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Classification
Valuation
Trade Compliance
Duty Exemptions
Penalties
Prior Disclosure
Seizures & Detention
Country of Origin
Duty Drawback
Broker Compliance
C-TPAT
Focused Assessment
FDA Import
Requirements
U.S. Export
Control/Licensing
Newsletters
Focused Assessment Program (FAP) - Documents
The Focused Assessment Program documents initially issued in October 2001 and then revised in December 2002 have been replaced by the FAP documents released in October 2003 and revised in September 2005.
 
Focused Assessment Program (FA)- Overview
ppt - 299 KB. FAP Documents Download Entire File (582 pages) - pdf versionpdf - 106 KB.
   
- FAP Documents Download Entire File
(2/21/2008)
Warning: This is a large PDF file which includes a Table of Contents that is linked to specific Exhibits. You may wish to right-click the link and save it to your desktop before opening.
FAP Documents Download Entire File (582 pages) - pdf versionpdf - 3,493 KB.
- Focused Assessment Program (FAP) Cover Letter - (Revisions as of December 2002)
- Summary of Significant Changes - December 2002
Summary of Significant Changes - December 2002 - doc versiondoc - 21 KB. Summary of Significant Changes - December 2002 - pdf versionpdf - 5 KB.
- Summary of Significant Changes - October 2002
Summary of Significant Changes - October 2002 - doc versiondoc - 26 KB. Summary of Significant Changes - October 2002 - pdf versionpdf - 54 KB.
- Exhibit 1 Introduction
(10/1/2003)
Exhibit 1 Introduction - pdf versionpdf - 35 KB.
- Exhibit 2A Internal Control Questionnaire for Focused Assessments
(10/1/2003)
Exhibit 2A Internal Control Questionnaire for Focused Assessments - pdf versionpdf - 49 KB.
- Exhibit 2B Electronic Data Processing (EDP) Questionnaire for Focused Assessments
(10/1/2003)
Exhibit 2B Electronic Data Processing (EDP) Questionnaire for Focused Assessments - pdf versionpdf - 23 KB.
- Exhibit 2C Pre-Assessment Survey Audit Program
(10/1/2003)
Exhibit 2C Pre-Assessment Survey (PAS) Audit - pdf versionpdf - 84 KB.
- Exhibit 2D Assessment Compliance Testing Audit Program
(10/1/2003)
Exhibit 2D Assessment Compliance Testing (ACT) Audit Program - pdf versionpdf - 222 KB.
- Exhibit 2E Focused Assessment Follow-up Audit Program
(10/1/2003)
Exhibit 2E Focused Assessment Follow-up Audit - pdf versionpdf - 27 KB.
- Exhibit 3A Guidance for Using Risk Exposure to Determine Review Areas
(10/1/2003)
Exhibit 3A Guidance for Using Risk Exposure to Determine Review Areas - pdf versionpdf - 56 KB.
- Exhibit 3B Consideration of Internal Control in a Customs Compliance Audit
(10/1/2003)
Exhibit 3B Consideration of Internal Control in a Customs Compliance Audit - pdf versionpdf - 142 KB.
- Exhibit 3C Internal Control Summary by Component
(10/1/2003)
Exhibit 3C Internal Control Summary by Component - pdf versionpdf - 32 KB.
- Exhibit 3D Internal Control Management and Evaluation Tool
(10/1/2003)
Exhibit 3D Internal Control Management and Evaluation - pdf versionpdf - 58 KB.
- Exhibit 3E Guidance for the Internal Control Interviewing Process
(10/1/2003)
Exhibit 3E Guidance for the Internal Control Interviewing Process - pdf versionpdf - 33 KB.
- Exhibit 3F Risk Opinion under Focused Assessments
(10/1/2003)
Exhibit 3F Risk Opinion under Focused Assessments - pdf versionpdf - 74 KB.
- Exhibit 3G Timely Completion and Resolution of Issues of Focused Assessments
(10/1/2003)
Exhibit 3G Timely Completion and Resolution of Issues of Focused Assessments - pdf versionpdf - 35 KB.
- Exhibit 3H Resolving "Gray Areas" of Harmonized Tarif Schedule (HTS) Classification
(10/1/2003)
Exhibit 3H Resolving quot;Gray Areasquot; of Harmonized Tarif Schedule (HTS) Classification - pdf versionpdf - 24 KB.
- Exhibit 3I Errors Disclosed to Customs
(10/1/2003)
Exhibit 3I Errors Disclosed to Customs - pdf versionpdf - 19 KB.
- Exhibit 3J Treatment of Ultimate Consignee Transactions in a Focused Assessment
(10/31/2005)
Exhibit 3J Treatment of Ultimate Consignee Transactions in a Focused Assessment - pdf versionpdf - 12 KB.
- Exhibit 4A Example of Internal Control Manual
(10/1/2003)
Exhibit 4A Example of Internal Control - pdf versionpdf - 493 KB.
- Exhibit 4B Common Importer Errors Identified During Assessments and Audits
(10/1/2003)
Exhibit 4B Common Importer Errors Identified During Assessments and Audits - pdf versionpdf - 51 KB.
- Exhibit 4C Prior Disclosures During a Focused Assessment
(10/1/2003)
Exhibit 4C Prior Disclosures During a Focused Assessment - pdf versionpdf - 48 KB.
- Exhibit 4D - See Exhibit 3G
(10/1/2003)
Exhibit 4D Timely Completion and Resolution of Issues of Focused Assessments (see Exhibit 3G above) - pdf versionpdf - 9 KB.
- Exhibit 4E Compliance Improvement Plan Framework
(10/1/2003)
Exhibit 4E Compliance Improvement Plan Framework - pdf versionpdf - 42 KB.
- Exhibit 4F A Guide for Supporting Generalized System of Preferences (GSP) Claims
(10/1/2003)
Exhibit 4F A Guide for Supporting Generalized System of Preferences (GSP) Claims - pdf versionpdf - 233 KB.
- Exhibit 4G Not Used
(10/1/2003)
Exhibit 4G Account Profiles (under development) - pdf versionpdf - 9 KB.
- Exhibit 4H -see Exhibit 3D
(10/1/2003)
Exhibit 4H Internal Control Management and Evaluation Tool (see Exhibit 3D above) - pdf versionpdf - 9 KB.
- Exhibit 4I Importer Quantification
(10/1/2003)
Exhibit 4I Importer Quantification - pdf versionpdf - 14 KB.
- Exhibit 5A PAS Internal Control Overview
(10/1/2003)
Exhibit 5A PAS Internal Control Overview - pdf versionpdf - 22 KB.
- Exhibit 5B Transaction Value - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5B Transaction Value - PAS Internal Control Technical Guide - pdf versionpdf - 289 KB.
- Exhibit 5C Computed Value - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5C Computed Value - PAS Internal Control Technical Guide - pdf versionpdf - 221 KB.
- Exhibit 5D Classification - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5D Classification - PAS Internal Control Technical Guide - pdf versionpdf - 191 KB.
- Exhibit 5E HTSUS 9801.00.10 - U.S. Goods Returned - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5E HTSUS 9801.00.10 - U.S. Goods Returned - PAS Internal Control Technical Guide - pdf versionpdf - 225 KB.
- Exhibit 5F HTSUS 9802.00.40 and HTSUS 9802.00.50 - Articles Exported for Repairs and Alterations - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5F HTSUS 9802.00.40 and HTSUS 9802.00.50 - Articles Exported for Repairs and Alterations - PAS Internal Control Technical Guide - pdf versionpdf - 217 KB.
- Exhibit 5G HTSUS 9802.00.60 - Metal Articles Previously Exported for Processing - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5G HTSUS 9802.00.60 - Metal Articles Previously Exported for Processing - PAS Internal Control Technical Guide - pdf versionpdf - 217 KB.
- Exhibit 5H HTSUS 9802.00.80 - U.S. Article Assembled Abroad - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5H HTSUS 9802.00.80 - U.S. Article Assembled Abroad - PAS Internal Control Technical Guide - pdf versionpdf - 244 KB.
- Exhibit 5I HTSUS 9802.00.90 - U.S. Formed and Cut Fabric Assembled in Mexico - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5I HTSUS 9802.00.90 - U.S. Formed and Cut Fabric Assembled in Mexico - PAS Internal Control Technical Guide - pdf versionpdf - 248 KB.
- Exhibit 5J Anti-Dumping Duties / Countervailing Duties (ADD / CVD) - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5J Antidumping duties and Countervailing Duties - PAS Internal Control Technical Guide - pdf versionpdf - 187 KB.
- Exhibit 5K-1 Foreign Trade Zones (FTZ) - Manufacturing - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5K-1 Foreign Trade Zones - Manufacturing - PAS Internal Control Technical Guide - pdf versionpdf - 239 KB.
- Exhibit 5K-2 Foreign Trade Zones (FTZ) - Petroleum - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5K-2 Foreign Trade Zones - Petroleum - PAS Internal Control Technical Guide - pdf versionpdf` - 290 KB.
- Exhibit 5L Transshipment - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5L Transshipment - PAS Internal Control Technical Guide - pdf versionpdf - 266 KB.
- Exhibit 5M Generalized System of Preferences - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5M Generalized System of Preferences - PAS Internal Control Technical Guide - pdf versionpdf - 205 KB.
- Exhibit 5N Carribean Basin Economic Recovery Act and Carribean Basin TradePartnership Act - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5N Caribbean Basin Economic Recovery Act and Caribbean Basin Trade Partnership Act - PAS Internal Control Technical Guide - pdf versionpdf - 259 KB.
- Exhibit 5O Andean Trade Preference Act (APTA) - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5O Andean Trade Preference Act - PAS Internal Control Technical Guide - pdf versionpdf - 254 KB.
- Exhibit 5P Products of Insular Possessions - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5P Products of Insular Possessions - PAS Internal Control Technical Guide - pdf versionpdf - 229 KB.
- Exhibit 5Q Israel Free Trade Area (IFTA) - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5Q Israel Free Trade Area - PAS Internal Control Technical Guide - pdf versionpdf - 249 KB.
- Exhibit 5R African Growth and Opportunity Act - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5R African Growth and Opportunity Act - PAS Internal Control Technical Guide - pdf versionpdf - 273 KB.
- Exhibit 5S Quantity - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5S Quantity - PAS Internal Control Technical Guide - pdf versionpdf - 193 KB.
- Exhibit 5T Reconciliation - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5T Reconciliation - PAS Internal Control Technical Guide - pdf versionpdf - 257 KB.
- Exhibit 5U Intellectual Property Rights - Technical Information for Pre-Assessment Survey (TIPS)
(12/18/2007)
Exhibit 5U Intellectual Property Rights - PAS Internal Control Technical Guide - pdf versionpdf - 52 KB.
- Exhibit 5V North American Free Trade Agreement (NAFTA) - Technical Information for Pre-Assessment Survey (TIPS)
(10/1/2003)
Exhibit 5V Free Trade of the Americas (FTAA) - PAS Internal Control Technical Guide (will be developed when the Act is passed) - pdf versionpdf - 324 KB.
- Exhibit 6A Sampling Technical Guide
(10/31/2004)

Exhibit 6A (Appendix I) Sampling Steps - pdf version pdf - 121 KB.

- Exhibit 6A (Appendix I) Sampling Steps
(10/31/2004)
Exhibit 6A (Appendix I) Sampling Steps - pdf versionpdf - 285 KB.
- Exhibit 6A (Appendix II) Sampling Methodology Diagrams
(10/31/2004)
Exhibit 6A (Appendix II) Sampling Methodology Diagrams - pdf versionpdf - 447 KB.
- Exhibit 6A (Appendix III) Sampling Methodology Table
(10/31/2004)
Exhibit 6A (Appendix III) Sampling Methodology Table - xls versionxls - 28 KB. Exhibit 6A (Appendix III) Sampling Methodology Table - pdf versionpdf - 58 KB.
- Exhibit 6A (Appendix IV) Sampling Plans
(10/31/2004)
Exhibit 6A (Appendix III) Sampling Methodology Table - xls versionxls - 126 KB. Exhibit 6A (Appendix II) Sampling Methodology Diagrams - pdf versionpdf - 233 KB.
- Exhibit 6A (Appendix V) Example Audit Report
(10/31/2004)
Exhibit 6A (Appendix II) Sampling Methodology Diagrams - pdf versionpdf - 131 KB.
- Exhibit 6A (Appendix VI) Glossary of Sampling Terms
(10/31/2004)
Exhibit 6A (Appendix II) Sampling Methodology Diagrams - pdf versionpdf - 124 KB.
- Exhibit 6A (Appendix VII) Reading List for Audit Sampling
(10/31/2004)
Exhibit 6A (Appendix VII) Reading List for Audit Sampling - pdf versionpdf - 49 KB.

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