Form 71.53(n) (no form) 71.53(n) (no form) Recordkeeping and reporting requirements for importing N

Customs and Trade Automated Interface Requirements

CDC Requested Data of Regulated Imports: Nonhuman Primate Products (42 CFR 71.53)

This chapter presents records that provide data to government agencies that will participate with modernization of the automated cargo systems.

Partner Government Agency Record Set PGA-4

An overview of the future universal record sets for providing data to Partner Government Agencies.

RECORD DESCRIPTIONS

Record Identifier OI (Input) PGA-6

A mandatory PGA line item description input record that provides the commercial description of the item.

Record Identifier PG01 (Input) PGA-7

A mandatory PGA input record that provides data pertaining to the PGA Line Number, Agency, Globally Unique Product Identification Code, Intended Use Code, Intended Use Description, and Disclaimer.

Record Identifier PG02 (Input) PGA-9

A conditional input record used when there are codes other than UPC or GTIN.

Record Identifier PG04 (Input) PGA-11

A conditional PGA input record that provides data related to the Constituent Element.

Record Identifier PG05 (Input) PGA-12

A conditional PGA input record that provides data pertaining to Scientific Names and the FWS Description Code.

Record Identifier PG06 (Input) PGA-13

A conditional PGA Record that provides data pertaining to Source Type, Country Code, Geographic Location, Range of Processing Dates, Processing Type, and Processing Description.

Record Identifier PG07 (Input) PGA-15

A conditional PGA input record that provides data pertaining to Trade or Brand Name, Model, Manufacture Year, and Commodity Identifiers.

Record Identifier PG08 (Input) PGA-16

A conditional PGA input record that provides data pertaining to reporting multiple Commodity Identifiers.

Record Identifier PG10 (Input) PGA-17

A conditional PGA input record that provides data pertaining to the Commodity and its Characteristics.

Record Identifier PG13 (Input) PGA-18

A conditional PGA input record that provides data pertaining to Licenses, Permits, Certificates, or Other (LPCO) issued by PGA and other government entities.

Record Identifier PG14 (Input) PGA-19

A conditional PGA input record (mandatory if PG13 is sent) that provides data pertaining to Licenses, Permits, Certificates or Other (LPCO) issued by PGA and other government entities.

Record Identifier PG17 (Input) PGA-20

A conditional PGA input record that provides data pertaining to the specific and general common names.

Record Identifier PG18 (Input) PGA-21

A conditional PGA record (mandatory if the cargo is hazardous) that provides data pertaining to hazardous material.

Record Identifier PG19 (Input) PGA-22

A conditional PGA input record used to identify the entities and facilities (foreign & domestic) associated to this shipment.

Record Identifier PG20 (Input) PGA-23

A conditional PGA input record that provides data pertaining to entity identification.

Record Identifier PG21 (Input) PGA-24

A conditional PGA input record that provides additional data related to the entity (the party) in the preceding PG19 record.

Record Identifier PG22 (Input) PGA-25

A conditional PGA input record that provides data pertaining to Importers Substantiating Documents, and Conformance Declarations.

Record Identifier PG23 (Input) PGA-27

A conditional PGA Record that provides data pertaining to Affirmation of Compliance.

Record Identifier PG24 (Input) PGA-28

An optional PGA input record that provides data pertaining to Remarks.

Record Identifier PG25 (Input) PGA-25

A conditional PGA input record that provides data pertaining to Storage Temperature, Lot Number, Production Start/End Dates, PGA Line and Unit Value.

Record Identifier PG26 (Input) PGA-30

A conditional PGA Record that provides data pertaining to Packaging information including Unit of Measure, and Package Material.

Record Identifier PG27 (Input) PGA-32

This is a conditional PGA input record that provides data pertaining to Container Number.

Record Identifier PG28 (Input) PGA-33

A conditional PGA Record that provides data pertaining to Can Dimensions and Package Tracking Numbers.

Record Identifier PG29 (Input) PGA-34

A conditional PGA Record that provides data pertaining to the net or gross unit of measure of the commodity.

Record Identifier PG30 (Input) PGA-36

A conditional PGA input record provides data pertaining to inspections.

Record Identifier PG31 (Input) PGA-37

A conditional PGA input record pertaining to the vessel used to harvest the commodity.

Record Identifier PG32 (Input) PGA-38

A conditional PGA input record pertaining to the commodity routing information.

Record Identifier PG33 (Input) PGA-39

A conditional PGA input record that provides data pertaining to the geographic area or description of commodity routing.

Record Identifier PG34 (Input) PGA-40

A conditional PGA input record pertaining to travel documentation.

Record Identifier PG35 (Input) PGA-41

A conditional PGA input record pertaining to DOT conformance bonds.

Partner Government Agencies

This PGA Message set is designed to convey the Partner Government Agency (PGA) data needed to satisfy PGA reporting requirements. This data set will be used as the single record layout for all input from the trade for PGA data and will replace the Other Government Agency (OGA) data sets such as the FD, DT, and FC records. This set does not stand alone and can only be submitted as part of another transmission such as an ACE Entry Summary Certified for Release or a Simplified Entry. At a minimum, if there is a PGA filing requirement for an HTS entry line, there would be one instance of the PGA Message set records submitted.

There are several instances which require a new PGA line (and associated PGA records) to be transmitted. For example, when there is a commodity change (commercial description change), a new Record Identifier OI and PGA line number should be transmitted. In addition, there are three data elements that require a new PGA line number to be transmitted. These elements are agency, globally unique product identification code, and intended use. Changes to any of these elements will cause the resubmission of the records PG01 to PG35, while the OI might remain the same. For example, if a commodity is covered by more than one PGA and the data required for each agency is different, a filer is expected to submit a new set of records for each additional agency. A fourth data element, Product Code, may cause a PGA line change. See the header in PG02 for details.

In terms of an AE (Entry Summary), there will be a 50 record followed by the PGA Record set. For the SE (Simplified Entry) there will be a 60 record followed by the PGA Record set.

In general, the following guidance is provided for reporting data using this PGA Message Set. Many data elements are marked as conditional since not all PGAs require all data elements or records. PGA-specific guidance will determine which data elements are mandatory to fulfill specific PGA reporting requirements. Please refer to PGA-specific guidance for data reporting requirements, such as for the Lacey Act. Please also refer to CBP’s “PGA Message Set Relationship Guidelines” document, for more information on how records relate to each other.

Processing

General Rules for Data Submission

Unused fields, which are defined as numeric, should not be zero-filled. These fields should be space filled or data errors may result.

Data should not be placed in fields defined as filler. If data is present in filler fields, an error message may be system generated.

Transmit ONLY uppercase alphabetic characters A through Z. While some applications may not return specific error messages when detecting lower‑case letters, CBP cannot guarantee the consistency of processing results for data transmitted in lower case.

Data Elements

The data element length/class descriptors are defined as:

Code Description

A The data element is alphabetic only (uppercase ONLY).

AN The data element is alphanumeric only (uppercase ONLY, for characters A through Z).

N The data element is numeric only.

X The data element is alphanumeric or special characters (uppercase ONLY for characters A through Z).

All data elements are in fixed-length format. If all positions are not filled, the formatting rules are:

Code Description

A Left justify and Space fill.

AN Left justify and Space fill.

N Right justify and zero-fill.

X Left justify and Space fill.

Note: If there is no data to insert in a field, Space fill.

Status codes are important to ensure that appropriate data is transmitted. Codes must be used where indicated or errors will occur.

Code Description

M Mandatory data element ‑ must always be present.

O Optional data element ‑ generate data if available.

C Conditional data element ‑ data is provided if the conditions warrant.

Partner Government Agency Correction Capability

Correction capabilities are to be determined.

Record Identifier OI (Input)

This is a mandatory Partner Government Agency line item description input record that provides the description of the item. This record precedes the Record Identifiers for the PGA Message set. The OI record is a generic description record. The Record Identifier OI does not have to be repeated with each set of the PGA Record Identifiers as long as the reporting agency has not changed and the description has not changed.

Record Identifier OI (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal OI.
Filler	8AN	3‑10	M	Space fill.
Commercial Description	70X	11‑80	M	A clear description of the commercial line item in English. Broad, generalized language is unacceptable, as are tariff descriptions. This description is not the same as the Harmonized Tariff description. Provide the description according to other agency instructions.

Record Identifier PG01 (Input)

This is a mandatory PGA input record that provides data pertaining to the PGA Line Number, Agency Code, Globally Unique Product Identification Code, Intended Use Code, Intended Use Description, and Disclaimer.

Record Identifier PG01 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 01.
PGA Line Number	3N	5-7	M	Number required by PGAs beginning with 001 within a CBP line and sequentially incremented on subsequent PG01 records, if applicable.
Government Agency Code	3AN	8-10	M	Code that identifies the PGA. Refer to Appendix Q of this publication for valid codes.
Government Agency Program Code	3X	11-13	C	Code indicating an agency’s program for which the PGA data set is related. For example, a code might indicate the data is for EPA’s Ozone Depleting Substances reporting requirements. Refer to Appendix T of this publication for valid codes.
Electronic Image Submitted	1A	14	C	A code of Y (Yes) indicating electronic image(s) for PGA use were submitted. No other code is accepted.
Confidential Information Indicator	1A	15	C	A code of Y (Yes) indicating information should be treated as confidential, per the agency’s regulations. No other code is accepted.
Globally Unique Product Identification Code Qualifier	4AN	16-19	C	Code indicating the type of globally unique number used to identify the commercial product or commodity, i.e., Global Trade Item Number (GTIN) or Universal Product Code (UPC). Use the PG02 record to provide a non-globally unique product identity number such as a Stock Keeping Unit (SKU) number. Use the PG07 and PG08 to provide numbers that identify items by such things as serial numbers or vehicle identification numbers. Valid codes are listed in Appendix T of this publication.
Globally Unique Product Identification Code	19X	20-38	C	The number used to uniquely identify the commercial product or commodity in the global supply chain, i.e., the GTIN or UPC Code number.
Intended Use Code	16X	39-54	C	The code indicating the intended use base code of the product followed by the intended use subcode. Refer to Appendix R of this publication for valid codes.
Intended Use Description	25X	55-79	C	If “For Other Use” (980.000-000) code is used, then a free text description of the intended use is mandatory.
Disclaimer	1A	80	C	A code of Y (Yes) indicating there is no agency declaration requirement. No other code is accepted.

Record Identifier PG05 (Input)

This is a conditional PGA input record that provides data pertaining to Scientific Genus Names, Scientific Species, Scientific Sub Species Name, Scientific Species Code, and FWS Description Code. This record may be used in conjunction with the PG06 to describe the relationship between the genus/species and country of origin, as necessary.

For the Lacey Act, the filer must submit a corresponding genus/species (PG05/PG06) for each Country of Harvest.

A common name for the product/component may be provided if the scientific name is unknown. This should be provided using the PG17.

Record Identifier PG05 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 05.
Scientific Genus Name	22X	5-26	C	Scientific Genus Name of the merchandise being entered.	1
Scientific Species Name	22X	27-48	C	Scientific Species Name of the merchandise being entered.	1
Scientific Sub Species Name	18X	49-66	C	Scientific Sub Species Name of the merchandise being entered.
Scientific Species Code	7AN	67-73	C	This includes Fish and Wildlife Service (FWS) Wildlife Category Codes. See Appendix T (FWS Wildlife Category Codes) of this publication for valid codes.
FWS Description Code	7AN	74-80	C	FWS Description Codes assigned by FWS. See Appendix T (FWS Description Codes) of this publication for valid codes.

Note 1

For the Lacey Act, APHIS has compiled a chart of Special Use Designations (SUDs) to address some exceptions. Instructions governing the use of these Designations can be found here:

http://www.aphis.usda.gov/plant_health/lacey_act/downloads/lacey-act-SUDs.pdf

Record Identifier PG06 (Input)

This is a conditional PGA input record that provides data pertaining to Source Type (Origin) other than the CBP Country of Origin, in addition to Processing dates, Processing Type and Processing Description. This record may be used in conjunction with the PG05 to describe the relationship between the genus/species and country of origin, as necessary.

For the Lacey Act, the filer must submit a corresponding genus/species (PG05/PG06) for each Country of Harvest.

Record Identifier PG06 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 06.
Source Type Code	3AN	5-7	M	This code identifies what role the country had regarding a product, for example, harvested, grown, produced, processed, sold, or the source. For Lacey Act, use the code HRV = Harvested. For non-Lacey Act, see Appendix T (Source Type Code) of this publication for valid codes.
Country Code	2X	8-9	C	A two-letter code that identifies where the harvest, growth, production, processing sale, or catch took place or raw material came from. Valid International Organization for Standardization (ISO) Country and Currency Code codes are in Appendix B of this publication. For Lacey Act, if the list of possible countries of harvest is 10 or more, enter two asterisks (**) in lieu of the ISO Code. For shipments of wildlife (sea turtles, fish, etc) that are landed (introduced) in the US after harvest on the high seas, enter ZZ.	1
Geographic Location	20X	10-29	C	The state, province, or geographical location (example, North Atlantic Sea) where the harvest, growth, production, sale, or catch took place, or the source. For ocean geographic area location, see Appendix T of this publication for valid codes. For State or Province location, enter the appropriate code from Appendix B of this publication. Otherwise, enter the location.
Processing Start Date	8N	30-37	C	The date when the processing for the product started. This includes the harvesting vessel trip begin date. A numeric date in MMDDCCYY (month, day, century, year) format.
Processing End Date	8N	38-45	C	The date when the processing for the product ended. This includes the harvesting vessel trip end date. A numeric date in MMDDCCYY (month, day, century, year) format.
Processing Type Code	5AN	46-50	C	The code identifying the method of processing used to make the product. This includes the harvesting vessel’s fishing gear. See Appendix T (Processing Type Codes) of this publication for valid codes
Processing Description	30X	51-80	C	Text describing the processing methods. Mandatory if “Processing Type Code 017 - Other” is used

Note 1

For the Lacey Act, Country of Harvest means the Country in which the plant was taken, harvested, cut, logged or removed. This is NOT necessarily the Country of Origin or manufacture.

Record Identifier PG17 (Input)

This is a conditional PGA input record that provides data pertaining to the specific and general common name. This record may be repeated.

Record Identifier PG17 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 17.
Common Name (Specific)	30X	5-34	C	The specific portion of the common name of the item being imported.
Common Name (General)	30X	35-64	C	The general portion of the common name of the item being imported.
Live Venomous Wildlife Code	1A	65	C	Code of “Y” (Yes) indicating the shipment of live wildlife contains venomous species. No other code is accepted. Leave blank if not used.
Cartons Containing Wildlife	5N	66-70	C	Indicate the quantity of cartons in the entire shipment containing wildlife.
Filler	10X	71-80	M	Space fill

Record Identifier PG19 (Input)

This is a conditional PGA input record that provides data pertaining to Entity Role, Entity Identification, Entity Name, and Entity Address 1. This record is used to identify the entities and facilities (foreign & domestic) associated to this shipment. This record can be repeated if there are multiple entities.

Record Identifier PG19 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 19.
Entity Role Code	3AN	5-7	M	Identifies the role of the entity. For Example: Grower, producer, manufacturer, I-House, etc. If providing FDA actual manufacturer number, the FDA manufacturer is a site-specific location where the product is manufactured, produced, or grown. See Cargo Security Messaging System CSMS message 00-0824 for further information. For Prior Notice the site-specific manufacturer must be provided for processing products. The grower, when known, must be provided for unprocessed food. The consolidator should be provided when the grower is not known. If the CBP entry level ultimate consignee is foreign based, the FDA Consignee must be provided. See Appendix T (Entity Role Code) of this publication for valid codes.
Entity Identification Code	3AN	8-10	C	Identifies the code being used to describe the entity, for example: DUNS, IRS number, FDA Facility Code, Manufacturer ID. If providing a CBP-assigned number for a location, a FIRMS code must be given in the “entity number” field below. See Appendix T (Entity Identification Code) of this publication for valid codes.
Entity Number	15X	11-25	C	Identifier for the Entity.
Entity Name	32X	26-57	C	Name of the Entity if no DUNS, FIRMS, or Facility identifications exist.
Entity Address 1	23X	58-80	C	Address Line 1 for the Entity.

Record Identifier PG20 (Input)

This is a conditional PGA input record that provides additional data pertaining to Entity identification such as Entity Address line 2, Apartment/Suite, City, State, and Zip/Postal Code. This record is used with the PG19 and may be repeated if PG19 is repeated.

Record Identifier PG20 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 20.
Entity Address 2	32X	5-36	C	Address Line 2 for the Entity.
Entity Apartment Number/Suite Number	5X	37-41	C	Apartment/Suite number of the entity.
Entity City	21X	42-62	C	City of the entity.
Entity State/Province	3AN	63-65	C	State/Province of the entity. See Appendix B of this publication for valid codes.
Entity Country	2A	66-67	C	ISO Country Code. See Appendix B of this publication for valid codes.
Entity Zip/Postal Code	9X	68-76	C	Zip/Postal Code of the entity.
Filler	4X	77-80	M	Space fill

Record Identifier PG21 (Input)

This is a conditional PGA input record that provides data about an Individual and may also be related to an entity (the party) in the PG19 or PG22 record, or an inspection location referenced in the PG30. Included in this record are the Individual Name, Telephone Number, Fax Number, and Email address. If multiple Individuals are required by an agency, this record can be repeated and should follow each entity designated in the PG19 record. This record can also be repeated in cases where multiples of these data elements need to be reported for a single Individual. (For example, reporting two phone numbers, or an email and fax number).

Record Identifier PG21 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 21.
Individual Qualifier	3AN	5-7	C	Identify the type of party or facility the Individual represents. For example, person is associated to the grower, producer, I-house or filer, etc. For valid codes, use the Entity Role Codes from PG19 (See Appendix T of this publication.)
Individual Name	23X	8-30	C	Name of the Individual. If the name will not fit, complete PG24 and fill out the remarks code (Individual name) and then enter the name in the remarks text field.
Telephone Number of the Individual	15N	31-45	C	Telephone number of the Individual
Email Address or Fax Number for the Individual	35X	46-80	C	Option to either submit the Fax number or Email Address of the individual.

Record Identifier PG22 (Input)

This is a conditional PGA input record that provides data pertaining to Importers Substantiating Documents, Document Identifiers, Conformance Declarations, and Declaration Certifications. This record can be repeated if more than one Document Identifier or Conformance Declaration is needed.

Record Identifier PG22 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 22.
Importers Substantiating Signed Document /Signed Confirmation Letter	1A	5	C	A code of Y (yes) indicating that the importer has a copy of a document (contract, PGA permission letter, etc.) needed to import a product that is under a government agency jurisdiction. No other code is accepted.
Document Identifier	7AN	6-12	C	This code indicates the type of document or the specific PGA form number being certified. See Appendix T (Document Identifier) of this publication for valid codes.
Conformance Declaration	5X	13-17	C	This number corresponds to the box number from the PGA form. (Example, if DOT HS-7 box 2B is checked, enter “2B”). If no box numbers exist, use the Compliance Description field starting in position 51 of this record.
Entity Role Code	3AN	18-20	C	Identifies the entity making the declaration certification. If using this Data Element ensure that PG19, PG20, and PG21 are completed with appropriate name, address, and contact information, as required. For valid codes, use the Entity Role Codes from PG19 (See Appendix T of this publication.)
Declaration Code	4AN	21-24	C	Code indicating the declaration/ conformance criteria of an item. See Appendix T (Declaration Code) of this publication for valid codes.
Declaration Certification	1A	25	C	A code of Y (yes) indicating that the entity certifies the data or the signature is on file. No other code is accepted.
Date of Signature	8N	26-33	C	Date of the signature in MMDDCCYY (month, day, century, year) format.
Invoice Number	17X	34-50	C	The invoice number as issued by the supplier.
Compliance Description	30X	51-80	C	Text describing the information required by the PGA.

Record Identifier PG26 (Input)

This is a conditional PGA Record that provides data pertaining to Packaging Qualifier, Quantity, Unit of Measure, Package Identifier, Packaging Method, Package Material, and Packaging Filler. This record can be repeated up to six times per unique package size. The first record is used to describe the largest container (outermost container) and the number of containers. The second record is used to describe the contents of the next largest container. If needed, records 3-6 are used in a similar manner (largest to smallest container). The last quantity record used must describe the actual amount of the product in the smallest container.

When reporting a different package size of the same product, repeat this record using the method described above.

Record Identifier PG26 (Input)
Data Element	Length/Class	Position	Status	Description	Note
Control Identifier	2A	1‑2	M	Must always equal PG.
Record Type	2N	3-4	M	Must always be 26.
Packaging Qualifier	1N	5	M	This code identifies the level of packaging for the product. Outermost (largest=1) packages to the innermost (smallest=6) packages. There can be up to 6 levels of packaging. If reporting only one level, show the total quantity for the item and report that as level 6.
Quantity	12N	6-17	C	The total quantity for the packaging level. Two decimal places are implied. The base quantity must always be the last quantity transmitted.
Unit of Measure (Packaging Level)	5X	18-22	C	The unit of measure for the packaging level. For FDA, must use units in Appendix T (FDA Units of Measure for Packaging Containers) for all packaging levels except the lowest level; use units in Appendix T (FDA Units of Measure for the Base Unit) for the lowest level. For other agencies, all units of measure in Appendix B (Shipping/Packaging Unit Codes), Appendix C (Tariff Abbreviations), and associated with PG26 in Appendix T of this publication can be used.
Package Identifier	25X	23 - 47	C	The specific identifier on the packaging such as dates or codes (marks and numbers). This does not include lot number, which is specified elsewhere.
Packaging Method	3AN	48-50	C	The method used in packing the product e.g. shrink-wrapped. Valid methods are listed in Appendix B (Shipping/Packaging Unit Codes) of this publication.
Package Material	15X	51-65	C	The type of material used to package the product, such as wooden crates, metal boxes, glass bottles.
Package Filler	15X	66-80	C	Type of filler used within the package, such as hay, paper, and plastic.

IG_PGA Message Set_v7_03_08_2013 DRAFT – Partner Government Agencies – DRAFT PGA-19