggested that the list could be clarified by referencing 
the documents currently required rather than the data elements or 
information.
    Customs Response: Customs agrees that the list should be 
rearranged to show which data is routinely provided to Customs on 
entry forms and has tried to group the records to show which ones 
are required by all, or most, import transactions. We agree that the 
list is complex, and lists some records which are not required in 
most import transactions, but only are required for imports of 
certain specific merchandise, or in certain situations. We have 
tried to list those situations and hope to simplify and reduce the 
list in the future as new procedures and regulations are 
implemented. The law requires that the (a)(1)(A) list contain not 
only documents but also data elements and other information required 
for entry.
    Comment: Several commenters suggested that Customs list the 
parties responsible for maintaining specific documents. For example, 
one commenter points out that carriers are responsible for the 
manifest under regulations issued pursuant to 19 U.S.C. 1321, but 
should not be responsible for the summary manifest for letters and 
documents and return shipments since these intangibles are, in the 
commenter's view exempt from entry under General Notes 13 (d), (e) 
of the Harmonized Tariff Schedule of the United States (HTSUS) and 
Sec. 681c of the Mod Act. The commenter questions the inclusion of 
the vessel entry form 226 since, in the commenter's view, it does 
not relate to the ``entry of merchandise.''
    Customs Response: Whether or not an article is covered by the 
HTSUS is not determinative of whether the article is ``merchandise'' 
within the Tariff Act of 1930. Section 401 (19 U.S.C. 1401) defines 
``merchandise'' as goods, wares, and chattels of every description 
and includes merchandise the importation of which is prohibited, and 
monetary instruments. Thus, returned articles and documents are in 
fact merchandise, albeit exempt from the HTSUS. In fact, 19 U.S.C. 
1498 specifically permits the Secretary to promulgate regulations 
for the declaration and entry of returned merchandise. With regard 
to the vessel entry form, we note that while it is used to report 
vessel repairs, it is also used to report the entry of equipment and 
spare parts and is also referenced in 19 U.S.C. 1498.
    Comment: One commenter suggested that express carriers 
(operating under part 128, Customs Regulations) be required to keep 
the

[[Page 36958]]

manifest, consolidated entry summary or its equivalent and invoices 
for informal entries, and the manifest, individual entry summaries 
or their equivalent and invoices for formal entries. The commenter 
did not believe that individual house airway bills and packing lists 
should be listed because the airway bill's data elements duplicated 
the manifest, and the packing lists were rarely used for express 
consignments. The commenter expressed the view that since express 
carriers have ``a statutory right under 19 U.S.C. 1484 to designate 
their own brokers to make entry,'' no power of attorney was needed 
and it should therefor be eliminated from the (a)(1)(A) list. The 
commenter suggested that other federal or state agency documents 
should be listed. The commenter believed that the list should 
include (for carriers), records relating to entry for immediate 
transportation pursuant to 19 U.S.C. 1552, transportation and 
exportation pursuant to 19 U.S.C. 1553 and records relating to 
instruments of international traffic pursuant to 19 U.S.C. 1322. 
Several commenters pointed out that Customs Forms 3311, 4455 and 
Form A are no longer required (see 59 FR 25503) and should be 
removed from the (a)(1)(A) list. One commenter pointed out that 
since only ``an owner or purchaser of the merchandise or, when 
appropriately designated by the owner, purchaser, or consignee of 
the merchandise, a person holding a valid license under section 
1641'' may make formal entry, carriers should not be liable for 
maintaining records on the (a)(1)(A) list except in limited 
circumstances.
    Customs Response: Customs agrees that a power of attorney is not 
required by a broker who is the importer of record, since in that 
capacity, the broker is the principal and is liable for duties, fees 
and taxes. However, powers of attorney, when required by the 
regulations, are entry records. Customs agrees that the CF 3311 and 
CF 4455 are no longer required for certain entries pursuant to 19 
CFR 10.1(a) and 10.8 and 10.9. However, the CF 3311 and/or CF 4455 
remain entry records for certain importations (see revised 19 CFR 
7.8(b), 10.1 (h), (i), (j) and 10.66, 10.67, for example. The Origin 
Form A has been deleted from the (a)(1)(A) list for GSP and CBI 
importations. Customs also agrees that records required by 19 U.S.C. 
1552, 1553 and 1322 are entry records and has added them to the 
(a)(1)(A) list .

CONCLUSION

    Customs has revised the (a)(1)(A) list in accordance with the 
foregoing and is publishing it at this time as an interim document 
to allow future modifications as procedures change. The 
``Background'' section has been renamed ``General Information'' and 
expanded and clarified. The list will also be published as an 
Appendix to the revised record keeping regulations when that 
document is published. Customs intends the importing community to 
familiarize themselves with the (a)(1)(A) list and expects that a 
person on whom a demand has been made for any of the entry records 
will furnish them under the ``reasonable time'' standard embodied in 
the law. Although the record keeping penalties are effective upon 
publication of the list, Customs headquarters will, as recommended 
in the legislative history, exercise tight control over the 
imposition of record keeping penalties, and until the Customs 
Service gains some experience in administering this penalty, Customs 
officers will not issue such a penalty without prior headquarters 
review and approval.
    Dated: December 21, 1995

Stuart P. Seidel, Assistant Commissioner, Office of Regulations and 
Rulings

INTERIM (a)(1)(A) LIST

LIST OF RECORDS REQUIRED FOR THE ENTRY OF MERCHANDISE

GENERAL INFORMATION: Section 508 of the Tariff Act of 1930, as 
amended (19 U.S.C. 1508), sets forth the general record keeping 
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).
    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.''
    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 record 
keeping penalty may not be assessed if the listed information or 
records are transmitted to and retained by Customs.
    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.
    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 includes, but is 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 
its presentation at the time of entry). Information may be submitted 
to Customs at 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 record keeping 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 title 19, 
Code of Federal Regulations, April 1, 1995 Edition, as amended by 
subsequent Federal Register notices.)
    I. General list or 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-.15  Evidence 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)
141.32  Power of attorney (when required by regulations)
141.54  Consolidated shipments authority to make entry (if this 
procedure is utilized)
142.3  Packing list (where appropriate)
142.4  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 CF 7533 or the regulations cited.

[[Page 36959]]

Information shown with an asterisk (*) is contained on the 
appropriate form and/or otherwise filed with and retained by 
Customs:

142.3, .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
141.82  Conveyance 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)
141.61  Non-Dutiable Charges
141.61  *Signature of Declarant, Title, and Date
    *Textile Category Number
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, 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)
141.89  CF 5523
141.89, et al  Corrected Commercial Invoice
141.86 (e)  Packing List
177.8  *Binding Ruling Identification Number (or a copy of the 
ruling)
10.102  Duty Free Entry Certificate (9808.00.30009 HTS)
10.108  Lease 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:

4.14  CF 226 Information for vessel repairs, parts and equipment
7.8(a)  CF 3229 Origin certificate for insular possessions
7.8(b)  CF 3311 and Shipper's declaration for insular possessions
Part 10  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
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 19 U.S.C. 1508 records: see 10.41b(e)
10.43  Documents required for exempt organizations
10.46  Request from head of agency for 9808.00.10 or 9808.00.20 
HTSUS 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 (When classification involves 
actual use)
10.138  End Use Certificate
10.171-  Documents, etc. required for entries of GSP merchandise
10.173,10.175  GSP Declaration (plus supporting documentation)
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 (plus supporting information)
10.194  Evidence of direct shipment
 [10.306  Evidence of direct shipment for CFTA]
 [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

[[Page 36960]]

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 (serves as entry and bond document where applicable)
115  Container certificate of approval
128  Express consignments
128.21  *Manifests with required information (filed by carrier)
132.23  Acknowledgment of delivery for mailed items subject to quota
133.21(b)(6)  Consent from trademark or trade name 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
145.11  Customs Declaration for Mail, Invoice
145.12  Mail entry information (CF 3419 is completed by Customs but 
formal entry may be required.)
148  Supporting documents for personal importations
151 subpart B  Scale Weight
151 subpart B  Sugar imports sampling/lab information (Chemical 
Analysis)
151 subpart C  Petroleum imports sampling/lab information
    Out turn Report 24. to 25.--Reserved
151 subpart E  Wool and Hair invoice information, additional 
documents
151 subpart F  Cotton invoice information, additional documents
181.22  NAFTA Certificate of origin and supporting records
19 U.S.C. 1356k  Coffee 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

146.32  Supporting documents to CF 214

[FR Doc. 96-17833 Filed 7-12-96; 8:45 am]
BILLING CODE 4820-02-P