19 CFR 173.4a Correction of clerical error prior to liquidation.
Pursuant to section 520(a)(4), Tariff Act of 1930, as amended (19
U.S.C. 1520(a)(4)), the district director may, prior to liquidation of
an entry, take appropriate action to correct a clerical error that
resulted in the deposit or payment of excess duties, fees, charges, or
exactions.
(T.D. 85-123, 50 FR 29957, July 23, 1985)
19 CFR 173.5 Review of entry covering household or personal effects.
An error in the liquidation of an entry covering household or
personal effects may be corrected by the district director even though a
timely protest was not filed if an application for refund is filed with
the district director within 1 year after the date of the entry and no
waiver of compliance with applicable regulations is involved other than
a waiver which the district director has authority to grant. Where the
district director has no authority to grant the waiver, the application
shall be referred to the Commissioner of Customs.
19 CFR 173.6 Review of entry for fraud.
The district director may review any entry in which fraud is
suspected. Where probable cause to believe there is fraud in the case
is found by the district director, he may reliquidate an entry within 2
years (exclusive of the time during which a protest is pending) after
the date of liquidation or last reliquidation.
19 CFR 173.6 PART 174 -- PROTESTS
Sec.
174.0 Scope.
19 CFR 173.6 Subpart A -- General Provisions
174.1 Definitions.
174.2 Applicability of provisions.
174.3 Power of attorney to file protest.
19 CFR 173.6 Subpart B -- Protests
174.11 Matters subject to protest.
174.12 Filing of protests.
174.13 Content of protest.
174.14 Amendment of protests.
174.15 Consolidation of protests filed by different parties.
174.16 Limitation on protests after reliquidation.
19 CFR 173.6 Subpart C -- Review and Disposition of Protests
174.21 Time for review of protests.
174.22 Accelerated disposition of protest.
174.23 Further review of protests.
174.24 Criteria for further review.
174.25 Application for further review.
174.26 Review of protest after application for further review.
174.27 Disposition after further review.
174.28 Consideration of additional arguments.
174.29 Allowance or denial of protests.
174.30 Notice of denial of protest.
174.31 Judicial review of denial of protest.
174.32 Publication.
Authority: R.S. 251, as amended, sec. 624, 46 Stat. 759; 19
U.S.C. 66, 1624, unless otherwise noted. Subpart B also issued under
sec. 514, 46 Stat. 736, as amended; 19 U.S.C. 1514. Subpart C also
issued under sec. 515, 46 Stat. 736, as amended; 19 U.S.C. 1515.
Source: T.D. 70-181, 35 FR, 13429, Aug. 22, 1970, unless otherwise
noted.
19 CFR 174.0 Scope.
This part deals with the administrative review of decisions of the
district director, including the requirements for the filing of protests
against such decisions, amendment of protests, review and accelerated
disposition, and provisions dealing with further administrative review.
19 CFR 174.0 Subpart A -- General Provisions
19 CFR 174.1 Definitions.
When used in this part, the following terms shall have the meaning
indicated:
(a) District director. ''District director'' means the district
director of Customs at a headquarters port other than the port of New
York, N.Y., and the regional commissioner of Customs for Customs Region
II at the port of New York, N.Y.
(b) Further review. ''Further review'' means review of the decision
which is the subject of the protest by Customs officers on a level
higher than the district, and in Region II by Customs officers who did
not participate directly in the decision which is the subject of the
protest.
19 CFR 174.2 Applicability of provisions.
(a) In general. The provisions of this part shall be applicable to
protests against decisions involving:
(1) Articles excluded from entry or entered or withdrawn from
warehouse for consumption on or after October 1, 1970;
(2) Articles entered or withdrawn from warehouse for consumption
prior to October 1, 1970, for which appraisement has not become final by
October 1, 1970;
(3) Articles entered or withdrawn from warehouse for consumption
prior to October 1, 1970, for which the appraisement has become final
but with respect to which the entry has not been liquidated prior to
October 1, 1970;
(4) Articles entered or withdrawn from warehouse for consumption with
respect to which the entry has been liquidated prior to October 1, 1970,
if
(i) The time for filing a protest has not expired and a protest has
not been filed prior to October 1, 1970; or
(ii) A protest has been filed and has not been disallowed in whole or
in part before October 1, 1970; or
(5) Articles excluded from entry before October 1, 1970, with respect
to which
(i) The time for filing a protest has not expired and a protest has
not been filed prior to October 1, 1970; or
(ii) A protest has been filed and has not been disallowed in whole or
in part before October 1, 1970.
(b) Limitation -- (1) Appraisement not final. When the appraisement
of articles entered or withdrawn from warehouse for consumption prior to
October 1, 1970, is not final by October 1, 1970, because an appeal for
reappraisement was timely filed prior to such date, the provisions of
this part relating to protests shall be applicable to a protest filed
after the court's decision on the appeal to reappraisement has become
final. Such protest shall not include issues which were raised or could
have been raised on the appeal for reappraisement.
(2) Appraisement final. When the appraisement of articles entered or
withdrawn from warehouse for consumption prior to October 1, 1970, has
become final prior to October 1, 1970, but the entry has not been
liquidated by such date, a protest filed in accordance with the
provisions of this part after such liquidation shall not include issues
which were raised or could have been raised on an appeal to
reappraisement before the appraisement became final.
(3) Protest not disallowed. When a protest filed prior to October 1,
1970, has not been disallowed in whole or in part before such date, the
provisions of this part shall be applicable to such protests. The time
within which any action must be taken under the provisions of this part
with respect to such a protest shall commence on the date the protest
was in fact filed.
(T.D. 70-181, 35 FR, 13429, Aug. 22, 1970, as amended by T.D. 71-60,
36 FR 3116, Feb. 18, 1971)
19 CFR 174.3 Power of attorney to file protest.
(a) When required. When a protest is filed by a person acting as
agent or attorney in fact for the principal, other than an attorney at
law or a customhouse broker or his authorized employee acting in his
behalf, there shall have been filed or shall be filed with the protest a
power of attorney which either specifically authorizes such agent to
make, sign, and file the protest or grants unlimited authority to such
agent. No power of attorney to file a protest shall be required in the
following cases:
(1) Attorney at law. When the protest is filed by an attorney at law
as agent or attorney for the principal, the signing of the protest as
agent or attorney for the principal by the attorney at law shall be
considered a declaration by him that he is currently a member in good
standing of the highest court of a State, possession, territory,
commonwealth, or the District of Columbia, and has been authorized to
sign and file the protest for the principal.
(2) Customhouse broker or his employee. When a protest is filed by a
customhouse broker, or an authorized employee acting in his behalf, as
agent or attorney in fact for the principal, the signing of the protest
by the customhouse broker or an authorized employee in his behalf shall
be considered a declaration by the broker that he or the employee
signing in his behalf, is authorized to sign and file the protest for
the principal. The customhouse broker shall have, however, a general
power of attorney to transact Customs business for the principal on
Customs Form 5291.
(b) Execution of power of attorney -- (1) Corporation. A corporate
power of attorney to file protests shall be signed by a duly authorized
officer or employee of the corporation. If the district director is
otherwise satisfied as to the authority of such corporate officer or
employee to grant such power of attorney, compliance with the
requirements of 141.37 of this chapter may be waived with respect to
such power.
(2) Partnership. A partnership power of attorney to file protests
may be signed by one member in the name of the partnership, provided the
power recites the name of all the members.
(c) Duration. Powers of attorney issued by a partnership shall be
limited to a period not to exceed 2 years from the date of receipt
thereof by the district director. All other powers of attorney may be
granted for an unlimited period.
(d) Revocation. Any power of attorney shall be subject to revocation
at any time by written notice given to and received by the district
director.
(Secs. 514, 515, 46 Stat. 734, as amended; 19 U.S.C. 1514, 1515)
(T.D. 70-181, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 70-224,
35 FR 16243, Oct. 16, 1970; T.D. 73-175, 38 FR 17487, July 2, 1973)
19 CFR 174.3 Subpart B -- Protests
19 CFR 174.11 Matters subject to protest.
The following decisions of the district director, including the
legality of all orders and findings entering into the same, may be
protested under the provisions of section 514, Tariff Act of 1930, as
amended (19 U.S.C. 1514):
(a) The appraised value of merchandise;
(b) The classification and rate and amount of duties chargeable;
(c) All charges or exactions of whatever character within the
jurisdiction of the Secretary of the Treasury;
(d) The exclusion of merchandise from entry or delivery under any
provision of the Customs laws;
(e) The liquidation or reliquidation of an entry, or any modification
thereof;
(f) The refusal to pay a claim for drawback; and
(g) The refusal to reliquidate an entry under section 520(c), Tariff
Act of 1930, as amended (19 U.S.C. 1520(c)).
19 CFR 174.12 Filing of protests.
(a) By whom filed. Protests may be filed by:
(1) The importer or consignee shown on the entry papers, or their
sureties;
(2) Any person paying any charge or exaction;
(3) Any person seeking entry or delivery;
(4) Any person filing a claim for drawback; or
(5) Any authorized agent of any of the persons described in
paragraphs (a) (1) through (4) of this section, subject to the
provisions of 174.3.
(b) Form and number of copies. Protests against decisions of a
district director shall be filed in quadruplicate on Customs Form 19 or
a form of the same size clearly labeled ''Protest'' and setting forth
the same content in its entirety, in the same order, addressed to the
district director. All schedules or other attachments to a protest
(other than samples or similar exhibits) shall also be filed in
quadruplicate.
(c) Signature. The protest shall be signed by the person filing the
protest, or his agent, or attorney. If the person filing is not the
importer of record or consignee, he shall include his address and
importer number, if any.
(d) Place of filing. Protests shall be filed with the district
director whose decision is protested except that, when the entry
underlying the decision protested is filed at a port other than the
district headquarters, the protest may be filed with the port director
at that port.
(e) Time of filing. Protests shall be filed, in accordance with
section 514, Tariff Act of 1930, as amended (19 U.S.C. 1514), within 90
days after either:
(1) The date of notice of liquidation or reliquidation in accordance
with 159.9 or 159.10 of this chapter;
(2) The date of the decision, involving neither a liquidation nor
reliquidation, as to which the protest is made (e.g., the date of an
exaction, the date of written notice excluding merchandise from entry or
delivery under any provision of the Customs laws or the date of a
refusal to reliquidate under section 520(c)(1) of the Tariff Act of
1930, as amended); or
(3) The date of mailing of notice of demand for payment against a
bond in the case of a surety which has an unsatisfied legal claim under
a bond written by the surety.
(f) Date of filing. The date on which a protest is received by the
Customs officer with whom it is required to be filed shall be deemed the
date on which it is filed.
(g) Return of fifth copy. If a fifth copy of the protest is
presented for the purpose of having recorded thereon the date of its
receipt and the protest number assigned thereto, such information shall
be recorded thereon and the fifth copy shall be returned to the person
filing the protest.
(T.D. 70-181, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 71-15,
36 FR 778, Jan. 16, 1971; 36 FR 1058, Jan. 22, 1971; T.D. 73-175, 38
FR 17488, July 2, 1973; T.D. 80-271, 45 FR 75642, Nov. 17, 1980)
19 CFR 174.13 Contents of protest.
(a) Contents, in general. A protest shall contain the following
information:
(1) The name and address of the protestant, i.e., the importer of
record or consignee, and the name and address of his agent or attorney
if signed by one of these;
(2) The importer number of the protestant. If the protestant is
represented by an agent having power of attorney, the importer number of
the agent shall also be shown;
(3) The number and date of the entry;
(4) The date of liquidation of the entry, or the date of a decision
not involving a liquidation or reliquidation;
(5) A specific description of the merchandise affected by the
decision as to which protest is made;
(6) The nature of, and justification for the objection set forth
distinctly and specifically with respect to each category, payment,
claim, decision, or refusal;
(7) The date of receipt and protest number of any protest previously
filed that is the subject of a pending application for further review
pursuant to subpart C of this part and that is alleged to involve the
same merchandise and the same issues, if the protesting party requests
disposition in accordance with the action taken on such previously filed
protest; and
(8) If another party has not filed a timely protest, the surety's
protest shall certify that the protest is not being filed collusively to
extend another authorized person's time to protest.
(b) Multiple entries. A single protest may be filed with respect to
more than one entry in any district if all such entries involve the same
protesting party, and if the same category of merchandise and a decision
or decisions common to all entries are the subject of the protest. In
such circumstances, the entry numbers, dates of entry, and dates of
liquidation of all such entries, as well as the ports of entry where
they may not coincide, should be set forth as an attachment to the
protest.
(c) Optional designation for refunds. If desired by the
importer/consignee the statement ''any refunds with respect to the entry
under protest shall be mailed to the importer/consignee in care of
---------------------------- ''
(Name and Address of Agent)
may be appended to the protest. This designation supersedes any
existing designation previously authorized on Customs Form 4811.
(T.D. 70-181, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 174.14 Amendment of protests.
(a) Time for filing. A protest may be amended at any time prior to
the expiration of the 90-day period within which such protest may be
filed determined in accordance with 174.12(e). The amendment may assert
additional claims pertaining to the administrative decision which is the
subject of the protest, or may challenge an additional administrative
decision relating to the same category of merchandise which is the
subject of the protest. For the presentation of additional grounds or
arguments in support of a valid protest after the 90-day period has
expired see 174.28.
(b) Form and number of copies of amendment. An amendment to a
protest shall be filed in quadruplicate on Customs Form 19 or on a form
of the same size, clearly labeled ''Amendment to Protest'' at the top of
the form. Schedules or other attachments (other than samples or similar
exhibits) shall also be filed in quadruplicate.
(c) Contents. An amendment to a protest shall contain the following
information:
(1) The name, address, and importer number of the protesting party,
i.e., the importer of record or consignee, and the name and address of
his agent or attorney if filed by one of these;
(2) The number and date of filing of the original protest;
(3) A specific description of the merchandise affected by the
decision as to which the amendment to the protest is filed;
(4) The nature of and justification for the objection raised by the
amendment set forth distinctly and specifically with respect to each
category, payment, claim, decision, or refusal; and
(5) The date of receipt and protest number of any protest previously
filed that is the subject of a pending application for further review
and that is alleged to involve the same merchandise and the same issues
involved in the amendment.
(d) By whom filed and signed. An amendment to a protest may be filed
and signed only by the person filing such protest or his agent or
attorney subject to the provisions of 174.3.
(e) Place and date of filing. An amendment to a protest shall be
filed with the district director or port director with whom the protest
was filed. The amendment shall be deemed filed on the date it is
received by the Customs officer with whom it is required to be filed.
(f) Return of fifth copy. If a fifth copy of the amendment is
presented for the purpose of having recorded thereon the date of its
receipt, such information shall be recorded thereon and the fifth copy
shall be returned to the person filing the amendment.
19 CFR 174.15 Consolidation of protests filed by different parties.
Separate protests relating to one category of merchandise covered by
an entry shall be considered as a single protest whether filed as a
single protest or filed as separate protests relating to the same
category by one or more parties in interest or an authorized agent.
19 CFR 174.16 Limitation on protests after reliquidation.
A protest shall not be filed against the decision of the district
director on reliquidation upon any question not involved in the
reliquidation.
19 CFR 174.16 Subpart C -- Review and Disposition of Protests
19 CFR 174.21 Time for review of protests.
(a) In general. Except as provided in paragraph (b) of this section,
the district director shall review and act on a protest filed in
accordance with section 514, Tariff Act of 1930, as amended (19 U.S.C.
1514), within 2 years from the date the protest was filed. If several
timely filed protests are treated as part of a single protest pursuant
to 174.15, the 2-year period shall be deemed to run from the date the
last such protest was filed in accordance with section 514, Tariff Act
of 1930, as amended (19 U.S.C. 1514).
(b) Protests relating to exclusion of merchandise. If the protest
relates to an administrative action involving exclusion of merchandise
from entry or delivery under any provision of the Customs laws, the
district director shall review and act on a protest filed in accordance
with section 514, Tariff Act of 1930, as amended (19 U.S.C. 1514),
within 30 days from the date the protest was filed, unless the person
filing the protest shall request an additional delay for the purpose of
presenting evidence or argument with respect to the matters involved in
the protest. In no event shall the district director (or the
Commissioner of Customs or his designee if the protest is the subject of
further review as provided for in 174.25 and 174.26) delay action on
the protest beyond 30 days, or such additional time period as may be
agreed to by the person filing the protest. Any protest filed pursuant
to this paragraph shall clearly so state on its face.
(T.D. 74-37, 39 FR 2470, Jan. 22, 1974)
19 CFR 174.22 Accelerated disposition of protest.
(a) Request for accelerated disposition. Accelerated disposition of
a protest filed in accordance with section 514, Tariff Act of 1930, as
amended (19 U.S.C. 1514) may be obtained at any time after 90 days from
the filing of such protest, by filing by registered or certified mail a
written request for accelerated disposition with the district director
to whom the protest was addressed.
(b) Contents of request. A request for accelerated disposition of
protest shall contain the following information:
(1) The name, address, and importer number of the protestant, i.e.,
the importer of record or consignee, and the name and address of his
agent or attorney if filed by one of these; and
(2) The date of filing and number of the protest for which
accelerated disposition is requested.
(c) Review following request. The district director shall review the
protest which is the subject of the request within 30 days from the date
of mailing of a request for accelerated disposition filed in accordance
with the provisions of this section, and may allow or deny the protest
in whole or in part.
(d) Failure to allow or deny protest within 30-day period. If the
district director fails to allow or deny a protest which is the subject
of a request for accelerated disposition within 30 days from the date of
mailing of such request, the protest shall be deemed to have been denied
at the close of the 30th day following such date of mailing.
(e) Multiple protests. If several protests by different persons are
timely filed and treated as part of a single protest pursuant to
174.15, a request for accelerated disposition filed by any one of the
protesting parties shall be treated as a request for accelerated
disposition by all the parties.
19 CFR 174.23 Further review of protests.
A protesting party may seek further review of a protest in lieu of
review by the district director by filing, on the form prescribed in
174.25, an application for such review within the time allowed and in
the manner prescribed by 174.12 for the filing of a protest. The
filing of an application for further review shall not preclude a
preliminary examination by the district director whose decision is the
subject of the protest for the purpose of determining whether the
protest may be allowed in full. If such preliminary examination
indicates that the protest would be denied in whole or in part by the
district director in the absence of an application for further review,
however, he shall forward the protest and application for consideration
in accordance with 174.26.
19 CFR 174.24 Criteria for further review.
Further review of a protest which would otherwise be denied by the
district director shall be accorded a party filing an application for
further review which meets the requirements of 174.25 when the decision
against which the protest was filed:
(a) Is alleged to be inconsistent with a ruling of the Commissioner
of Customs or his designee, or with a decision made in any district with
respect to the same or substantially similar merchandise;
(b) Is alleged to involve questions of law or fact which have not
been ruled upon by the Commissioner of Customs or his designee or by the
Customs courts;
(c) Involves matters previously ruled upon by the Commissioner of
Customs or his designee or by the Customs courts but facts are alleged
or legal arguments presented which were not considered at the time of
the original ruling; or
(d) Is alleged to involve questions which the Headquarters Office,
United States Customs Service, refused to consider in the form of a
request for internal advice pursuant to 177.11(b)(5) of this chapter.
(T.D. 70-181, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 71-133,
36 FR 8732, May 12, 1971; T.D. 75-186, 40 FR 31928, July 30, 1975)
19 CFR 174.25 Application for further review.
(a) Form and number of copies. An application for further review may
be filed on the same Customs Form 19 used for filing the protest for
which further review is requested, or on a separate Customs Form 19. In
either case, the Customs Form 19 shall be filed in quadruplicate. If a
fifth copy of the application is presented for the purpose of having
recorded thereon the date of its receipt, such information shall be
recorded thereon and the fifth copy shall be returned to the person
filing the application.
(b) Contents. An application for further review shall contain the
following information:
(1) Information identifying the protest to which it applies and the
protesting party and his importer number;
(2) Allegations that the protesting party:
(i) Has not previously received an adverse administrative decision
from the Commissioner of Customs or his designee nor has presently
pending an application for an administrative decision on the same claim
with respect to the same category of merchandise; and
(ii) Has not received a final adverse decision from the Customs
courts on the same claim with respect to the same category of
merchandise and does not have an action involving such a claim pending
before the Customs courts.
(3) A statement of any facts or additional legal arguments, not part
of the record, upon which the protesting party relies, including the
criterion set forth in 174.24 which justifies further review. A
showing of facts that support the allegation of a criterion set forth in
174.24(c) will constitute a ground for the granting of further review
in circumstances where the applicant's inability to affirmatively make
the allegations described in paragraph (b)(2) of this section would
otherwise result in its denial.
(T.D. 70-81, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 78-99, 43
FR 13062, Mar. 29, 1978)
19 CFR 174.26 Review of protest after application for further review.
(a) Protest allowed. If upon examination of a protest for which an
application for further review was filed the district director is
satisfied that the claim is valid, he shall allow the protest.
(b) Other protests. If upon examination of a protest for which an
application for further review was filed the district director decides
that the protest in his judgment should be denied in whole or in part,
he shall forward the application together with the protest and
appropriate documents to be reviewed as follows:
(1) A protest shall be reviewed by the Commissioner of Customs or his
designee under Customs Delegation Order No. 1 (Revision 1), T.D.
69-126 (34 FR 8208), as amended from time to time, if the protest and
application for review raise an issue involving either:
(i) Lack of uniformity of treatment;
(ii) The existence of an established and uniform practice;
(iii) The interpretation of a court decision or ruling of the
Commissioner of Customs or his designee; or
(iv) Questions which have not been the subject of a Headquarters,
U.S. Customs Service ruling or court decision.
(2) All other protests shall be reviewed by the regional commissioner
of Customs or his designee for the region in which the district lies.
Such designee shall be a Customs officer who did not participate
directly in the decision which is the subject of the protest.
19 CFR 174.27 Disposition after further review.
Upon completion of further review, the protest and appropriate
documents forwarded for review shall be returned to the district
director together with directions for the disposition of the protest.
19 CFR 174.28 Consideration of additional arguments.
In determining whether to allow or deny a protest filed within the
time allowed, a reviewing officer may consider alternative claims and
additional grounds or arguments submitted in writing by the protesting
party with respect to any decision which is the subject of a valid
protest at any time prior to disposition of the protest. In any case in
which alternative claims or additional grounds or arguments are
submitted orally, they shall be considered in the allowance or denial of
the protest only if submitted in writing in conjunction with, or no
later than 60 days after, such oral submission.
(R.S. 251, as amended, secs. 514, 624, 46 Stat. 734, as amended, 759;
19 U.S.C. 66, 1514, 1624)
(T.D. 71-15, 36 FR 778, Jan. 16, 1971)
19 CFR 174.29 Allowance or denial of protests.
The district director shall allow or deny in whole or in part a
protest filed in accordance with section 514, Tariff Act of 1930, as
amended, 19 U.S.C. 1514) within 2 years from the date the protest was
filed. If the protest is allowed in whole or in part the district
director shall remit or refund any duties, charge, or exaction found to
have been collected in excess, or pay any drawback found due. If the
protest is denied in whole or in part the district director shall give
notice of the denial in the form and manner prescribed in 174.30.
19 CFR 174.30 Notice of denial of protest.
(a) Issuance of notice. Notice of denial of a protest shall be
mailed to any person filing a protest or his agent in all cases other
than those in which accelerated disposition was requested and in which
no action has been taken within 30 days after the date of mailing of the
request. The notice shall include a statement of the reasons for the
denial, as well as a statement informing the protesting party of the
right to file a civil action contesting the denial of the protest under
section 514, Tariff Act of 1930, as amended (19 U.S.C. 1514). For
purposes of section 515(a), Tariff Act of 1930, as amended (19 U.S.C.
1515(a)), the date appearing on such notice shall be deemed the date on
which such notice was mailed.
(b) Substitution of persons designated to receive notice. The
importer of record or consignee may give notice to the district director
instructing that notice of denial of any protest involving merchandise
imported in his name or on his behalf shall be mailed to a person other
than the person filing such protest or the designee of such person.
Such notice of substitution shall be filed in quadruplicate and shall
identify the protest by number and date of receipt. Notice of denial of
a protest shall be mailed to the substituted person so designated only
if the notice of substitution is received by the district director prior
to a denial by him of such protest.
(c) Notification of payment of increased duties. The district
director shall note on the notice of denial of a protest the payment of
all liquidated duties, charges, or exactions, if he has actual knowledge
of such payment at the time that the protest is denied.
(T.D. 70-181, 35 FR 13429, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 174.31 Judicial review of denial of protest.
Any person whose protest has been denied, in whole or in part, may
contest the denial by filing a civil action in the United States Court
of International Trade in accordance with 28 U.S.C. 2632 within 180 days
after --
(a) The date of mailing of notice of denial, in whole or in part, of
a protest, or
(b) The date a protest, for which accelerated disposition was
requested, is deemed to have been denied in accordance with 174.22(d).
(T.D. 78-17, 43 FR 1938, Jan. 13, 1978, as amended by T.D. 85-90, 50
FR 21430, May 24, 1985)
19 CFR 174.32 Publication.
Within 120 days after issuing a protest review decision, the Customs
Service shall publish the decision in the Customs Bulletin or otherwise
make it available for public inspection. Disclosure is governed by 31
CFR part 1 and 19 CFR part 103.
(T.D. 78-394, 43 FR 49791, Oct. 25, 1978)
19 CFR 174.32 PART 175 -- PETITIONS BY DOMESTIC INTERESTED PARTIES
Sec.
175.0 Scope.
19 CFR 174.32 Subpart A -- Request for Classification, Appraised Value
and Rate of Duty
175.1 Submission of request.
175.2 Contents of request.
175.3 Domestic interested party.
19 CFR 174.32 Subpart B -- Petitions
175.11 Filing of petitions.
175.12 Contents of petitions.
19 CFR 174.32 Subpart C -- Procedure Following Petition
175.21 Notice of filing of petition, inspection of petition, and
inspection of documents and papers.
175.22 Publication of decisions following petition.
175.23 Notice of desire to contest decision.
175.24 Publication following notice of desire to contest.
175.25 Procedure at port of entry designated by petitioner.
19 CFR 174.32 Subpart D -- Procedure Following Court Decision
175.31 Publication of notice of court decision.
Authority: R.S. 251, as amended, secs. 516, 624, 46 Stat. 735, as
amended, 759; 19 U.S.C. 66, 1516, 1624, unless otherwise noted.
Source: T.D. 70-181, 35 FR 13432, Aug. 22, 1970, unless otherwise
noted.
19 CFR 175.0 Scope.
This part sets forth the procedures applicable to requests by
domestic interested parties for the classification and rate of duty
applicable to designated imported merchandise, and to petitions alleging
that the appraised value is too low, that the classification is not
correct, or that the proper rate of duty is not being assessed upon
designated imported merchandise which is claimed to be similar to the
class or kind of merchandise manufactured, produced, or wholesaled by
the petitioner.
(T.D. 70-181, 35 FR 13432, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 175.0 Subpart A -- Request for Classification, Appraised Value and Rate of Duty
19 CFR 175.1 Submission of request.
Written requests pursuant to section 516, Tariff Act of 1930, as
amended (19 U.S.C. 1516), for information as to the classification,
appraised value and rate of duty imposed upon designated imported
merchandise shall be submitted in triplicate to the Commissioner of
Customs.
(T.D. 70-181, 35 FR 13432, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 175.2 Contents of request.
The request for information shall contain the following information:
(a) The name of the person making the request, his principal place of
business, and the fact that he is a domestic interested party;
(b) A designation of the imported merchandise for which the
classification, appraised value and rate is requested; and
(c) A showing of the class or kind of merchandise manufactured,
produced, or sold by him which is claimed to be similar to the imported
merchandise in such detail as will permit the Commissioner to establish
the similarity between the domestic and foreign merchandise.
(T.D. 70-181, 35 FR 13432, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 175.3 Domestic interested party.
''Domestic interested party'', when used in this part, means:
(a) A manufacturer, producer, or wholesaler in the United States of a
like product,
(b) A certified union or recognized union or group of workers which
is representative of an industry engaged in the manufacture, production,
or wholesale in the United States of a like product, or
(c) A trade or business association a majority of whose members
manufacture, produce, or wholesale a like product in the United States.
(T.D. 80-271, 45 FR 75642, Nov. 17, 1980)
19 CFR 175.3 Subpart B -- Petitions
19 CFR 175.11 Filing of petitions.
(a) Number of copies and where filed. All petitions pursuant to
section 516 Tariff Act of 1930, as amended (19 U.S.C. 1516), shall be
submitted to the Commissioner of Customs in triplicate.
(b) By whom filed. Petitions may be filed by the domestic interested
parties themselves, or by duly authorized attorneys or agents on their
behalf. A petition filed by a corporation shall be signed by an officer
thereof, and petition filed by a partnership shall be signed by a member
thereof.
(T.D. 70-181, 35 FR 13432, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 175.12 Contents of petition.
The petition shall be itemized as to each class or kind of
merchandise involved, and shall contain the following:
(a) The name of the petitioner, his principal place of business, and
the fact that he is a domestic interested party;
(b) A statement showing the class or kind of merchandise
manufactured, produced, or sold by him which is claimed to be similar to
the imported merchandise in such detail as will permit the Commissioner
of Customs to establish the similarity between the domestic and foreign
merchandise; and
(c) A presentation, in detail, of the information required by section
516, Tariff Act of 1930, as amended (19 U.S.C. 1516).
(T.D. 70-181, 35 FR 13432, Aug. 22, 1970, as amended by T.D. 80-271,
45 FR 75642, Nov. 17, 1980)
19 CFR 175.12 Subpart C -- Procedure Following Petition
19 CFR 175.21 Notice of filing of petition, inspection of petition, and
inspection of documents and papers.
(a) Notice of filing of petition. Upon the filing of a petition, a
notice shall be published in the Federal Register setting forth that a
petition has been filed by a domestic interested party, identifying the
merchandise which is the subject of the petition, and its present and
claimed appraised value or classification or rate of duty. The notice
shall invite interested persons to make such written submissions as they
desire within such time as is specified in the notice.
(b) Inspection of petition; inspection of documents and papers. The
petition filed by a domestic interested party will be made available for
inspection by interested parties in accordance with the provisions of
103.11(b) of this chapter. However, neither a petitioner nor other
interested parties shall in any case be permitted to inspect documents
or papers of the consignee or importer which are exempted from
disclosure by 103.12(d) of this chapter.
(R.S. 251, as amended, secs. 516, 624, 46 Stat. 735, as amended, 759;
5 U.S.C. 552, 19 U.S.C. 66, 1516, 1624)
(T.D. 74-236, 39 FR 33207, Sept. 16, 1974, as amended by T.D.
80-271, 45 FR 75642, Nov. 17, 1980; T.D. 81-168, 46 FR 32574, June 24,
1981)
19 CFR 175.22 Publication of decisions following petition.
(a) Incorrect appraised value, classification, or rate of duty. If
the appraised value of, classification of, or rate of duty upon imported
merchandise of the character which is the subject of a petition is found
to be incorrect, the Commissioner of Customs shall so inform the
petitioner, and shall cause the proper value, classification, or rate of
duty to be published in the Federal Register and the weekly Customs
Bulletin. Such merchandise entered for consumption or withdrawn from
warehouse for consumption after 30 days after the date of publication of
such notice to the petitioner in the Customs Bulletin shall be
appraised, classified, or assessed as to rate of duty in accordance with
the published decision.
(b) Correct appraised value, classification, or rate of duty. If the
appraised value of, classification of, or rate of duty upon the imported
merchandise which is the subject of the petition is found to be correct,
the Commissioner of Customs shall so notify the petitioner, but the
decision shall not be published.
19 CFR 175.23 Notice of desire to contest decision.
If the petitioner is dissatisfied with the decision of the
Commissioner that the appraised value, classification, or rate of duty
is correct for the merchandise which was the subject of the petition, in
accordance with section 516, Tariff Act of 1930, as amended (19 U.S.C.
1516) he may file with the Commissioner of Customs not later than 30
days after the date of the decision a notice that he desires to contest
the appraised value of, classification of, or rate of duty assessed upon
the imported merchandise. Such notice shall designate the port or ports
at which such merchandise is being imported into the United States, and
at which the petitioner desires to protest.
19 CFR 175.24 Publication following notice of desire to contest.
Upon receipt of a properly filed petitioner's notice that he desires
to contest the decision as to the appraised value of, classification of,
or rate of duty assessed upon the imported merchandise, the Commissioner
of Customs shall cause to be published in the Federal Register and the
weekly Customs Bulletin a notice of his decision as to the proper
appraised value of, classification of, or rate of duty assessed upon the
imported merchandise, and of petitioner's desire to contest the
decision.
19 CFR 175.25 Procedure at port of entry designated by petitioner.
(a) Information as to character and description of merchandise. All
information secured by the district director for the port designated by
the petitioner in his notice of desire to contest as to the character
and description of merchandise of the kind covered by the petition and
entered after publication by the Commissioner of Customs of his decision
as to the proper appraised value, classification and rate of duty, and
samples of such merchandise, shall be made available to the petitioner
upon application by him to the district director.
(b) Notice of liquidation. Notice of liquidation of the first of the
entries to be liquidated which would enable the petitioner to present
the issue desired shall be given to the petitioner by the district
director of the designated port as required by section 516. Tariff Act
of 1930, as amended (19 U.S.C. 1516).
(c) Further notice when issue not presented. If, upon examination of
the information and inspection of any sample supplied by the district
director, the petitioner believes and the district director agrees that
the merchandise or the facts surrounding this importation are not
sufficient to raise the issue involved in the petition, the district
director shall then give the petitioner notice of the first liquidation
thereafter which will permit the framing of the issue covered by the
petition. The district director shall, under the same conditions,
continue to give notice for so long as he is of the opinion that the
petitioner affirmatively intends to contest. When the district director
concludes that the petitioner does not intend to contest the decision of
the Commissioner of Customs, he shall refer the matter to the
Commissioner of Customs for his decision before issuing any further
notice of liquidation.
19 CFR 175.25 Subpart D -- Procedure Following Court Decision
19 CFR 175.31 Publication of notice of court decision.
Notice of a decision of the Court of International Trade or of the
Court of Appeals for the Federal Circuit which sustains, in whole or in
part, a cause of action before the court under the provisions of section
516, Tariff Act of 1930, as amended (19 U.S.C. 1516), shall be published
by the Commissioner of Customs in the Federal Register within 10 days
from the date of issuance of the court decision.
(T.D. 80-271, 45 FR 75642, Nov. 17, 1980, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 175.31 PART 176 -- PROCEEDINGS IN THE COURT OF INTERNATIONAL
TRADE
Sec.
176.0 Scope.
19 CFR 175.31 Subpart A -- Service
176.1 Service of summons.
176.2 Service of notice of appeal.
19 CFR 175.31 Subpart B -- Transmission of Records
176.11 Transmission of records to Court of International Trade.
19 CFR 175.31 Subpart C -- Statement of Agreed Facts
176.21 Referral of statements of agreed facts for certification.
176.22 Deletion of protest or entry number.
19 CFR 175.31 Subpart D -- Procedure Following Court Decision
176.31 Reliquidation following decision of court.
Authority: R.S. 251, as amended, sec. 624, 46 Stat. 759; 19
U.S.C. 66, 1624, unless otherwise noted.
19 CFR 176.0 Scope.
This part deals with service of summons and notice of appeal in
actions before the Court of International Trade, the transmission of
records to the court, statements of agreed facts, and Customs procedures
following a decision by the court.
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 176.0 Subpart A -- Service
19 CFR 176.1 Service of summons.
When an action is initiated in the Court of International Trade a
copy of the summons shall be served in the manner prescribed by the
Court of International Trade upon the district director for each Customs
district in which a protest cited in the summons was denied, and an
additional copy shall be served upon the Assistant Chief Counsel for
Court of International Trade Litigation, United States Customs Service,
26 Federal Plaza, New York, N.Y. 10007.
(28 U.S.C. 2632, as amended)
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 176.2 Service of notice of appeal.
When the United States is an appellee in an appeal taken to the Court
of Appeals for the Federal Circuit, a copy of the notice of appeal shall
be served upon the Assistant Chief Counsel for Court of International
Trade Litigation.
(28 U.S.C. 2601, as amended)
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 176.2 Subpart B -- Transmission of Records
19 CFR 176.11 Transmission of records to Court of International Trade.
Upon receipt of service of a summons in an action initiated in the
Court of International Trade the following items shall be immediately
transmitted to the Court of International Trade as part of the official
record by the Customs officer concerned:
(a) Consumption or other entry;
(b) Commercial invoice;
(c) Special Customs invoice;
(d) Copy of protest and any amendments thereto;
(e) Copy of denial or protest in whole or in part;
(f) Importer's exhibits;
(g) Official samples;
(h) Any official laboratory reports;
(i) The summary sheet;
(j) In any case in which one or more of the items listed in
paragraphs (a) through (i) of this section do not exist, the Customs
officer shall include a statement to that effect, identifying the items
which do not exist.
(28 U.S.C. 2632, as amended)
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 176.11 Subpart C -- Statement of Agreed Facts
19 CFR 176.21 Referral of statement of agreed facts for certification.
Statements of agreed facts (also referred to as stipulations) to be
used by the Department of Justice in submitting cases to the Court of
International Trade may be referred for certification to Customs
officials by the office of the Assistant Attorney General, International
Trade Field Office, Civil Division, Department of Justice, 26 Federal
Plaza, New York, N.Y. 10278.
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985; T.D. 88-47, 53 FR 30984, Aug. 17, 1988)
19 CFR 176.22 Deletion of protest or entry number.
If any protest number or entry number is to be deleted from a
schedule of protest numbers or entry numbers attached to or embodied in
a statement of agreed facts, a line shall be drawn through the number
and the change shall be initialed by the authorized official making and
approving the deletion.
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970)
19 CFR 176.22 Subpart D -- Procedure Following Court Decision
19 CFR 176.31 Reliquidation following decision of court.
(a) Decision of U.S. Court of International Trade. Except as
provided in paragraph (c) of this section, an entry which is the subject
of a decision of the U.S. Court of International Trade shall be
reliquidated in accordance with the judgment order thereon at the
expiration of 60 days from the date of the decision, unless an appeal or
motion for a rehearing is filed. However, entries which are the subject
of decisions of the court following a decision of the Court of Appeals
for the Federal Circuit which involve the same issue, or which are based
on submission of an agreed statement of fact, may be reliquidated
immediately upon receipt of the judgment orders from the U.S. Court of
International Trade.
(b) Decision of the Court of Appeals for the Federal Circuit. Except
as provided in paragraph (c) of this section, an entry covering
merchandise which is the subject of a decision of the Court of Appeals
for the Federal Circuit shall be reliquidated at the expiration of 90
days from the date of entry of decision by that court and only upon
receipt of the judgment order from the U.S. Court of International
Trade. However, no such entry shall be reliquidated pursuant to such
order if a petition for certiorari is taken to the Supreme Court.
(c) Waiver of right of appeal. Upon receipt of a letter from the
Assistant Attorney General, Civil Division, Department of Justice,
signed by the Chief, Customs Section, advising that no appeal will be
taken from a decision of the U.S. Court of International Trade or that
it has been determined that no petition for certiorari shall be filed in
the Supreme Court to review a decision of the Court of Appeals for the
Federal Circuit, any entry or entries covered by such decision may be
reliquidated pursuant to the judgment of the U.S. Court of International
Trade prior to the expiration of the times specified in paragraphs (a)
and (b) of this section.
(Sec. 514, 46 Stat. 734, as amended; 19 U.S.C. 1514)
(T.D. 70-181, 35 FR 13433, Aug. 22, 1970, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 176.31 PART 177 -- ADMINISTRATIVE RULINGS
Sec.
177.0 Scope.
19 CFR 176.31 Subpart A -- General Ruling Procedure
177.1 General ruling practice and definitions.
177.2 Submission of ruling requests.
177.3 Nonconforming requests for rulings.
177.4 Oral discussion of issues.
177.5 Change in status of transaction.
177.6 Withdrawal of ruling requests.
177.7 Situations in which no ruling will be issued.
177.8 Issuance of rulings.
177.9 Effect of ruling letters; modification or revocation.
177.10 Publication of decisions.
177.11 Requests for advice by field offices.
177.12 Inconsistent customs decisions.
19 CFR 176.31 Subpart B -- Government Procurement; Country-of-Origin
Determinations
177.21 Applicability.
177.22 Definitions.
177.23 Who may request a country-of-origin advisory ruling or final
determination.
177.24 By whom request is filed.
177.25 Form and content of request.
177.26 Where request filed.
177.27 Oral discussion of issues.
177.28 Issuance of advisory rulings and final determinations.
177.29 Publication of notice of final determinations.
177.30 Review of final determinations.
177.31 Reexamination of final determinations.
Authority: 5 U.S.C. 301, 19 U.S.C. 66, 1202 (General Note 8,
Harmonized Tariff Schedule of the United States), 1624, unless otherwise
noted.
Section 177.12 also issued under Pub. L. 100-690 (19 U.S.C. 1514
note).
19 CFR 177.0 Scope.
This part relates to the issuance of rulings to importers and other
interested persons by the United States Customs Service. It describes
the situations in which a ruling may be requested, the procedures to be
followed in requesting a ruling, the conditions under which a ruling
will be issued, the effect of a ruling when it is issued, and the
publication of rulings in the Customs Bulletin. The rulings issued
under the provisions of this part will usually be prospective in
application and, consequently, will usually not relate to specific
matters or situations presently or previously under consideration by any
Customs Service field office. Accordingly, the rulings requested under
the provisions of this part should be distinguished from the
administrative rulings, determinations, or decisions which may be
requested under procedures set forth elsewhere in this chapter,
including, but not limited to, those set forth in part 12 (relating to
submissions of proof of admissibility of articles detained under section
307 of the Tariff Act of 1930 (19 U.S.C. 1307)), part 103 (relating to
disclosure of information in Customs files), part 133 (relating to
disputed claims of piratical copying of copyrighted matter), subpart C
of part 152 (relating to determinations concerning the dutiable value of
merchandise by Customs field officers), part 153 (relating to
enforcement of the Antidumping Act, 1921, as amended), part 159 (insofar
as it relates to countervailing duties), part 171 (relating to fines,
penalties, and forfeitures), part 172 (relating to liquidated damages),
part 174 (relating to protests), and part 175 (relating to petitions
filed by American manufacturers, producers, or wholesalers pursuant to
section 516 of the Tariff Act of 1930, as amended). Nor do the
provisions of part 177 apply to requests for decisions of an
operational, administrative, or investigative nature which are properly
within the cognizance of a Customs Headquarters Office other than the
Office of Regulations and Rulings.
(T.D. 80-285, 45 FR 80103, Dec. 3, 1980, as amended by T.D. 84-149,
49 FR 28699, July 16, 1984; T.D. 89-74, 54 FR 31515, July 31, 1989)
19 CFR 177.0 Subpart A -- General Ruling Procedure
19 CFR 177.1 General ruling practice and definitions.
(a) The issuance of rulings generally -- (1) Prospective
transactions. It is in the interest of the sound administration of the
Customs and related laws that persons engaging in any transaction
affected by those laws fully understand the consequences of that
transaction prior to its consummation. For this reason, the Customs
Service will give full and careful consideration to written requests
from importers and other interested parties for rulings or information
setting forth, with respect to a specifically described transaction, a
definitive interpretation of applicable law, or other appropriate
information. Generally, a ruling may be requested under the provisions
of this part only with respect to prospective transactions -- that is,
transactions which are not already pending before a Customs Service
office by reason of arrival, entry, or otherwise.
(2) Current or completed transactions -- (i) Current transactions. A
question arising in connection with a Customs transaction already before
a Customs Service office will normally be resolved by that office in
accordance with the principles and precedents previously announced by
the Headquarters Office. If such a question cannot be resolved on the
basis of clearly established rules set forth in the Customs and related
laws, or in the regulations thereunder, or in applicable Treasury
Decisions, rulings, opinions, or court decisions published in the
Customs Bulletin, that office may be requested to forward the question
to the Headquarters Office for consideration, as more fully described in
177.11.
(ii) Completed transactions. A question arising in connection with
an entry of merchandise which has been liquidated, or in connection with
any other completed Customs transaction, may not be the subject of a
ruling request.
(b) Oral advice. The Customs Service will not issue rulings in
response to oral requests. Oral opinions or advice of Customs Service
personnel are not binding on the Customs Service. However, oral
inquiries may be made to Customs Service offices regarding existing
rulings, the scope of such rulings, the types of transactions with
respect to which the Customs Service will issue rulings, the scope of
the rulings which may be issued, or the procedures to be followed in
submitting ruling requests, as described in this part.
(c) Who may request a ruling. A ruling may be requested by any
person who, as an importer or exporter of merchandise, or otherwise, has
a direct and demonstrable interest in the question or questions
presented in the ruling request, or by the authorized agent of such
person. A ''person'' in this context includes an individual,
corporation, partnership, association, or other entity or group.
(d) Definitions. (1) A ''ruling'' is a written statement issued by
the Headquarters Office or the appropriate office of Customs as provided
in this part that interprets and applies the provisions of the Customs
and related laws to a specific set of facts. A ''ruling letter'' is a
ruling issued in response to a written request therefor and set forth in
a letter addressed to the person making the request or his designee. A
''published ruling''' is a ruling which has been published in the
Customs Bulletin.
(2) An ''information letter'' is a written statement issued by the
Customs Service that does no more than call attention to a
well-established interpretation or principle of Customs law, without
applying it to a specific set of facts. An information letter may be
issued in response to a request for a ruling when: (i) The request
suggests that general information, rather than a ruling, is actually
being sought, (ii) the request is incomplete or otherwise fails to meet
the requirements set forth in this part, or (iii) the ruling requested
cannot be issued for any other reason, and (iv) it is believed that
general information may be of some benefit to the party making the
request.
(3) A ''Customs transaction'' is an act or activity to which the
Customs and related laws apply. A ''prospective'' Customs transaction
is one that is contemplated or is currently being undertaken and has not
resulted in any arrival or the filing of any entry or other document, or
in any other act to bring the transaction, or any part of it, under the
jurisdiction of any Customs Service office. A ''current'' Customs
transaction is one which is presently under consideration by a field
office (port, district, or region) of the Customs Service. A
''completed'' Customs transaction is one which has been acted upon by a
Customs Service field office and with respect to which that office has
issued a determination which is final in nature, but is (or was) subject
to appeal, petition, protest, or other review, as provided in the
applicable Customs laws and regulations. In a series of identical,
recurring transactions, each transaction shall be considered an
individual transaction for purposes of this part.
(4) An ''authorized agent'' is a person expressly authorized by a
principal to act on his behalf. A ruling requested by an attorney or
other person acting as an agent must include a statement describing the
authority under which the request is made. With the exception of
attorneys whose authority to represent is known, any person appearing
before the Customs Service as an agent in connection with a ruling
request may be required to present evidence of his authority to
represent the principal. The foregoing requirements will not apply to
an individual representing his full-time employer, or to a bona-fide
officer, director, or other qualified representative of a corporation,
association, or organized group.
(5) The term ''Customs and related laws,'' as generally used in this
part, includes any provision of the Tariff Act of 1930, as amended
(including the Harmonized Tariff Schedule of the United States), or the
Customs Regulations, or any provision contained in other legislation
(including the navigation laws), regulations, treaties, orders,
proclamations, or other agreements administered by the Customs Service.
(6) The term ''Headquarters Office,'' as used herein, means the
Office of Regulations and Rulings at Headquarters, United States Customs
Service, Washington, DC.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 80-285,
45 FR 80104, Dec. 3, 1980; T.D. 84-149, 49 FR 28699, July 16, 1984;
T.D. 89-1, 53 FR 51271, Dec. 21, 1988; T.D. 89-74, 54 FR 31515, July
31, 1989)
19 CFR 177.2 Submission of ruling requests.
(a) Form. A request for a ruling should be in the form of a letter.
Requests for Valuation and Carrier rulings should be addressed to the
Commissioner of Customs, Attention: Office of Regulations and Rulings,
Washington, DC 20229. The Division and Branch in the Office of
Regulations and Rulings to which the request should be directed may also
be indicated, if known. Requests for tariff classification rulings
should be addressed to the Regional Commissioner of Customs, New York
Region, Attn: Classification Ruling Requests, New York, New York 10048,
or to any Area or District office of the Customs Service.
(b) Content -- (1) Generally. Each request for a ruling must contain
a complete statement of all relevant facts relating to the transaction.
Such facts include the names, addresses, and other identifying
information of all interested parties (if known); the name of the port
or place at which any article involved in the transaction will arrive or
be entered, or which will otherwise have jurisdiction with respect to
the act or activity described in the transaction; and a description of
the transaction itself, appropriate in detail to the type of ruling
requested.
(2) Description of transaction -- (i) Generally. The Customs
transaction to which the ruling request relates must be described in
sufficient detail to permit the proper application of relevant Customs
and related laws.
(ii) Tariff classification rulings. (A) If the transaction involves
the importation of an article for which a ruling as to its proper
classification under the provisions of the Harmonized Tariff Schedule of
the United States is requested, the request for a ruling should include
a full and complete description of the article and whenever germane to
the proper classification of the article, information as to the
article's chief use in the United States, its commercial, common, or
technical designation, and, where the article is composed of two or more
materials, the relative quantity (by weight and by volume) and value of
each. The ruling request should also note, whenever germane, the
purchase price of the article, and its approximate selling price in the
United States. Individual requests for rulings submitted to Area or
District offices will be limited to five (5) merchandise items, all of
which must be of the same class or kind.
(B) Rulings issued by the New York Region or by other Area or
District offices are limited to prospective transactions. Only the
Headquarters Office will prepare final decisions under 177.11 (Requests
for Advice by Field Officers), or 174.23 (Further Review of Protests),
177.10 (Change of Practice), decisions under part 175 of this chapter
(petitions under section 516, Tariff Act of 1930, as amended), decisions
under 177.12 (Inconsistent Customs decisions), and decisions under
Policies and Procedures Manual Supplement 2126-01.
(C) The requesting party may send the request directly to the
Director, Commercial Rulings Division, U.S. Customs Service, Washington,
DC 20229. The Headquarters Office retains authority to independently
review all tariff classification ruling letters issued by the New York
Region and other Area and District Offices. If the importer or other
person to whom a ruling letter is issued disagrees with the tariff
classification set forth in a ruling issued by the New York Region or
other Area or District offices, he may petition the Director, Commercial
Rulings Division, U.S. Customs Service, Washington, DC 20229, for review
of the ruling.
(iii) Valuation rulings. If the transaction involves the valuation
of an article for Customs purposes, the request for a ruling should
include all of the applicable information described in subparts C and D
of part 152 of this chapter, and, insofar as is relevant, the
information which would be required on an invoice as described in
subpart F of part 141 of this chapter. The request should also describe
the nature of the transaction (whether f.o.b./c.i.f., ex-factory, or
some other arrangement), the relationship (if any) of the parties,
whether the transaction was at arm's-length, whether there have been
other sales of the same or similar merchandise in the country of
exportation, whether an agency relationship exists, or any other
information relevant to a determination under section 402 or 402a of the
Tariff Act of 1930, as amended (19 U.S.C. 1401a, 1402).
(iv) Carrier rulings. If the transaction involves a vessel, the
request for a ruling should include information relating to place of
build and nationality of registration and, if to be used in waters under
the jurisdiction of the United States, the exact place or places of
intended use, if known. If the request for a ruling involves a
determination as to whether or not the primary object of a contemplated
voyage would be considered to be coastwise transportation in violation
of 46 U.S.C. 289 (see 4.80a of this chapter), the request should
completely identify the voyage, including the proposed time of arrival
at and departure from every port on the itinerary and any coordination
of the voyage with special events at coastwise ports, and should be
accompanied by samples, if available, of brochures, advertising, and
other information that may be relevant to a determination of the primary
object of the proposed voyage.
(3) Samples. Each request for a ruling regarding the status of an
article under any Customs or related law affecting the importation or
arrival of that article should be accompanied by photographs, drawings,
or other pictorial representations of the article and, whenever
possible, by a sample article, unless a precise description of the
article is not essential to the ruling requested. Any article
consisting of materials in chemical or physical combination for which a
laboratory analysis has been prepared by or for the manufacturer should
include a copy of that analysis. A sample submitted in connection with
a request for a ruling becomes a part of the Customs Service file in the
matter and will be retained until the ruling is issued or the ruling
request is otherwise disposed of. If the return of the sample is
desired, the ruling request should so state and should specify the
desired means of return. A sample should only be submitted with the
understanding that all or a part of it may be damaged or consumed in the
course of examination, testing, analysis, or other actions undertaken in
connection with the ruling request.
(4) Related documents. If the question or questions presented in the
ruling request directly relate to matters set forth in any invoice,
contract, agreement, or other document, a copy of the document must be
submitted with the request. (Original documents should not be submitted
inasmuch as any documents or exhibits furnished with the ruling request
become a part of the Customs Service file in the matter and cannot be
returned.) The relevant facts reflected in any documents submitted, and
an explanation of their bearing on the question or questions presented,
must be expressly set forth in the ruling request.
(5) Prior or current transactions. Each request for a ruling must
state whether, to the knowledge of the person submitting the request,
the same transaction, or one identical to it, has ever been considered,
or is currently being considered by any Customs Service office or
whether, to the knowledge of the person submitting the request, the
issues involved have ever been considered, or are currently being
considered, by the United States Court of International Trade, the
United States Court of Appeals for the Federal Circuit, or any court of
appeal therefrom. Where the transaction described in the ruling request
is but one of a series of similar and related transactions, that fact
must also be stated.
(6) Statement of position. If the request for a ruling asks that a
particular determination or conclusion be reached in the ruling letter,
a statement must be included in the request setting forth the basis for
that determination or conclusion, together with a citation of all
relevant supporting authority.
(7) Privileged or confidential information. Information which is
claimed to constitute trade secrets or privileged or confidential
commercial or financial information regarding the business transactions
of private parties the disclosure of which would cause substantial harm
to the competitive position of the person making the request (or of
another interested party), must be identified clearly and the reasons
such information should not be disclosed, including, where applicable,
the reasons the disclosure of the information would prejudice the
competitive position of the person making the request (or of another
interested party) must be set forth.
(c) Signing; instructions as to reply. The request for a ruling
must be signed by a person authorized to make the request, as described
in 177.1(c). A ruling requested by a principal or authorized agent may
direct that the ruling letter be addressed to the other.
(d) Requests for immediate consideration. The Customs Service will
normally process requests for rulings in the order they are received and
as expeditiously as possible. However, a request that a particular
matter be given consideration ahead of its regular order, if made in
writing at the time the request is submitted, or subsequent thereto, and
showing a clear need for such treatment, will be given consideration as
the particular circumstances warrant and permit. Requests for special
consideration made by telegram will be treated in the same manner as
requests made by letter, but rulings will not ordinarily be issued by
telegram. In no event can any assurance be given that a particular
request for a ruling will be acted upon by the time requested. However,
upon request and where a clear need is shown for such action, a collect
telephone call will be made to advise that the ruling letter has been
issued and is being mailed.
(R.S. 251, as amended, secs. 481, 484, 624, 46 Stat. 719, 46 Stat.
719, 722, as amended, 759 (19 U.S.C. 66, 1481, 1484, 1624))
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 80-285,
45 FR 80104, Dec. 3, 1980; T.D. 84-149, 49 FR 28699, July 16, 1984;
T.D. 85-39, 50 FR 9613, Mar. 11, 1985; T.D. 85-90, 50 FR 21430, May 24,
1985; T.D. 89-1, 53 FR 51271, Dec. 21, 1988; T.D. 89-74, 54 FR 31515,
July 31, 1989)
19 CFR 177.3 Nonconforming requests for rulings.
A person submitting a request for a ruling that does not comply with
all of the provisions of this part will be so notified in writing, and
the requirements that have not been met will be pointed out. Except in
the case of ruling requests submitted to Area or District offices, such
person will be given a period of thirty (30) days from the date of the
notice (or such longer period as the notice may provide) to supply any
additional information that is requested or otherwise conform the ruling
request to the requirements referred to in the notice. The Customs
Service file with respect to ruling requests which are not brought into
compliance with the provisions of this part within the period of time
allowed will be administratively closed and the request removed from
active consideration until such time as the deficiencies cited in the
notice are corrected. A request for a ruling that is removed from
active consideration by reason of failing to comply with the provisions
of this part may be treated as withdrawn. In the case of ruling
requests made to Area or District offices, a failure to comply with the
provisions of this part will result in the return of the ruling request
with the notice specifying the deficiencies and such requests will not
be considered as having been filed until such deficiencies are
corrected.
(T.D. 89-74, 54 FR 31515, July 31, 1989)
19 CFR 177.4 Oral discussion of issues.
(a) Generally. A person submitting a request for a ruling and
desiring an opportunity to orally discuss the issue or issues involved
should indicate that desire in writing at the time the ruling request is
filed. Such a discussion will only be scheduled when, in the opinion of
the Customs personnel by whom the ruling request is under consideration,
a conference will be helpful in deciding the issue or issues involved or
when a determination or conclusion contrary to that advocated in the
ruling request is contemplated. Conferences are scheduled for the
purpose of affording the parties an opportunity to freely and openly
discuss the matters set forth in the ruling request. Accordingly, the
parties will not be bound by any argument or position advocated or
agreed to, expressly or by implication, during the conference unless
either party subsequently agrees to be so bound in writing. The
conference will not conclude with the issuance of a ruling letter.
(b) Time, place, and number of conferences. If a request for a
conference is granted, the person making the request will be notified of
the time and place of the conference. No more than one conference with
respect to the matters set forth in a ruling request will be scheduled,
unless, in the opinion of the Customs personnel by whom the ruling
request is under consideration, additional conferences are necessary.
(c) Representation. A person whose request for a conference has been
granted may be accompanied at that conference by counsel or other
representatives, or may designate such persons to attend the conference
in his place.
(d) Additional information presented at conferences. It will be the
responsibility of the person submitting the request for a ruling to
provide for inclusion in the Customs Service file in the matter a
written record setting forth any and all additional information,
documents, and exhibits introduced during the conference to the extent
that person considers such material relevant to the consideration of the
ruling request.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 80-285,
45 FR 80105, Dec. 3, 1980; T.D. 84-149, 49 FR 28699, July 16, 1984;
T.D. 89-74, 54 FR 31515, July 31, 1989)
19 CFR 177.5 Change in status of transaction.
Each person submitting a request for a ruling in connection with a
Customs transaction shall immediately advise Customs in writing of any
change in the status of that transaction, as defined in 177.1(d)(3).
In particular, the Customs Service office to which the request was made
must be advised when any transaction described in the ruling request as
prospective becomes current and under the jurisdiction of a Customs
Service field office. In addition, any person engaged in a Customs
transaction coming under the jurisdiction of a Customs Service field
office and having previously requested a ruling with respect to that
transaction shall advise the field office of that fact. The field
office will normally withhold action with respect to any transaction for
which a ruling has previously been requested pending the disposition of
the ruling request.
(T.D. 80-285, 45 FR 80105, Dec. 3, 1980, as amended by T.D. 84-149,
49 FR 28699, July 16, 1984; T.D. 89-74, 54 FR 31516, July 31, 1989)
19 CFR 177.6 Withdrawal of ruling requests.
Any request for a ruling may be withdrawn by the person submitting it
at any time before the issuance of a ruling letter or any other final
disposition of the request. All correspondence, documents, and exhibits
submitted in connection with the request will be retained in the Customs
Service file and will not be returned. In addition, the Headquarters
Office may forward to Customs Service field offices which have or may
have jurisdiction over the transaction to which the ruling request
relates, its views in regard to the transaction or the issues involved
therein, as well as appropriate information derived from materials in
the Customs Service file.
(T.D. 80-285, 45 FR 80105, Dec. 3, 1980)
19 CFR 177.7 Situations in which no ruling will be issued.
(a) Generally. No ruling letter will be issued in response to a
request for a ruling which fails to comply with the provisions of this
part. Moreover, no ruling letter will be issued with regard to
transactions or questions which are essentially hypothetical in nature
or in any instance in which it appears contrary to the sound
administration of the Customs and related laws to do so. No ruling
letter will be issued in regard to a completed transaction.
(b) Pending litigation in the United States Court of International
Trade. No ruling letter will be issued with respect to any issue which
is pending before the United States Court of International Trade, the
United States Court of Appeals for the Federal Circuit, or any court of
appeal therefrom. Litigation before any other court will not preclude
the issuance of a ruling letter, provided neither the Customs Service
nor any of its officers or agents is named as a defendant.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 85-90,
50 FR 21430, May 24, 1985)
19 CFR 177.8 Issuance of rulings.
(a) Ruling letters -- (1) Generally. The Customs Service will
endeavor to issue a ruling letter setting forth a determination with
respect to a specifically described Customs transaction whenever a
request for such a ruling is submitted in accordance with the provisions
of this part and it is in the sound administration of the Customs and
related laws to do so. Otherwise, a request for a ruling will be
answered by an information letter or, in those situations in which
general information is likely to be of little or no value, by a letter
stating that no ruling can be issued.
(2) Submission of ruling letters to field offices. Any person
engaging in a Customs transaction with respect to which a binding tariff
classification ruling letter (including pre-entry classification
decisions) has been issued under this part shall ascertain that a copy
of the ruling letter is attached to the documents filed with the
appropriate Customs Service office in connection with that transaction,
or shall otherwise indicate with the information filed for that
transaction that a ruling has been received. Any person receiving a
ruling setting forth the tariff classification of merchandise shall set
forth such classification in the documents or information filed in
connection with any subsequent entry of that merchandise; the failure
to do so may result in a rejection of the entry and the imposition of
such penalties as may be appropriate. A ruling received after the
filing of such documents or information shall immediately be brought to
the attention of the appropriate Customs Service field office.
(3) Disclosure of ruling letters. The ruling letter shall be based
on the information set forth in the ruling request. No part of the
ruling letter, including names, addresses, or information relating to
the business transactions of private parties, shall be deemed to
constitute privileged or confidential commercial or financial
information or trade secrets exempt from disclosure pursuant to the
Freedom of Information Act, as amended (5 U.S.C. 552), unless, as
provided in 177.2(b)(7), the information claimed to be exempt from
disclosure is clearly identified and the reasons for the exemption are
set forth. Before the issuance of the ruling letter, the person
submitting the ruling request, will be notified of any decision adverse
to his claim for exemption from disclosure and will, upon written
request to Customs within 10 working days of the date of notification,
be permitted to withdraw the ruling request. All ruling letters issued
by the Customs Service will be available, upon written request, for
inspection and copying by any person (with any portions determined to be
exempt from disclosure deleted).
(b) Other rulings. The Headquarters Office may from time to time
issue other rulings with respect to issues or transactions described or
suggested by requests for rulings submitted under the provisions of this
part, or with respect to issues or transactions otherwise brought to its
attention. These rulings, which are statements of the official position
of the Customs Service which are likely to be of widespread interest and
application, are published in the Customs Bulletin, as described in
177.10.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 80-285,
45 FR 80105, Dec. 3, 1980; T.D. 84-149, 49 FR 28699, July 16, 1984;
T.D. 89-74, 54 FR 31516, July 31, 1989)
19 CFR 177.9 Effect of ruling letters; modification or revocation.
(a) Effect of ruling letters generally. A ruling letter issued by
the Customs Service under the provisions of this part represents the
official position of the Customs Service with respect to the particular
transaction or issue described therein and is binding on all Customs
Service personnel in accordance with the provisions of this section
until modified or revoked. In the absence of a change of practice or
other modification or revocation which affects the principle of the
ruling set forth in the ruling letter, that principle may be cited as
authority in the disposition of transactions involving the same
circumstances. Generally, a ruling letter is effective on the date it
is issued and may be applied to all entries which are unliquidated, or
other transactions with respect to which the Customs Service has not
taken final action on that date. See, however, paragraphs (d) and (e)
(ruling letters which modify previous ruling letters or positions) and
177.10(e) (ruling letters published in the Customs Bulletin).
(b) Application of rulings to transactions -- (1) Generally. Each
ruling letter is issued on the assumption that all of the information
furnished in connection with the ruling request and incorporated in the
ruling letter, either directly, by reference, or by implication, is
accurate and complete in every material respect. The application of a
ruling letter by a Customs Service field office to the transaction to
which it is purported to relate is subject to the verification of the
facts incorporated in the ruling letter, a comparison of the transaction
described therein to the actual transaction, and the satisfaction of any
conditions on which the ruling was based. If, in the opinion of any
Customs Service field office by whom the transaction is under
consideration or review, the ruling letter should be modified or
revoked, the findings and recommendations of that office will be
forwarded to the Headquarters Office for consideration, as provided in
177.11(b)(1)(i), prior to any final disposition with respect to the
transaction by that office. Otherwise, if the transaction described in
the ruling letter and the actual transaction are the same, and any and
all conditions set forth in the ruling letter have been satisfied, the
ruling will be applied to the transaction.
(2) Tariff classification rulings. Each ruling letter setting forth
the proper classification of an article under the provisions of the
Harmonized Tariff Schedule of the United States will be applied only
with respect to transactions involving articles identical to the sample
submitted with the ruling request or to articles whose description is
identical to the description set forth in the ruling letter.
(3) Valuation rulings. Each ruling letter setting forth the proper
valuation of an article under the provisions of section 402 of the
Tariff Act of 1930, as amended (19 U.S.C. 1401a), will be applied only
with respect to transactions involving the same merchandise and like
facts.
(4) Carrier rulings. Each ruling letter setting forth the
applicability of the navigation laws to a vessel will be applied only
with respect to transactions involving operations identical to those set
forth in the ruling letter. Each ruling letter setting forth a
determination as to whether or not the primary object of a contemplated
voyage is coastwise transportation in violation of 46 U.S.C. 289 will be
binding on the United States Customs Service with respect to any
transaction identical to the facts and circumstances described in the
ruling request and undertaken in reliance on the ruling letter.
(c) Reliance on ruling letters by others. A ruling letter is subject
to modification or revocation without notice to any person, except the
person to whom the letter was addressed. Accordingly, no other person
should rely on the ruling letter or assume that the principles of that
ruling will be applied in connection with any transaction other than the
one described in the letter. However, any person eligible to request a
ruling under 177.1(c) may request information as to whether a
previously-issued ruling letter has been modified or revoked by writing
the Commissioner of Customs, Attention: Office of Regulations and
Rulings, Washington, DC 20229, and either enclosing a copy of the ruling
letter or furnishing other information sufficient to permit the ruling
letter in question to be identified.
(d) Modification or revocation of ruling letters -- (1) Generally.
Any ruling letter found to be in error or not in accordance with the
current views of the Customs Service may be modified or revoked.
Modification or revocation of a ruling letter shall be effected by
Customs Headquarters by giving notice to the person to whom the ruling
letter was addressed and, where circumstances warrant, by the
publication of a notice or other statement in the Customs Bulletin.
(2) Effect of modification or revocation of ruling letters. The
modification or revocation of a ruling letter will not be applied
retroactively with respect to the person to whom the ruling was issued,
or to any person directly involved in the transaction to which that
ruling related, Provided:
(i) The request for a ruling contained no misstatement or omission of
material facts,
(ii) The facts subsequently developed are not materially different
from the facts on which the ruling was based,
(iii) There has been no change in the applicable law,
(iv) The ruling was originally issued with respect to a prospective
transaction, and
(v) All of the parties involved in the transaction acted in good
faith in reliance upon the ruling and retroactive modification or
revocation would be to their detriment.
Nothing in this paragraph will prohibit the retroactive modification
or revocation of a ruling with respect to a transaction which was not
prospective at the time the ruling was issued, inasmuch as such a
transaction was not entered into in reliance on a ruling from the
Customs Service.
(3) Effective dates. Generally, a ruling letter modifying or
revoking an earlier ruling letter will be effective on the date it is
issued. However, the Customs Service may, upon application or on its
own initiative, delay the effective date of such a ruling for a period
of up to 90 days from the date of issuance. Such a delay may be granted
with respect to the party to whom the ruling letter was issued or to any
other party, provided such party can demonstrate to the satisfaction of
the Customs Service that they reasonably relied on the earlier ruling to
their detriment. All parties applying for a delay will be issued a
separate ruling letter setting forth the period, if any, of the delay to
be provided. In appropriate circumstances, the Customs Service may
decide to make its decision, with respect to a delay, applicable to all
affected parties, irrespective of demonstrated reliance; in this event,
a notice announcing the delay will be published in the Customs Bulletin
and individual ruling letters will not be issued.
(e) Ruling letters modifying past Customs treatment of transactions
not covered by ruling letters -- (1) General. The Customs Service will
from time to time issue a ruling letter covering a transaction or issue
not previously the subject of a ruling letter and which has the effect
of modifying the treatment previously accorded by the Customs Service to
substantially identical transactions of either the recipient of the
ruling letter or other parties. Although such a ruling letter will
generally be effective on the date it is issued, the Customs Service
may, upon application by an affected party, delay the effective date of
the ruling letter, and continue the treatment previously accorded the
substantially identical transaction, for a period of up to 90 days from
the date the ruling letter is issued.
(2) Applications by affected parties. In applying to the Customs
Service for a delay in the effective date of a ruling letter described
in paragraph (e)(1) of this section, an affected party must demonstrate
to the satisfaction of the Customs Service that the treatment previously
accorded by Customs to the substantially identical transactions was
sufficiently consistent and continuous that such party reasonably relied
thereon in arranging for future transactions. The evidence of past
treatment by the Customs Service shall cover the 2-year period
immediately prior to the date of the ruling letter, listing all
substantially identical transactions by entry number (or other Customs
assigned number), the quantity and value of merchandise covered by each
such transaction (where applicable), the ports of entry, and the dates
of final action by the Customs Service. The evidence of reliance shall
include contracts, purchase orders, or other materials tending to
establish that the future transactions were arranged based on the
treatment previously accorded by the Customs Service.
(3) Decision by Customs to grant delay. The Customs Service will
examine all factors relevant to the issue of reliance in determining
whether, and for what period, to delay the effective date of a ruling
letter described in paragraph (e)(1) of this section. In particular,
the Customs Service will examine the past transactions on which reliance
is claimed to determine whether there was an examination of the
merchandise (where applicable) by the Customs Service or the extent to
which those transactions were otherwise examined and analyzed by the
Customs Service to determine the proper application of the Customs laws
and regulations. In general, transactions involving small quantities or
values, as well as informal entries and other entries or transactions
which the Customs Service, in the interest of commercial facilitation
and accommodation, processes expeditiously and without examination
and/or import specialist review, will be given diminished weight in
establishing the required history of consistent and continuous Customs
treatment. Unless a notice covering all affected parties is published
in the Customs Bulletin, each affected party applying for a delay in the
effective date of the ruling letter will be advised in a separate ruling
letter of the extent to which a delay in the effective date will be
applied to their transactions.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 80-285,
45 FR 80105, Dec. 3, 1980; T.D. 84-149, 49 FR 28699, July 16, 1984;
T.D. 87-89, 52 FR 24446, July 1, 1987; T.D. 89-1, 53 FR 51271, Dec. 21,
1988; T.D. 89-74, 54 FR 31516, July 31, 1989)
19 CFR 177.10 Publication of decisions.
(a) Generally. Within 120 days after issuing any precedential
decision under the Tariff Act of 1930, as amended, relating to any
Customs transaction (prospective, current, or completed), the Customs
Service shall publish the decision in the Customs Bulletin or otherwise
make it available for public inspection. For purposes of this paragraph
a precedential decision includes any ruling letter, internal advice
memorandum, or protest review decision. Disclosure is governed by 31
CFR part 1, 19 CFR part 103, and 19 CFR 177.8(a)(3).
(b) Rulings regarding a rate of duty or charge. Any ruling regarding
a rate of duty or charge which is published in the Customs Bulletin will
establish a uniform practice. A published ruling may result in a change
of practice, it may limit the application of a court decision, it may
otherwise modify an earlier ruling with respect to the classification or
valuation of an article or any other action found to be in error or no
longer in accordance with the current views of the Customs Service, or
it may revoke a previously-published ruling or a previously-issued
ruling letter.
(c) Changes of practice or position. (1) Before the publication of a
ruling which has the effect of changing a practice and which results in
the assessment of a higher rate of duty, notice that the practice (or
prior ruling on which the practice is based) is under review will be
published in the Federal Register and interested parties given an
opportunity to make written submissions with respect to the correctness
of the contemplated change. This procedure will also be followed when
the contemplated change of practice will result in the assessment of a
lower rate of duty and the Headquarters Office determines that the
matter is of sufficient importance to involve the interests of domestic
industry. No advance notice will be provided with respect to rulings
which result in a change of practice but no change in the rate of duty.
(2) Before the publication of a ruling which has the effect of
changing a position of the Customs Service and which results in a
restriction or prohibition, notice that the position (or prior ruling on
which the position is based) is under review will be published in the
Federal Register and interested parties given an opportunity to make
written submissions with respect to the correctness of the contemplated
change. This procedure will also be followed when the change of
position will result in a holding that an activity is not restricted or
prohibited and the Headquarters Office determines that the matter is of
sufficient importance to involve the interests of the general public.
(d) Limiting rulings. A published ruling may limit the application
of a court decision to the specific article under litigation, or to an
article of a specific class or kind of such merchandise, or to the
particular circumstances or entries which were the subject of the
litigation.
(e) Effective dates. Except as otherwise provided for in the ruling
itself, all rulings published under the provisions of this part shall be
applied immediately. If the ruling involves merchandise, it will be
applicable to all unliquidated entries, except that a change of practice
resulting in the assessment of a higher rate of duty or increased duties
shall be effective only as to merchandise entered for consumption or
withdrawn from warehouse for consumption on or after the 90th day after
publication of the change in the Federal Register.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 78-394,
43 FR 49792, Oct. 25, 1978; T.D. 89-74, 54 FR 31517, July 31, 1989)
19 CFR 177.11 Requests for advice by field offices.
(a) Generally. Advice or guidance as to the interpretation or proper
application of the Customs and related laws with respect to a specific
Customs transaction may be requested by Customs Service field offices
from the Headquarters Office at any time, whether the transaction is
prospective, current, or completed. Advice as to the proper application
of the Customs and related laws to a current transaction will be sought
by a Customs Service field office whenever that office is requested to
do so, pursuant to paragraph (b) of this section, by an importer or
other person having an interest in the transaction. Advice or guidance
will be furnished by the Headquarters Office as a means of assisting
Customs personnel in the orderly processing of Customs transactions
under consideration by them and to insure the consistent application of
the Customs and related laws in the several Customs districts. Requests
for advice received by the Headquarters Office will be processed as
expeditiously as possible.
(b) Certain current transactions -- (1) When a ruling has been
issued. -- (i) Requests by field offices. If any Customs Service
office has issued a ruling letter with respect to a particular Customs
transaction and the Customs Service field office having jurisdiction
over that transaction believes that the ruling should be modified or
revoked, the field office will forward to the Headquarters Office,
pursuant to 177.9(b)(1), a request that the ruling be reconsidered.
The field office will notify the importer or other person to whom the
ruling letter was issued, in writing, that it has requested the
Headquarters Office to reconsider the ruling.
(ii) Requests by importers and others. If the importer or other
person to whom a ruling letter is issued disagrees with the Customs
Service field office having jurisdiction over the transaction to which
the ruling relates as to the proper application of the ruling to the
transaction, the field office will, upon receipt of a written request
submitted in accordance with the procedure set forth in paragraph (b)(3)
of this section, request advice from the Headquarters Office as to the
proper application of the ruling to the transaction. Such advice may
not be requested for the purpose of seeking reconsideration of a ruling
with which the importer or other person to whom the ruling letter was
issued disagrees.
(2) When no ruling has been issued. Internal advice will be sought
by a Customs Service field office with respect to a current transaction
for which no ruling was requested or issued under the provisions of this
part whenever a difference of opinion exists as to the interpretation or
proper application of the Customs and related laws to the transaction,
and the field office is requested to seek such advice by an importer or
other person who would have been entitled, under 177.1(c), to request a
ruling with respect to the transaction, while prospective. The request
must be submitted to the field office in writing and in accordance with
the provisions of paragraph (b)(3) of this section.
(3) Form of request by importers and others. An importer or other
person requesting that a Customs Service field office seek advice from
the Headquarters Office must make such a request, in writing, to the
field office having jurisdiction over the transaction in question. The
request shall contain a complete statement setting forth a description
of the transaction, the specific questions presented, the applicable
law, and an argument for the conclusions advocated. The statement must
also specify whether, to the knowledge of the person submitting the
statement, the same transaction, or one identical to it, has ever been
considered, or is currently being considered, by any Customs Service
office. In addition, the statement should indicate at which port or
ports of entry identical or substantially identical merchandise has been
entered.
(4) Review of requests by importers and others. All requests
submitted by importers and other persons under paragraph (b)(3) of this
section, will be reviewed by the field office to which they are
submitted. In the event a difference of opinion exists as to the
description of the transaction or as to the point or points at issue,
the person submitting the request will be so advised in writing. If
agreement cannot be reached, both the statements of the person
submitting the request and the field office will be forwarded to the
Headquarters Office for consideration.
(5) Refusal by Headquarters Office to furnish advice. The
Headquarters Office may refuse to consider the questions presented to it
in the form of a request for internal advice whenever (i) the
Headquarters Office determines that the period of time necessary to give
adequate consideration to the questions presented would result in a
withholding of action with respect to the transaction, or in any other
situation, that is inconsistent with the sound administration of the
Customs and related laws, and (ii) the questions presented can
subsequently be raised by the importer or other interested party in the
form of a protest filed in accordance with the provisions of part 174 of
this chapter.
(6) Effect of advice received from the Headquarters Office. Advice
furnished by the Headquarters Office in response to a request therefor
represents the official position of the Customs Service as to the
application of the Customs laws to the facts of a specific transaction.
If the field office believes that the advice furnished by the
Headquarters Office should be reconsidered, it shall promptly request
such reconsideration. Otherwise, the advice furnished by the
Headquarters Office will be applied by the field office in its
disposition of the Customs transaction in question.
(7) Publication. Within 120 days after issuing an internal advice
memorandum, the Customs Service shall publish the decision in the
Customs Bulletin or otherwise make it available for public inspection.
Disclosure is governed by 31 CFR part 1 and 19 CFR part 103.
(8) Judicial review of importers' requests. A refusal by the
Headquarters Office to consider the questions raised by an importer in
the form of a request for internal advice may be appealed to the Court
of International Trade if the importer demonstrates to the Court that he
would be irreparably harmed unless given an opportunity to obtain
judicial review prior to the importation of the merchandise.
(T.D. 75-186, 40 FR 31929, July 30, 1975, as amended by T.D. 78-394,
43 FR 49792, Oct. 25, 1978; T.D. 80-285, 45 FR 80106, Dec. 3, 1980;
T.D. 84-149, 49 FR 28699, July 16, 1984; T.D. 85-90, 50 FR 21431, May
24, 1985; T.D. 89-74, 54 FR 31517, July 31, 1989)
19 CFR 177.12 Inconsistent customs decisions.
(a) Generally. Certain decisions made by Customs officials at one
field location which are inconsistent with decisions being made by
Customs officials at another location may be brought to the attention of
Customs Headquarters for resolution by a petition filed by an interested
party. The types of decisions which may be the subject of such a
petition, a description of the parties who qualify as interested
parties, and the period of time in which the petition may be filed are
set forth below.
(1) Inconsistent decisions subject to petition. The decisions which
may be the subject of a petition include:
(i) Decisions described in section 514(a) of the Tariff Act of 1930,
as amended (19 U.S.C. 1514(a)), made with respect to the same, or
substantially similar, merchandise; and
(ii) Repeated decisions to conduct intensified inspections or
examinations of merchandise at ports of entry.
(2) Interested Parties. The following parties shall be considered
interested parties entitled to file a petition under this section:
(i) Parties described in section 514(c)(1) of the Tariff Act of 1930,
as amended (19 U.S.C. 1514(c)(1)), as eligible to file a protest under
section 514;
(ii) A port authority; and
(iii) An ''interested party,'' as described in section 516(a)(2) of
the Tariff Act of 1930, as amended (19 U.S.C. 1516(a)(2)).
(3) Time for filing. In the case of decisions described in section
514(a) of the Tariff Act, the petition must be filed within the time
prescribed by section 514(c)(2), for filing a protest with respect to
the later (or latest) of the decisions which are the subject of the
petition. In the case of repeated decisions to conduct intensified
inspections or examinations of merchandise at ports of entry, the
petition must be filed within ninety (90) days of the later (or latest)
such decision.
(b) Petition -- (1) Form. The petition shall be in the form of a
letter addressed to the Office of Regulations and Rulings, U.S. Customs
Service, Washington, DC 20229-0001. Three copies of the petition should
be submitted, if possible.
(2) Content. The petition should contain a complete description of
the inconsistent decisions complained of, including the ports of entry
(or other Customs office) where the decisions were made, entry numbers,
and the dates (or approximate dates) such decisions were made. The
information set forth in the petition must be sufficient to demonstrate
the inconsistency of the decisions described and that the merchandise,
or circumstances in which the allegedly inconsistent decisions were
made, were substantially similar. In the case of repeated decisions
regarding the inspection or examination of merchandise, the decisions
must be sufficient in number to demonstrate a pattern of inconsistency
not attributable to random selection. Any information which the
petitioner considers to be confidential business information should be
so noted pursuant to 177.2(b)(7) of this subpart and a sanitized
version of his petition should be submitted as well as the three copies
requested in paragraph (b)(1) of this section. Petitions which do not
contain information sufficient to permit the Customs Service to verify
that the decisions described have occurred will not be considered
properly filed and will be returned to the petitioner for additional
information. Only one petition will be accepted by the Customs Service
with respect to the decisions alleged to be inconsistent.
(i) Tariff classification decision. In the case of decisions
involving the tariff classification of merchandise, the petition should
also include, with respect to each of the decisions described, the
information requested in 177.2 (b)(1) and (b)(2)(ii) of this subpart,
including a sample (see 177.2(b)(3)).
(ii) Other subjects addressable by administrative rulings. In the
case of other decisions involving subjects which could be addressed
under the administrative rulings procedure provided for in 177.1
through 177.10 of this subpart, the information contained in 177.2
(b)(1), (b)(2)(iii) and/or (b)(2)(iv), as applicable, should be also
furnished for each of the decisions addressed by the petition.
(c) Publication and public comment. Upon receipt of a properly filed
petition, notice will be published in the Federal Register announcing
the receipt of the petition and describing the decisions alleged to be
inconsistent. Public comment on the petition will be permitted for a
period of fifteen (15) days after publication. Public comment regarding
the proper disposition of the petition shall be limited to that
submitted in writing, either with the petition or in response to the
Federal Register solicitation of public comment.
(d) Determination of petition; distribution and publication. Within
fifteen (15) days after the close of the period for public comment
referred to in paragraph (c) of this section, the Customs Service will
issue a decision to the petitioner addressing the inconsistency
complained of. That decision will either conform the inconsistent
decisions to the current views of the Customs Service as to the proper
tariff classification or other disposition of the subject of those
decisions or explain why no inconsistency exists. Copies of the
decisions to the petitioner will be transmitted directly to all ports
(or other Customs offices) identified in the petition and will be
distributed through the Customs Information Exchange or by other means
to such other ports or offices as may be necessary to correct any
inconsistency identified. A summary of the decision will also be
published in the Federal Register and the weekly Customs Bulletin.
(e) Effective date. Unless otherwise specified in the decision, a
decision issued in response to a petition filed under this section will
be effective immediately and, where applicable, applied to all entries
for which liquidation is not final.
(f) Effect on other procedures. The filing of a petition under this
procedure shall not preclude the petitioner or any other person entitled
to do so from filing a protest or a domestic interested party petition
regarding the same matter under the procedures set forth in sections
514, 515 and 516 of the Tariff Act of 1930, as amended and parts 174 and
175 of this chapter, provided the applicable requirements set forth
therein are complied with. However, the decision issued in response to
the petition may serve as the basis for the disposition of any protest
so filed, or as an information letter setting forth the position of the
Customs Service pursuant to subpart A of part 175 of this chapter. The
decision issued in response to a petition filed under this section is
not itself a decision subject to protest under sections 514-515 of the
Tariff Act and part 174 of this chapter.
(T.D. 89-74, 54 FR 31517, July 31, 1989)
19 CFR 177.12 Subpart B -- Government Procurement; Country-of-Origin
Determinations
Authority: R.S. 251, as amended (19 U.S.C. 66), sec. 624, 46 Stat.
759 (19 U.S.C. 1624); Pub. L. 96-39, 93 Stat. 144.
Source: T.D. 83-13, 48 FR 1189, Jan. 11, 1983, unless otherwise
noted.
19 CFR 177.21 Applicability.
This subpart applies to the issuance of country-of-origin advisory
rulings and final determinations relating to Government procurement
under Title III, ''Trade Agreements Act of 1979,'' Pub. L. 96-39, 93
Stat. 144, for the purpose of granting waivers of certain ''Buy
American'' restrictions in U.S. law or practice for products for
eligible countries. This subpart is intended to be applied consistent
with the Federal Procurement Regulations (41 CFR part 1-6) and the
Defense Acquisition Regulation (32 CFR section VI).
19 CFR 177.22 Definitions.
(a) Country of origin. For the purpose of this subpart, an article
is a product of a country or instrumentality only if (1) it is wholly
the growth, product, or manufacture of that country or instrumentality,
or (2) in the case of an article which consists in whole or in part of
materials from another country or instrumentality, it has been
substantially transformed into a new and different article of commerce
with a name, character, or use distinct from that of the article or
articles from which it was so transformed. The term ''instrumentality''
shall not be construed to include any agency or division of the
government of a country, but may be construed to include such
arrangements as the European Economic Community.
(b) Advisory ruling. An advisory ruling is a non-binding,
non-reviewable written statement issued by the Director, Commercial
Rulings Division, Headquarters, U.S. Customs Service, which does no more
than call attention to a well established interpretation or principal of
law relating to the country of origin, without applying it to a
particular set of facts. Customs will issue an advisory ruling in
response to a request for a final determination if:
(1) The request suggests that general information, rather than a
final determination, is actually being sought,
(2) The request is incomplete or otherwise fails to meet the
requirements set forth in 177.25(a), or
(3) The ruling requested cannot be issued for any other reason, and
Customs believes that the general information supplied by an advisory
ruling may be of some benefit to the party making the request. An
advisory ruling is not a ruling issued prior to importation under 28
U.S.C. 1581(h).
(c) Final determination. A final determination is a binding
judicially reviewable statement issued by the Director, Office of
Regulations and Rulings, Headquarters, U.S. Customs Service, in response
to a written request submitted under the provisions of this subpart that
interprets and applies the provisions of law and regulation relating to
the country of origin to a specific set of facts. A final determination
may be issued to a party-at-interest prior to actual entry of the
merchandise.
(d) Party-at-interest. For purposes of this subpart the term
party-at-interest means:
(1) A foreign manufacturer, producer, or exporter, or a United States
importer of merchandise which is the subject of a final determination
under this subpart,
(2) A manufacturer, producer, or wholesaler in the United States of a
like product,
(3) United States members of a labor organization or other
association of workers whose members are employed in the manufacture,
production, or wholesale in the United States of a like product, and
(4) A trade or business association a majority of whose members
manufacture, produce, or wholesale a like product in the United States.
(T.D. 83-13, 48 FR 1189, Jan. 11, 1983, as amended by T.D. 91-77, 56
FR 46115, Sept. 10, 1991)
19 CFR 177.23 Who may request a country-of-origin advisory ruling or
final determination.
A country-of-origin advisory ruling or final determination may be
requested by:
(a) A foreign manufacturer, producer, or exporter, or a United States
importer of merchandise,
(b) A manufacturer, producer, or wholesaler in the United States of a
like product,
(c) United States members of a labor organization or other
association of workers whose members are employed in the manufacture,
production, or wholesale in the United States of a like product, or
(d) A trade or business association a majority of whose members
manufacture, produce, or wholesale a like product in the United States.
19 CFR 177.24 By whom request is filed.
A request may be filed by an individual or organization listed in
177.23 or by a duly authorized attorney or agent on behalf of the
individual or organization. A request filed by a corporation shall be
signed by a corporate officer, and a request filed by a partnership
shall be signed by a partner.
19 CFR 177.25 Form and content of request.
(a) A request for an advisory ruling shall be in writing and shall
contain such information as will enable Customs to provide the requester
with the applicable principle of law or well established interpretation
relating to the particular country of origin.
(b) A request for a final determination shall be in writing and shall
contain the following information:
(1) The name of the requester, the requester's principal place of
business, and a statement that the requester is authorized to file the
request under the provisions of 177.24;
(2) A description of the existing article for which a
country-of-origin determination is requested;
(3) The country or instrumentality an article is claimed to be the
product of;
(4) Such further information as will enable Customs to determine if
an article is a product of a specific country or instrumentality, and;
(5) If applicable, the specific procurement for which the final
determination is requested.
19 CFR 177.26 Where request filed.
The request shall be filed with the Director, Office of Regulations
and Rulings, Headquarters, U.S. Customs Service, 1301 Constitution
Avenue, NW., Washington, DC 20229.
19 CFR 177.27 Oral discussion of issues.
Any party authorized to request a ruling under the provisions of
177.23 may request an opportunity for oral discussion of the issues
presented in the request. The oral discussion of issues will be
governed by the provisions of 177.4.
19 CFR 177.28 Issuance of advisory rulings and final determinations.
(a) Pursuant to a request for an advisory ruling which meets the
requirements of this subpart, Customs will promptly issue an advisory
ruling.
(b) Pursuant to a request for a final determination which meets the
requirements of this subpart, Customs will promptly issue a final
determination. If the request does not meet the requirements of this
subpart Customs may decline to issue a final determination or may issue
instead an advisory ruling.
(c) Requests for final determinations which include the information
set forth in 177.25(b)(5) (relating to a specific procurement) will be
considered by Customs before all other requests (advisory rulings and
final determinations).
19 CFR 177.29 Publication of notice of final determinations.
Notice of all final determinations shall be published in the Federal
Register within 60 days of the date the final determination is issued.
19 CFR 177.30 Review of final determinations.
Any party-at-interest listed in 177.22(d) may seek judicial review
of a final determination within 30 days after publication of such
determination in the Federal Register, and may seek judicial review of a
refusal to issue a final determination within 30 days after such
refusal. The Court of International Trade shall have exclusive
jurisdiction to review a final determination or a refusal to issue a
final determination made under this subpart.
19 CFR 177.31 Reexamination of final determinations.
A party-at-interest, other than the party-at-interest which requested
and received the initial final determination, may ask Customs to
consider the matter anew and issue, on an expedited basis, a new final
determination. Such a request shall specifically identify the previous
final determination. Upon receipt of such a request, Customs will issue
a new final determination within five working days of receipt of the
request unless (a) the previous final determination was the subject of a
contested lawsuit timely filed in the Court of International Trade under
28 U.S.C. 1581(e) or, (b) the merchandise at issue in the initial final
determination was tendered and deemed responsive to the request for
proposals or an invitation for bids in a competitive procurement subject
to the Buy American Act (41 U.S.C. 10a et seq.) and a contract under
such procurement was let. Any new final determination issued under this
section shall be published in accordance with 177.29 and is reviewable
under 177.30.
19 CFR 177.31 PART 178 -- APPROVAL OF INFORMATION COLLECTION
REQUIREMENTS
Sec.
178.1 Purpose.
178.2 Listing of OMB control numbers.
Authority: 5 U.S.C. 301, 19 U.S.C. 1624, 44 U.S.C. 3501 et seq.
19 CFR 178.1 Purpose.
This part sets forth the control numbers assigned to information
collections of the Customs Service by the Office of Management and
Budget pursuant to the Paperwork Reduction Act of 1980, Pub. L.
96-511. This part complies with the requirements of the Paperwork
Reduction Act of 1980, and implements regulations promulgated by the
Office of Management and Budget, (5 CFR 1320.7(f)(2), 1320.12(d) and
1320.13(j)) which require that agencies display a current control number
assigned by the Director of the Office of Management and Budget for each
agency information collection.
(T.D. 85-53, 50 FR 11849, Mar. 26, 1985)
19 CFR 178.2 Listing of OMB control numbers.
(T.D. 85-53, 50 FR 11849, Mar. 26, 1985)
Editorial Note: For Federal Register citations affecting 178.2, see
the List of CFR Sections Affected in the Finding Aids section of this
volume.
19 CFR 178.2 Pt. 191
19 CFR 178.2 PART 191 -- DRAWBACK
Sec.
191.0 Scope.
19 CFR 178.2 Subpart A -- General Provisions
191.1 Authority of the Commissioner of Customs.
191.2 Definitions.
191.3 Duties subject to drawback.
191.4 Types of drawback.
191.5 Retention of records.
191.6 Authority to sign drawback documents.
191.7 Protests.
191.8 Time limitations.
191.9 Falsification of drawback claims.
191.10 Verification of drawback claims.
191.11 Merchandise in which a United States Government interest
exists.
191.12 Drawback on duties paid to Puerto Rico.
191.13 Guantanamo Bay, insular possessions, trust territories.
19 CFR 178.2 Subpart B -- Specific Drawback Contracts
191.21 Drawback proposal.
191.22 Records, storage, identification.
191.23 Approval.
191.24 Schedules and supplemental schedules.
191.25 Modification of contracts.
191.26 Termination or renewal.
191.27 Tradeoff.
19 CFR 178.2 Subpart C -- Use of Substituted Merchandise
191.31 Drawback substitution.
191.32 Records and general provisions.
191.33 Multiple products.
191.34 Agency.
19 CFR 178.2 Subpart D -- General Drawback Contracts
191.41 Applicability.
191.42 Procedures.
191.43 Acknowledgement.
191.44 Termination or renewal.
191.45 Payment.
19 CFR 178.2 Subpart E -- Evidence of Exportation
191.51 Alternative procedures.
191.52 Notice of exportation.
191.53 Exporter's summary.
191.54 Certified notice of exportation by mail.
191.55 Exportation by the Government.
191.56 Amendment of evidence of exportation.
191.57 Examination of the merchandise.
19 CFR 178.2 Subpart F -- Completion of Drawback Claims
191.61 Time for filing.
191.62 Filing procedure.
191.63 Summary of papers filed.
191.64 Supplementary filing.
191.65 Certification of delivery.
191.66 Certificates of manufacture and delivery.
191.67 Landing certificates.
19 CFR 178.2 Subpart G -- Payment and Liquidation of Drawback Claims
191.71 Liquidation.
191.72 Accelerated payment.
191.73 Person entitled to receive drawback.
19 CFR 178.2 Subpart H -- Internal Revenue Tax on Flavoring Extracts
and Medicinal or Toilet Preparations (including Perfumery) Manufactured
From Domestic Tax-Paid Alcohol
191.81 Drawback allowance.
191.82 Procedure.
191.83 Additional requirements.
191.84 Alcohol, tobacco and firearms certificates.
191.85 Liquidation.
191.86 Amount of drawback.
19 CFR 178.2 Subpart I -- Supplies for Certain Vessels and Aircraft
191.91 Drawback allowance.
191.92 Procedure.
191.93 Drawback notice of lading.
191.94 Drawback entry.
19 CFR 178.2 Subpart J -- Meats Cured With Imported Salt
191.101 Drawback allowance.
191.102 Procedure.
191.103 Refund of duties.
19 CFR 178.2 Subpart K -- Materials for Construction and Equipment of
Vessels and Aircraft Built for Foreign Account and Ownership
191.111 Drawback allowance.
191.112 Procedure.
191.113 Explanation of terms.
19 CFR 178.2 Subpart L -- Foreign-Built Jet Aircraft Engines Processed
in the United States
191.121 Drawback allowance.
191.122 Procedure.
191.123 Drawback entry.
191.124 Refund of duties.
19 CFR 178.2 Subpart M -- Merchandise Exported From Continuous Customs
Custody
191.131 Drawback allowance.
191.132 Merchandise released from Customs custody.
191.133 Continuous Customs custody.
191.134 Filing the entry.
191.135 Merchandise withdrawn from warehouse for exportation.
191.136 Bill of lading.
191.137 Landing certificates.
191.138 Procedures.
191.139 Amount of drawback.
19 CFR 178.2 Subpart N -- Same Condition and Rejected Merchandise
Drawback
191.141 Same condition drawback.
191.142 Merchandise not conforming to sample or specifications or
shipped without the consent of the consignee.
19 CFR 178.2 Subpart O -- Distilled Spirits, Wines, or Beer Which Are
Unmerchantable or Do Not Conform to Sample or Specifications
191.151 Refund of taxes.
191.152 Procedure.
191.153 Documentation.
191.154 Return to Customs custody.
191.155 No exportation by mail.
191.156 Destruction of merchandise.
191.157 Liquidation.
191.158 Time limit for exportation or destruction.
19 CFR 178.2 Subpart P -- Merchandise Transferred to a Foreign-Trade
Zone From Customs Territory
191.161 Drawback allowance.
191.162 Zone-restricted merchandise.
191.163 Articles manufactured or produced in the United States.
191.164 Merchandise transferred from continuous Customs custody.
191.165 Same condition drawback merchandise and merchandise not
conforming to sample or specifications or shipped without the consent of
the consignee.
191.166 Person entitled to receive drawback.
Authority: 5 U.S.C. 301, 19 U.S.C. 66, 1202 (General Note 8,
Harmonized Tariff Schedule of the United States), 1313, 1624.
Section 191.7 also issued under 19 U.S.C. 1514;
Section 191.8 also issued under 19 U.S.C. 1557;
Section 191.9 also issued under 18 U.S.C. 550;
Section 191.94 also issued under 19 U.S.C. 1309;
Sections 191.131(a), 191.133, 191.137, 191.139 also issued under 19
U.S.C. 1557;
Sections 191.162 -- 191.166 also issued under 19 U.S.C. 81c.
Source: T.D. 83-212, 48 FR 46753, Oct. 14, 1983, unless otherwise
noted.
19 CFR 191.0 Scope.
This part sets forth general provisions applicable to all drawback
claims and specialized provisions applicable to specific types of
drawback claims.
19 CFR 191.0 Subpart A -- General Provisions
19 CFR 191.1 Authority of the Commissioner of Customs.
Pursuant to Treasury Department Order No. 165, Revised (T.D. 53654,
19 FR 7241), as amended, the Commissioner of Customs, with the approval
of the Secretary of the Treasury, shall prescribe rules and regulations
regarding drawback.
19 CFR 191.2 Definitions.
(a) Drawback. ''Drawback'' means a refund or remission, in whole or
in part, of a customs duty, internal revenue tax, or fee lawfully
assessed or collected because of a particular use made of the
merchandise on which the duty, tax, or fee was assessed or collected.
(b) Designated merchandise. ''Designated merchandise'' means
imported duty-paid merchandise or drawback products identified (either
physically or by accounting methods), by drawback claimant as the basis
for a drawback claim under 19 U.S.C. 1313(b) or (j)(2).
(c) Drawback proposal. A ''drawback proposal'' means a written
document executed by a manufacturer or producer which contains an offer
to operate under the drawback law and regulations.
(d) Drawback acceptance. ''Drawback acceptance'' means a letter from
Customs to the manufacturer or producer accepting the proposal.
Regional commissioners of Customs accept proposals filed pursuant to 19
U.S.C. 1313(a). U.S. Customs Headquarters accepts proposals in all other
cases.
(e) Specific drawback contract. A ''specific drawback contract''
means the drawback proposal and the drawback acceptance. Synopses of
contracts are published in the weekly ''Customs Bulletin,'' where each
contract is assigned an identifying Treasury Decision (T.D.) number.
(f) General drawback contract. A ''general drawback contract'' means
a contract offer prepared by Customs and published in the ''Customs
Bulletin'', and a letter of acceptance by anyone able to comply with its
terms and conditions. Letters of acceptance to adhere to the terms
shall be filed with a regional commissioner.
(g) Drawback product. A ''drawback product'' means a finished or
partially finished product manufactured in the United States under a
drawback contract. A drawback product may be exported with a claim for
drawback, or it may be used in the further manufacture of other drawback
products by manufacturers who have appropriate drawback contracts, in
which case drawback is claimed upon exportation of the ultimate product.
For purposes of 19 U.S.C. 1313(b), drawback products may be designated
as the basis for drawback or deemed to be domestic merchandise.
(h) Drawback entry. A ''drawback entry'' means a document containing
a description of, and other required information concerning, exported or
destroyed articles on which drawback is claimed. Depending on the type
of drawback applied for, entries are filed on Customs Form 331, 7512, or
7539.
(i) Drawback claim. A ''drawback claim'' means the drawback entry
and related documents required by these regulations which together
constitute the request for drawback payment.
(j) Direct identification drawback. ''Direct identification
drawback'' means drawback authorized under section 313(a), Tariff Act of
1930, as amended (19 U.S.C. 1313(a)). See section 191.4(a)(1) of this
part.
(k) Substitution drawback. ''Substitution drawback'' means drawback
authorized under section 313(b), Tariff Act of 1930, as amended (19
U.S.C. 1313(b)). See section 191.4(a)(2) of this part.
(l) Fungible merchandise. ''Fungible merchandise'' means merchandise
which for commercial purposes is identical and interchangeable in all
situations.
(m) Same kind and quality merchandise. ''Same kind and quality
merchandise'' means merchandise which may be substituted under
substitution drawback. Fungible merchandise is always same kind and
quality merchandise; however, same kind and quality merchandise is not
always fungible merchandise.
(n) Schedule. A ''schedule'' means a document filed by a drawback
claimant showing the quantity of imported material used or appearing in
each unit of product exported with drawback or showing the different
styles or the capacities of containers for the products.
(o) Verification. ''Verification'' means the examination of any and
all records, (see 162.1a(a) of this chapter), maintained by the
claimant, whether or not specifically described in the claimant's
proposal, which are required by the regulatory auditor to render a
meaningful recommendation concerning the drawback claimant's conformity
to the law and regulations and the determination of supportability,
correctness, and validity of the specific claim or groups of claims
being verified. Verification also includes a determination that the
exported product was produced in conformity with the drawback
manufacturing process, as described and approved in the claimant's
proposal.
(p) Abstract of manufacturing records. ''Abstract of manufacturing
records'' means a summary of original documents. A Manufacturing
Drawback Entry and/or Certificate, Customs Form 331, when properly
completed, may serve as an abstract of manufacturer's record.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 85-123,
50 FR 29957, July 23, 1985; T.D. 86-118, 51 FR 22516, June 20, 1986)
19 CFR 191.3 Duties subject to drawback.
The duties subject to drawback include:
(a) All ordinary Customs duties;
(b) Marking duties assessed under section 304(c), Tariff Act of 1930,
as amended (19 U.S.C. 1304(c)).
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 90-36,
55 FR 17598, Apr. 26, 1990)
19 CFR 191.4 Types of drawback.
(a) Drawback of duties and taxes. Drawback of duties and taxes
ordinarily are authorized in the following instances:
(1) Direct identification drawback. Drawback of duties is provided
for in section 313(a), Tariff Act of 1930, as amended (19 U.S.C.
1313(a)), upon the exportation of articles manufactured or produced in
the United States wholly or in part with the use of imported
merchandise.
(2) Substitution drawback. If imported duty-paid merchandise and
duty-free or domestic merchandise of the same kind and quality are used
in the manufacture or production of articles within a period not to
exceed 3 years from the receipt of the imported merchandise by the
manufacturer or producer of the articles, drawback is provided for in
section 313(b), Tariff Act of 1930, as amended (19 U.S.C. 1313(b)), upon
the exportation of any of the articles, even though none of the imported
merchandise may actually have been used in the manufacture or production
of the exported articles. The amount of drawback is the same as that
which would have been allowed had the merchandise used therein been
imported.
(3) Merchandise not conforming to sample or specifications or shipped
without consent of consignee. Drawback is provided for in section
313(c), Tariff Act of 1930, as amended (19 U.S.C. 1313(c)), upon the
exportation of imported merchandise not conforming to sample or
specifications or shipped without consent of the consignee.
(4) Drawback of internal-revenue taxes. Drawback of internal-revenue
taxes is provided for in section 313(d), Tariff Act of 1930, as amended
(19 U.S.C. 1313(d)), upon the exportation of flavoring extracts and
medicinal or toilet preparations (including perfumery) manufactured or
produced in the United States in part from domestic tax-paid alcohol.
(5) Imported salt for curing fish. Drawback of duties is provided
for in section 313(e), Tariff Act of 1930, as amended (19 U.S.C.
1313(e)), on salt imported in bond and used in curing fish. (See
section 10.80 of this chapter.)
(6) Exportation of meats cured with imported salt. Drawback of
duties is provided for in section 313(f), Tariff Act of 1930, as amended
(19 U.S.C. 1313(f)), in amounts of not less than $100, upon the
exportation of packed or smoked meats cured in the United States with
imported salt.
(7) Material for construction and equipment of vessels and aircraft
built for foreigners. Drawback of duties is provided for in section
313(g), Tariff Act of 1930, as amended (19 U.S.C. 1313(g)), on materials
imported and used in constructing and equipping vessels and aircraft
built for foreign account and ownership or for the government of any
foreign country, even though these vessels and aircraft may not be
exported within the strict meaning of the term.
(8) Foreign-built jet aircraft engines processed in the United
States. Drawback of duties is provided for in section 313(h), Tariff
Act of 1930, as amended (19 U.S.C. 1313(h)), in amounts of not less than
$100, upon the exportation of jet aircraft engines manufactured or
produced abroad that have been overhauled, repaired, rebuilt or
reconditioned in the United States with the use of imported merchandise,
including parts.
(9) Direct identification same condition drawback. Drawback of
duties is provided for in section 313(j)(1), Tariff Act of 1930, as
amended (19 U.S.C. 1313(j)(1)), on imported merchandise exported in the
same condition as when imported, or destroyed under Customs supervision
and not used within the United States before such exportation or
destruction.
(10) Substitution same condition drawback. Drawback of duties is
provided for in section 313(j)(3), Tariff Act of 1930, as amended (19
U.S.C. 1313(j)(3)), on merchandise fungible with imported merchandise
when exported or destroyed under Customs supervision, provided all the
conditions described under 191.141(h) are complied with.
(11) Packaging materials. Drawback of duties is provided for in
section 313(j)(4), Tariff Act of 1930, as amended (19 U.S.C.
1313(j)(4)), on packaging material used to package or repackage
merchandise exported with direct identification same condition drawback.
(19 U.S.C. 1313(j) contains two paragraphs numbered (4). See first
paragraph (4).)
(12) Supplies for certain vessels and aircraft. Drawback of duties
and taxes is provided for in section 309(b), Tariff Act of 1930, as
amended (19 U.S.C. 1309(b)), on articles withdrawn from bonded
warehouses, bonded manufacturing warehouses, continuous Customs custody
elsewhere than a bonded warehouse, or foreign trade zones and articles
of domestic manufacture or production, which are laden as supplies upon
certain vessels or aircraft of the United States or as supplies
including equipment upon or used in the maintenance or repair of certain
foreign vessels or aircraft.
(13) Merchandise exported from continuous Customs custody. Drawback
of duties is provided for in accordance with section 557(a), Tariff Act
of 1930, as amended (19 U.S.C. 1557(a)), upon the exportation to a
foreign country, or the shipment to the Virgin Islands, American Samoa,
Wake Island, Midway Islands, Kingman Reef, Johnston Island, or Guam, of
merchandise upon which duties have been paid which has remained
continuously in bonded warehouse or otherwise in Customs custody since
importation, provided it was exported or shipped within 5 years after
the date of its importation.
(14) Merchandise transferred to a foreign trade zone from Customs
territory. Drawback of duties and taxes is provided for in accordance
with the fourth proviso of section 3 of the Foreign Trade Zones Act of
June 18, 1934, as amended (19 U.S.C. 81c), on merchandise transferred to
a foreign trade zone from Customs territory for the sole purpose of
exportation, destruction (except destruction of distilled spirits,
wines, and fermented malt liquors), or storage.
(b) Refund of internal revenue taxes on imported distilled spirits,
wines, or beer. Refund, remission, abatement, or credit of internal
revenue taxes paid or determined incident to importation on imported
distilled spirits, wines, and beer is provided for in accordance with
section 5062(c), Internal Revenue Code, as amended (26 U.S.C. 5062(c)),
upon the exportation, or destruction under Customs supervision of these
articles found after entry to be unmerchantable or not to conform to
sample or specifications and which are returned to Customs custody.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 85-123,
50 FR 29957, July 23, 1985)
19 CFR 191.5 Retention of records.
All records required to be kept by the manufacturer or producer under
this part with respect to drawback claims, and records kept by others to
complement the records of the manufacturer or producer (see sections
191.21(a)(1) and 191.22(d) of this part), shall be retained for at least
3 years after payment of such claims.
19 CFR 191.6 Authority to sign drawback documents.
(a) Who shall sign. Documents listed in paragraph (b) of this
section shall be signed by one of the following:
(1) The president, a vice president, secretary, or treasurer of a
corporation;
(2) A full partner of a partnership;
(3) The owner of a sole proprietorship; or
(4) Any person other than those described in paragraphs (a)(1)
through (a)(3) of this section with a power of attorney. (See subpart C
of part 141 of this chapter.)
(b) List of documents. The following documents require execution in
accordance with paragraph (a) of this section:
(1) Drawback entries.
(2) Certificates of delivery.
(3) Certificates of manufacture.
(4) Abstracts of manufacturing records.
(5) Proposals of manufacturers or producers, schedules, and
supplemental schedules.
(6) Proposals of subcontractors.
(7) Letter of intention to adhere to general drawback contracts.
(8) Endorsements of exporters on bills of lading or notices of
exportation.
(9) Authorizations by manufacturers, producers, exporters, or agents
to pay drawback to other persons.
19 CFR 191.7 Protests.
Protest procedures shall be in accordance with part 174 of this
chapter.
19 CFR 191.8 Time limitations.
(a) General time limit. Drawback shall be allowed only if the
completed article is exported within 5 years after importation of the
merchandise identified or designated to support the claim.
(b) Same condition drawback. Drawback shall be allowed on imported
merchandise if, before the close of the 3-year period beginning on the
date of importation, the merchandise is exported in the same condition
as when imported, or destroyed under Customs supervision, and is not
used within the United States before such exportation or destruction.
(c) Merchandise in continuous Customs custody. Drawback shall be
allowed on imported merchandise which is exported, or shipped from
continuous Customs custody to the Virgin Islands, American Samoa, Wake
Island, Midway Islands, Kingman Reef, Johnston Island, or Guam, only if
exported or shipped within 5 years after the date of its importation.
19 CFR 191.9 Falsification of drawback claims.
Any person who knowingly and willfully files any false or fraudulent
entry or claim for the payment of drawback upon the exportation of
merchandise or knowingly or willfully makes or files any false document
for the purpose of securing the payment to himself or others of any
drawback on the exportation of merchandise greater than that legally
due, shall be fined not more than $5,000 or imprisoned no more than 2
years, or both, and the merchandise or its value shall be forfeited.
19 CFR 191.10 Verification of drawback claims.
(a) Claims. A drawback claim filed under a drawback contract shall
be subject to verification by the regional Regulatory Audit Division
under the jurisdiction of the regional commissioner in whose region the
claim is filed when the factory covered by the claim also is located in
the same region.
(b) Two or more factories. If the claim selected for verification is
filed in one region and one or more factories covered by the claim is
located in another region, the regional commissioner selecting the claim
for verification, in addition to taking the verification action provided
for in paragraph (a) of this section, may forward copies of the claim
and the drawback contract, and request for verification to the regional
commissioners in whose regions the other factories are located.
(c) Method. The verifying official shall verify the claim and
material set forth in the related drawback contract. Verification shall
include an examination of the manufacturing records and all the
accounting and financial records relating to the transaction(s).
(d) Liquidations. When a claim has been selected for verification,
the appropriate Customs official will be notified of the claimant's
identity, and liquidation will be postponed on only those claims
selected for verification. Postponement will continue in effect until
the verification has been completed and the appropriate Deputy Assistant
Regional Commissioner (Regulatory Audit) issues a report. In the event
a substantial error is revealed during the verification, Customs may
postpone liquidation of all related product line claims, or in Customs
discretion, all claims.
(e) Errors in drawback proposals -- (1) Contracts accepted by Customs
Headquarters -- (i) Action by regional commissioner. If verification of
a drawback claim filed under a drawback contract accepted by
Headquarters reveals errors or deficiencies in the drawback proposal on
which the contract was based, the regional commissioner shall furnish a
copy of the audit report to Headquarters (Attention: Entry Rulings
Branch, Office of Regulations and Rulings).
(ii) Action by Headquarters. A regional commissioner forwarding an
audit report to Headquarters shall suspend liquidation of all drawback
claims filed under the contract. Headquarters shall offer the claimant
an opportunity to correct its proposal within a specified time.
(iii) If claimant does not correct proposals. If the claimant does
not take corrective action within the prescribed time, the appropriate
regional commissioner shall liquidate the claim(s) ''no drawback.''
(2) Contracts accepted by regional commissioner. The regional
commissioner shall offer the claimant an opportunity within a specified
time to amend proposals that are the basis of contracts which he has
accepted. If the claimant does not take corrective action within the
prescribed time, the regional commissioner shall liquidate the claim(s)
''no drawback.''
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983; 48 FR 52031, Nov. 16,
1983, as amended by T.D. 91-77, 56 FR 46115, Sept. 10, 1991)
19 CFR 191.11 Merchandise in which a United States Government interest
exists.
(a) Restricted meaning of Government. A United States Government
instrumentality operating with nonappropriated funds shall not be
considered a Government entity within the meaning of this section.
Surety on any drawback bond undertaken by these instrumentalities will
not be required.
(b) Certificate. With each drawback entry, except those filed
pursuant to section 313(c) and 313(j), Tariff Act of 1930, as amended
(19 U.S.C. 1313(c), (j)), the drawback claimant shall certify whether or
not the merchandise concerned was sold to the United States Government.
(c) Allowance of drawback. If the merchandise was sold to the United
States Government, drawback shall be available only to the:
(1) Department, branch, or agency of the United States Government,
which purchased it; or
(2) Supplier, or any of the parties specified in 191.73(b) of this
part, provided the claim is supported by documentation signed by a
proper officer of the department, branch or agency concerned certifying
that the right to drawback was reserved by the supplier with the
knowledge and consent of the department, branch, or agency.
19 CFR 191.12 Drawback on duties paid to Puerto Rico.
Any drawback of duties authorized under this part shall be paid from
special fund 20X6587(A/R), Refunds, Transfers and Expenses of
Operations, Puerto Rico, U.S. Customs Service, if the duties were
originally paid into this fund (see 19 U.S.C. 1313(m)).
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 85-123,
50 FR 29957, July 23, 1985)
19 CFR 191.13 Guantanamo Bay, insular possessions, trust territories.
Guantanamo Bay Naval Station shall be considered foreign territory
for drawback purposes. However, under 19 U.S.C. 1313, there is no
authority of law for the allowance of drawback of Customs duty on
articles manufactured or produced in the United States and shipped to
Puerto Rico, the Virgin Islands, American Samoa, Wake Island, Midway
Islands, Kingman Reef, Guam, Canton Island, Enderbury Island, Johnston
Island, or Palmyra Island.
19 CFR 191.13 Subpart B -- Specific Drawback Contracts
19 CFR 191.21 Drawback proposal.
(a) Proper applicant. Unless operating under a general drawback
contract, each manufacturer or producer of articles intended for
exportation with drawback, whether a primary, intermediate, or final
manufacturer or producer of the articles and whether or not the owner of
the merchandise used in the manufacture or production, shall apply for a
specific drawback contract by submitting a drawback proposal.
Procedures for adhering to a general drawback contract are provided in
subpart D.
(1) Complementary recordkeeper. Each person who keeps complementary
records as provided for in section 191.22(d) of this part shall file a
proposal describing these records in accordance with the procedure
prescribed in this section. Complementary records may be signed by the
complementary recordkeeper in accordance with 191.6(a) of this part.
(2) Subcontractors. If a manufacturer or producer having a drawback
contract engages a subcontractor to perform work which for drawback
purposes does not constitute a manufacture or production, with the use
of material which the principal plans to make the subject of a drawback
claim, the subcontractor, unless operating under a general drawback
contract, shall prepare a drawback proposal to establish how it will
maintain the identification of the merchandise. The proposal, which is
subject to the provisions of this section, is required only if the work
performed by the subcontractor results in a problem in identification of
the merchandise (for example, by changing its form or quantity).
(b) Contents. The proposal of each manufacturer or producer,
complementary recordkeeper, and subcontractor shall:
(1) Describe his manufacturing operation fully and method of
compliance with all requirements of the drawback law and regulations;
(2) State that the records of identification, manufacture or
production, and storage prescribed in 191.22 will be maintained; and
(3) Contain an agreement to follow the methods and keep records
concerning drawback procedures.
(c) Sample proposal. Except for direct identification drawback, the
Entry Rulings Branch, Office of Regulations and Rulings, Customs
Headquarters, upon request, shall provide each prospective drawback
applicant with a sample drawback proposal to assist the prospective
applicant in preparing its submission. Sample proposals for direct
identification drawback shall be provided by the regional commissioner
upon request.
(d) Submission. Each manufacturer or producer who proposes to file
for drawback exclusively under the provisions of section 313(a), Tariff
Act of 1930, as amended (19 U.S.C. 1313(a)), shall submit the proposal
described in paragraph (b) of this section, in duplicate, to the
regional commissioner where its drawback entries will be liquidated.
Each manufacturer or producer who proposes to file for drawback under
the provision of section 313(b), (d), (g), or (h), Tariff Act of 1930,
as amended (19 U.S.C. 1313(b), (d), (g), (h)), or in any combination of
section 313(a), Tariff Act of 1930, as amended (19 U.S.C. 1313(a)), with
section 313(b), (d), or (g), shall submit the proposal described in
paragraph (b) of this section, in triplicate, to Customs Headquarters
(Attention: Entry Rulings Branch, Office of Regulations and Rulings).
(e) Two or more regions involved. If drawback entries are to be
liquidated at more than one regional office, the manufacturer or
producer shall file two additional copies of the proposal for each
additional office.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 91-77,
56 FR 46115, Sept. 10, 1991)
19 CFR 191.22 Records, storage, identification.
(a) Records for direct identification and other non-substitution
manufacturing drawback. (1) General Rule. Except for record
requirements under section 313(b), Tariff Act of 1930, as amended (19
U.S.C. 1313(b)), set forth in 191.32 of this part, each manufacturer or
producer shall keep records to establish for all articles manufactured
or produced for exportation with drawback:
(i) The date or inclusive dates of manufacture or production;
(ii) The quantity and identity of the imported duty-paid merchandise
or drawback products used in, or, if claim for waste is waived, and
there are no multiple products, the quantity and identity of the
imported merchandise or drawback products appearing in the articles
manufactured or produced;
(iii) The quantity and description of the articles manufactured or
produced;
(iv) The quantity of waste incurred. If claim for waste is waived
and the appearing in basis is used, waste records need not be kept
unless required to establish the quantity of imported duty-paid
merchandise or drawback products appearing in the articles; and
(v) That the finished articles on which drawback is claimed were
exported within 5 years after the importation of the duty-paid
merchandise.
(2) Valuable waste. When waste has a value and the manufacturer or
producer has not limited its claims to the quantity of imported
duty-paid merchandise or drawback products appearing in the articles, it
shall keep records to show the factory value of the imported duty-paid
merchandise or drawback products used and the factory value of the
waste. In liquidating the drawback entry, the quantity of imported
duty-paid merchandise or drawback products used will be reduced by an
amount equal to the quantity of merchandise the value of the waste would
replace.
(3) Duty-free or domestic merchandise. The records of the
manufacturer or producer shall show the quantity, if any, of duty-free
or domestic merchandise used, when these records are necessary to
determine the quantity of imported duty-paid merchandise or drawback
products used in the manufacture or production of the articles or
appearing in them.
(4) Filing an abstract. The drawback claimant shall file with the
entry an abstract of the records of the manufacturer or producer.
(5) Multiple products. (i) General rule. Where two or more products
result from the use of merchandise, records shall show the value of each
product at the time of separation.
(ii) Claim covering a manufacturing period. Where the operation
results in two or more products and a claim covers a manufacturing
period rather than a manufacturing lot, the time of separation of the
products shall be considered the entire period covered by the claim, and
the value per unit of product is its weighted average market
value for the period. Manufacturing periods in excess of one month
may not be used without specific approval of Customs.
(b) Storage and identification. The merchandise and articles to be
exported shall be stored in a manner which will enable the manufacturer,
producer, or claimant (1) to determine, and the Customs officials to
verify, the applicable import entry, certificate of delivery, or
certificate of manufacture and delivery number or numbers; and (2) to
identify with respect to that import entry, certificate of delivery, or
certificate of manufacture and delivery, the imported duty-paid
merchandise or drawback products used in the manufacture or production.
(c) Identification of two or more lots. Manufacturers, producers, or
claimants may identify for drawback purposes commingled lots of fungible
merchandise and commingled lots of fungible products by applying
first-in-first-out (FIFO) accounting principles or any other accounting
procedure approved by Customs.
(d) Complementary records. When Customs Headquarters or the regional
commissioner, in appropriate cases, determines that a manufacturer or
producer is unable to record all the information required for drawback,
complementary records covering the information not available to the
manufacturer or producer may be kept by the person(s) in the United
States for whose account the products are manufactured or produced; and
abstracts of these records shall be filed with the drawback entry. (See
191.21(a)(1)).
(e) Records and storage of merchandise by persons required to certify
its delivery -- (1) Storage and records. Each person required by
191.65 and 191.66(d) of this part to certify the delivery of imported
merchandise or drawback products shall store this merchandise and
products while in his possession and maintain records to show the:
(i) Quantity, identity, and description of the merchandise or
products;
(ii) Date on which the merchandise or products were received by him;
(iii) Person from whom received;
(iv) Date delivered by him to other persons; and
(v) Persons to whom these deliveries were made.
(2) Certificate or endorsements. These records shall be the basis of
the certificates or endorsements required by 191.65 and 191.66(d) of
this part.
19 CFR 191.23 Approval.
(a) General rule. If the required proposal(s) comply with the law
and regulations, the regional commissioner in a case under section
313(a), Tariff Act of 1930, as amended (19 U.S.C. 1313(a)), or Customs
Headquarters in a case under section 313 (b), (d), (g), or (h), Tariff
Act of 1930, as amended (19 U.S.C. 1313 (b), (d), (g), or (h)), or in
any combination of section 313 (a) with section 313 (b), (d), or (g),
shall approve the drawback contract for a period of 15 years from the
date of approval. (See 191.26 of this part.)
(b) Two or more regions. When a proposal under section 313(a),
Tariff Act of 1930, as amended (19 U.S.C. 1313(a)), shows that entries
are to be filed with more than one regional commissioner, the regional
commissioner at the place first listed in the proposal has the authority
to approve or disapprove the contract.
(c) Drawback entries filed before contract issued. Drawback entries
may be filed before the drawback contract covering the claim is
approved, but no drawback shall be paid until the contract is approved.
(d) Payment of drawback. After approval of the contract, drawback
will be paid on articles manufactured or produced and exported in
accordance with the law, regulations, and contract.
19 CFR 191.24 Schedules and supplemental schedules.
When a drawback contract provides that drawback shall be based upon a
schedule filed by the manufacturer or producer, the appropriate regional
commissioner where the entry is filed or Customs Headquarters, in
accordance with 191.23 of this part, shall review, and if satisfactory,
approve the drawback schedule. If the contract authorizes the filing of
supplemental schedules, schedules may be revised as necessary by the
holder of the drawback contract. These revised supplemental schedules,
if approved by the appropriate regional commissioner, shall be used to
liquidate drawback claims.
19 CFR 191.25 Modification of contracts.
(a) Supplemental proposals. A manufacturer or producer desiring to
modify an existing contract shall prepare a supplemental proposal in the
form of the original proposal. The supplemental proposal shall contain
all information necessary for a complete contract, as provided in
191.21 of this part.
(b) Approval -- (1) General. Except as provided in paragraph (b)(2)
of this section, the appropriate regional commissioner or Customs
Headquarters shall approve a new drawback contract pursuant to 191.23
of this part, for a period of 15 years from the date of its approval if
the supplemental proposal complies with the law and regulations.
(2) Limited modifications. A supplemental proposal to modify an
existing contract under section 313(b), (d), or (g), Tariff Act of 1930,
as amended, which otherwise would be submitted to Customs Headquarters,
shall be submitted to the appropriate regional commissioner for approval
provided the changes covered by the modification are limited to:
(i) A change in location of the factory of the manufacturer or
producer;
(ii) An additional factory at which the methods followed and the
records maintained are the same as those at another factory operating
under an existing drawback contract of the manufacturer or producer;
(iii) The succession of a sole proprietorship, partnership, or
corporation to the operations of the manufacturer or producer; or
(iv) Any combination of the foregoing changes.
(c) Effect. The new drawback contract shall supersede the contract
which it modifies, and the Customs official who approves the new
contract shall revoke the pre-existing contract without prejudice to
claims existing thereunder.
19 CFR 191.26 Termination or renewal.
Drawback contracts shall terminate 15 years from the date of approval
unless, prior to the expiration of each 15-year period, the manufacturer
or producer in accordance with 191.23 of this part requests the
applicable regional commissioner or Customs Headquarters to renew the
contract for another 15-year period. A contract issued under section
313(a), Tariff Act of 1930, as amended (19 U.S.C. 1313(a)), covering
two or more regions, shall be renewed by the regional commissioner who
approved the contract. A manufacturer or producer may terminate its
contract at any time by writing to the appropriate regional commissioner
or Customs Headquarters, as applicable.
19 CFR 191.27 Tradeoff.
(a) Exchanged merchandise. To comply with 191.22(a)(ii) and
191.32(a)(3), the use of domestic merchandise taken in exchange for
imported merchandise of the same kind and quality shall be treated as
use of the imported merchandise if no certificate of delivery (Customs
Form 7543) is issued covering the imported merchandise. This provision
shall be known as tradeoff and is authorized by section 313(k), Tariff
Act of 1930, as amended (19 U.S.C. 1313(k)).
(b) Requirements. Tradeoff must occur between two separate legal
entities, but it is not necessary that the entity exchanging the
imported merchandise be the importer thereof. In addition, tradeoff
must be a straight tradeoff of same kind and quality merchandise, with
no additional payments of any type, including additional payment in
kind.
(c) Application. Each would-be user of tradeoff, except those
operating under a general drawback contract covering substitution, must
apply to the Entry Rulings Branch, Office of Regulations and Rulings,
Customs Headquarters, for a determination of whether the imported and
domestic merchandise are same kind and quality. For those users
manufacturing under substitution drawback, this request should be
contained in the drawback proposal. For those users manufacturing under
direct identification drawback, the request should be made by a separate
letter. General drawback contracts covering substitution will be
revised to provide for tradeoff.
(T.D. 85-123, 50 FR 29957, July 23, 1985, as amended by T.D. 91-77,
56 FR 46115, Sept. 10, 1991)
19 CFR 191.27 Subpart C -- Use of Substituted Merchandise
19 CFR 191.31 Drawback substitution.
The procedures set forth in subparts A and B of this part are
applicable to drawback under the substitution provision (19 U.S.C.
1313(b)), except as otherwise provided in this subpart.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983; 48 FR 52032, Nov. 16,
1983)
19 CFR 191.32 Records and general provisions.
(a) Records for substitution drawback. The records of the
manufacturer or producer of articles manufactured or produced in
accordance with section 313(b), Tariff Act of 1930, as amended (19
U.S.C. 1313(b)), shall establish:
(1) The identity and specifications of the merchandise designated;
(2) The quantity of merchandise of the same kind and quality as the
designated merchandise used to produce (or appearing in) the exported
articles;
(3) That, within 3 years after receiving the designated merchandise
at its factory, the manufacturer or producer used it in manufacturing or
production and that during the same 3-year period, it manufactured or
produced the exported articles; and
(4) That the completed articles were exported within 5 years after
importation of the designated merchandise.
(b) Valuable waste records. When drawback claims are not limited to
the quantity of merchandise appearing in the articles manufactured or
produced for exportation with drawback, the records of the manufacturer
or producer shall show the quantity and value of both the merchandise
used in the manufacture or production of the articles and valuable waste
incurred in order that the deduction provided for in 191.22(a)(2) may
be made in liquidation.
(c) Use by same manufacturer or producer at different plants.
Duty-paid merchandise or drawback products used at one plant of a
manufacturer or producer within 3 years after the date on which the
material was received may be designated as the basis for drawback on
articles manufactured or produced in accordance with these regulations
at other plants of the same manufacturer or producer.
(d) Designation. A manufacturer or producer may designate any
merchandise which it has used in manufacturing or production.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 85-123,
50 FR 29957, July 23, 1985)
19 CFR 191.33 Multiple products.
When two or more products are produced concurrently in an operation
under section 313(b), Tariff Act of 1930, as amended (19 U.S.C.
1313(b)), drawback shall be distributed to each product in accordance
with its relative value at the time of separation. Where the abstract
covers a manufacturing period rather than a manufacturing lot, the
entire period of the abstract is the time of separation of the products
and the value per unit of product is the weighted average market value
for the abstract period.
19 CFR 191.34 Agency.
(a) General rule. If an owner of imported or domestic merchandise
furnishes this merchandise to an agent in accordance with a contract
between the two parties, and the agent manufactures from it articles for
the owner's account, the owner shall be considered as the user of the
merchandise.
(b) Contracts required -- (1) Owner's contract. An owner of
merchandise who wishes to be considered a manufacturer pursuant to
paragraph (a) of this section shall apply for a drawback contract under
subpart B of this part. The proposal shall describe the agency
arrangement and explain how the owner and agent together will comply
with the drawback law and regulations.
(2) Agent's contract. Each agent operating under this section must
have a drawback contract covering the articles manufactured.
19 CFR 191.34 Subpart D -- General Drawback Contracts
19 CFR 191.41 Applicability.
A general drawback contract is designed to simplify drawback
procedures for certain common manufacturing operations but does not
preclude or limit the use of drawback proposals and specific drawback
contracts.
19 CFR 191.42 Procedures.
(a) Customs Headquarters shall from time to time prepare and publish
in the ''Customs Bulletin'' an offer for a general drawback contract in
situations where numerous manufacturers or producers have similar
operations and wish to claim drawback.
(b) Any manufacturer or producer who can comply with the terms and
conditions of the published offer for a general drawback contract may
adhere to it by notifying a regional commissioner in writing of its
acceptance and providing him with the following information:
(1) Name and address of adherent;
(2) Factories which will operate under the contract;
(3) If a corporation, the names of officers or persons with power of
attorney who will sign drawback documents on behalf of the adherent.
19 CFR 191.43 Acknowledgement.
The regional commissioner shall acknowledge in writing the receipt of
the letter of acceptance of the manufacturer or producer of an offer for
a general drawback contract. The general drawback contract for that
manufacturer or producer shall be effective for a period of 15 years
from the date of the letter of acknowledgement.
19 CFR 191.44 Termination or renewal.
A general drawback contract shall terminate 15 years from the date of
the letter of acknowledgement unless, prior to the expiration of the
15-year period, the manufacturer or producer requests the applicable
regional commissioner to renew the contract for another 15-year period.
A manufacturer or producer may terminate its contract at any time.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983; 48 FR 52032, Nov. 16,
1983)
19 CFR 191.45 Payment.
Drawback will be paid on articles manufactured or produced and
exported in accordance with the law, regulations, and general drawback
contract.
19 CFR 191.45 Subpart E -- Evidence of Exportation
19 CFR 191.51 Alternative procedures.
Exportation of articles for drawback purposes shall be established by
complying with one of the following procedures:
(a) Notice of exportation, 191.52;
(b) Exporter's summary, 191.53;
(c) Certified notice of exportation for mail shipments, 191.54;
(d) Notice of lading for supplies on certain vessels or aircraft,
191.93, or
(e) Notice of transfer for articles manufactured or produced in
United States which are transferred to a foreign trade zone, 191.163.
19 CFR 191.52 Notice of exportation.
(a) Filing. A drawback claimant may support the drawback claim with
a notice of exportation on Customs Form 7511 for each shipment of
merchandise covered by the claim.
(b) Contents. The notice of exportation shall show the:
(1) Name of exporting vessel or other carrier;
(2) Number and kinds of packages and their marks and numbers;
(3) Description of the merchandise, including its weight (gross and
net), gauge, measure, or number;
(4) Name of the exporter; and
(5) Country of ultimate destination.
(c) Documentary evidence of exportation -- (1) Notice of exportation
certified by Customs at the time of exportation. The exporter-claimant
shall file simultaneously with the appropriate Customs officer, Customs
Form 7511 and the shipper's export declaration or the ocean/airway
export bill of lading. The Customs officer shall review both forms and
determine whether the information contained therein is accurate. Upon
receipt of the outbound manifest, the Customs officer shall compare that
document with Customs Form 7511 to verify the facts of exportation.
Upon compliance with this procedure, the Customs officer shall certify
Customs Form 7511, and return the certified copy and one uncertified
copy of this document to the exporter-claimant.
(2) Uncertified notice of exportation. An uncertified notice of
exportation shall be supported by documentary evidence of exportation,
such as the bill of lading, air waybill, freight waybill, Canadian
Customs manifest, cargo manifest, or certified copies thereof, issued by
the exporting carrier. Supporting documentary evidence shall establish
fully the time and fact of exportation and the identity of the exporter.
(d) Numbering. Prior to filing a notice of exportation with the
drawback entry, the claimant shall assign to the notice a number which
shall be stamped or endorsed on the original and each copy of the
notice. The number assigned shall correspond to that of the supporting
document, such as the bill of lading, air waybill, or cargo manifest,
filed with the notice of exportation. If the supporting document covers
more than one notice of exportation, the claimant shall assign to each
notice the same number; but, each notice shall be further identified by
an alphabetic designation beginning with the letter ''A''. It shall
give a different alphabetic designation to each notice having the same
number. If the supporting document has no number, it shall number
consecutively each notice of exportation.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983; 48 FR 52032, Nov. 16,
1983)
19 CFR 191.53 Exporter's summary.
(a) Eligibility. This procedure shall be available to improve
administrative efficiency.
(b) Application. The exporter-claimant shall request permission to
use this procedure with the regional commissioner where the drawback
claim will be filed, unless in cases of merchandise the subject of same
condition drawback, the regional commissioner has delegated authority to
approve requests to a district director. In that circumstance, the
request shall be made with the district director.
(c) Approval. The regional commissioner, or the district director,
if applicable in the case of merchandise the subject of same condition
drawback, shall grant permission to use this procedure if he concludes
that its use would contribute to administrative efficency, and the
exporter claimant is not delinquent or otherwise remiss in his
transactions with Customs.
(d) Bond. The exporter-claimant shall furnish a bond on Customs Form
301, containing the bond conditions set forth in 113.65 of this
chapter, in such amount as the regional commissioner shall determine.
(e) Documentary evidence -- (1) Records. The exporter-claimant shall
maintain complete and accurate records of exportation, including the
identity and location of the ultimate consignee of the exported
articles. The exporter shall retain these records for at least 3 years
after payment of such claims.
(2) Additional evidence. The exporter-claimant shall support the
drawback entry with a chronological summary of the exports and any
additional evidence required by Customs officers to establish fully the
identity of the exported articles and the fact of exportation. In the
case where the exporter-claimant uses this procedure for merchandise the
subject of same condition drawback, he shall show also that the
merchandise was exported in the same condition as when imported.
(3) Format of chronological summary. The chronological summary of
the exports shall be in a format acceptable to the regional commissioner
with whom drawback claims are filed and shall contain substantially the
data provided for in the following sample format:
Drawback entry No. ---------- .
Exporter/claimant ---------- .
Period from ---------- to ---------- .
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 84-213,
49 FR 41186, Oct. 19, 1984)
19 CFR 191.54 Certified notice of exportation by mail.
(a)(1) Procedure. If the merchandise on which drawback is to be
claimed is exported by mail or parcel post, the exporter or his agent
shall complete a notice of exportation on Customs Form 7511 in
triplicate and file it with the postmaster at the place of mailing. The
merchandise shall be delivered to the postmaster at the same time and
mailed under his supervision.
(2) Certification. After the package is mailed, the postmaster shall
certify one copy of the notice of exportation and return this copy and
one uncertified copy to the exporter or his agent for subsequent filing
with the drawback entry. The postmaster shall retain one copy as his
record of the transaction.
(b) Waiver of withdrawal. A waiver of the right to withdraw a
package from the mail shall be stamped or written on each package for
export, signed by the exporter.
19 CFR 191.55 Exportation by the Government.
(a) Claim by U.S. Government. When a department, branch, or agency of
the United States Government exports products with the intention of
claiming drawback, it may establish the exportation in the manner
provided in 191.52 or 191.53. No bond shall be required when the
United States Government claims drawback.
(b) Claim by supplier. When a supplier of merchandise to the
Government or any of the parties specified in 191.73(b) of this part
claims drawback, exportation shall be established under 191.52 and
191.53.
19 CFR 191.56 Amendment of evidence of exportation.
At any time within the 3-year period prescribed for the completion of
the drawback claim, the exporter or its agent may amend a notice of
exportation or exporter's summary, provided the regional commissioner is
satisfied that the amendment is complete and correct. A written request
for amendment with supporting evidence shall be submitted to the
regional commissioner where the drawback entry is filed
19 CFR 191.57 Examination of the merchandise.
The district director may examine any merchandise to be exported with
drawback for any reason deemed appropriate.
19 CFR 191.57 Subpart F -- Completion of Drawback Claims
19 CFR 191.61 Time for filing.
A drawback entry and all documents necessary to complete a drawback
claim, including those issued by one Customs officer to another, shall
be filed or applied for, as applicable, within 3 years after the date of
exportation of the articles on which drawback is claimed, except that
any landing certificate required under 191.67(d) of this part shall be
filed within the time limit prescribed therein. Claims not completed
within the 3-year period shall be considered abandoned. No extension
will be granted unless it is established that a Customs officer was
responsible for the untimely filing.
19 CFR 191.62 Filing procedure.
(a) Manufacturing drawback entry and/or certficate -- (1) Customs
Form 331. The drawback claimant shall file with the appropriate
district director the manufacturing drawback entry and/or certificate in
duplicate on Customs Form 331, if claiming under 19 U.S.C. 1313 (a) or
(b). The district director may require an additional copy for
administrative use.
(2) Customs Form 331 -- Additional uses. The drawback claimant shall
file with the appropriate district director the original drawback entry
on Customs Form 331 in the two instances listed below. The district
director may require an additional copy for administrative use.
(i) Certificates of manufacture filed prior to entry. When the
drawback claimant files a certificate of manufacture prior to the filing
of the entry, he shall file the entry on Customs Form 331 and refer to
the certificate of manufacture in the entry by the official number
instead of describing the particulars of importation and manufacture.
(ii) Purchase of manufactured articles for exportation. A purchaser
of a completely manufactured article who exports it and claims drawback
shall file an entry on Customs Form 331.
(3) Filing in two or more regions. If the drawback entry is filed in
a region other than where the certificate of manufacture is on file, the
regional commissioner with whom the certificate is on file, after
liquidation and at the request of the person filing the certificate or
to whom such merchandise was delivered, shall transmit to the regional
commissioner where the entry is filed an extract on Customs Form 4537.
The extract shall be considered an original certificate for liquidation
purposes.
(4) Two or more shipments. One entry may cover several shipments.
(b) Evidence of exportation -- (1) Notice of exportation. When the
entry covers exports under 191.52(c)(2) of this part, the claimant
shall file with the entry one copy of the notice of exportation and the
original or a certified copy of the supporting document. For an entry
under 191.52(c)(1) and 191.54, the claimant shall file with the entry
one copy of the notice of exportation.
(2) Evidence of right to drawback. The notice of exportation shall
show that the merchandise was shipped by the person filing the drawback
entry, or shall be endorsed by the person in whose name the merchandise
was shipped showing that the person filing the entry is authorized to
claim drawback and receive payment.
(3) Chronological summary of exports. For exports under 191.53 of
this part, the claimant shall file with the entry one copy of the
chronological summary of exports.
(c) Multiple claimants -- (1) Notice of Exportation. Where more than
one party claims drawback (e.g., a chemical manufactured under drawback
regulations is exported in a container also manufactured under drawback
regulations), each drawback claimant shall file a separate notice of
exportation describing the component product to which its claim will
relate. Each notice shall show the name of the claimant and bear a
statement that the claim shall be limited to its respective component
product. The exporter shall endorse the notices, as required, to show
the respective interests of the claimants. The notice of exportation
shall be numbered in accordance with 191.52(d) of this part.
(2) Exporter's summary procedure. Where more than one party claims
the drawback (e.g., a chemical manufactured under drawback regulations
is exported in a container also manufactured under drawback
regulations), and the parties elect to use the exporter's summary
procedure, each drawback claimant shall complete and file a
chronological summary of exports for the respective component product to
which its claim will relate. Each claimant shall identify in the
chronological summary the name of the other claimant or claimants and
the component product for which each will claim drawback independently.
(d) Vessels or aircraft. For drawback under section 313(g), Tariff
Act of 1930, as amended (19 U.S.C. 1313(g)), the claimant shall file
with the drawback entry a copy of the part of the construction contract
showing that the vessel or aircraft was built for foreign account and
ownership. In the case of a vessel, except a warship, the claimant also
shall file a certificate of clearance for a foreign port and a certified
copy of the registry certificate or, in its place, a certificate of the
consul of the foreign nation to which the vessel belongs, showing that
the vessel has been documented under the flag of that country. No
certificates of clearance or foreign documentation shall be required for
a warship.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-118,
51 FR 22516, June 20, 1986)
19 CFR 191.63 Summary of papers filed.
The claimant may file with the drawback entry a summary, in
duplicate, of the papers filed showing the date of application for
official documents. When verified, one copy of the summary shall be
receipted and returned to the claimant, and the other copy attached to
the drawback entry.
19 CFR 191.64 Supplementary filing.
With the permission of the regional commissioner, a claimant may
amend or correct a drawback entry or file a timely supplemental entry.
Corrections or amendments permitted shall be certified by the
appropriate parties.
19 CFR 191.65 Certification of delivery.
(a) When required. If the merchandise used in the manufacture of the
exported articles was not imported by the manufacturer of the articles,
no drawback shall be allowed until the drawback claimant files with the
regional commissioner where the claim is to be liquidated a
manufacturing drawback entry and/or certificate in duplicate on Customs
Form 331, or official evidence of the existence of the form filed at
another place. The form must describe the merchandise delivered,
tracing it from the custody of the importer to the custody of the
manufacturer.
(b) Intermediate transfer. If the merchandise was not delivered
directly from the importer to the manufacturer, each intermediate
transfer shall be described on the manufacturing drawback entry and/or
certificate (Customs Form 331), certified by the person through whose
possession the merchandise passed.
(c) Consignee as importer. When the consignee named in an entry
summary declares another person to be the actual owner, the consignee
shall be considered the importer for drawback purposes, even though the
consignee files an owner's declaration under section 485(d), Tariff Act
of 1930, as amended (19 U.S.C. 1485(d)). The drawback claimant shall
file a manufacturing drawback entry and/or certificate (Customs Form
331), showing the initial transfer from the consignee to the person to
whom delivery was made.
(d) Warehouse transfer and withdrawals. The person in whose name
merchandise is withdrawn from a bonded warehouse shall be considered the
importer for drawback purposes. No manufacturing drawback entry and/or
certificate (Customs Form 331) is required covering prior transfers of
merchandise while in a bonded warehouse.
(T.D. 86-118, 51 FR 22516, June 20, 1986)
19 CFR 191.66 Certificates of manufacture and delivery.
(a) When required. If the imported merchandise has undergone some
process of manufacture before delivery, and the wholly or partially
manufactured article thereafter is used in the manufacture of some other
article for exportation, or when completely manufactured articles are
purchased for exportation without further manipulation, the drawback
claimant, whether the manufacturer or the exporter, shall file a
manufacturing drawback entry and/or certificate on Customs Form 331.
(b) Subcontractors. If a subcontractor performs work, which for
drawback purposes does not constitute a manufacture or production, with
the use of merchandise the principal plans to make the subject of a
drawback claim, and if there is a problem in identifying the merchandise
the subcontractor returns to the principal from the merchandise received
from the principal, the subcontractor shall complete a manufacturing
drawback entry and/or certificate (Customs Form 331). If there is no
problem of identification, the subcontractor shall complete only the
delivery section of the form. If complementary records are maintained
by a subcontractor's principal (see 191.22(d)), and Customs determines
no problems of identification exist, it may waive the filing of Customs
Form 331 for transfers between principal and subcontractor, whether the
subcontractor's operation involves manufacture or not.
(c) Identifying manufacturing drawback entry and/or certificates.
Drawback claimants may identify the relevant manufacturing drawback
entry and/or certificates on drawback entries covering the exported
articles rather than describe the importation and manufacture.
(d) Certification of immediate transfer. Any intermediate transfer
of manufactured articles shall be certified on the manufacturing
drawback entry and/or certificate (Customs Form 331).
(e) Entry filed at place other than where certificate filed. If the
drawback entry is filed at a place other than where the manufacturing
drawback entry and/or certificate (Customs Form 331) is on file, the
regional commissioner may transmit to the place where the drawback entry
is filed an extract on Customs Form 4537.
(f) Special requirements for agency transactions -- (1) Requirement
of agent. Each agent manufacturer who conducts operations under 191.34
shall furnish the principal for whom it processed merchandise a
manufacturing drawback entry and/or certificate (Customs Form 331)
completing only the portion applicable to the operation so conducted,
relating to the substituted or designated merchandise, and identifying
the owner of the articles for whom processing was conducted.
(2) Requirements of principal. The principal for whom processing was
conducted under 191.34 shall complete and file a manufacturing drawback
entry and/or certificate (Customs Form 331) and attach it to the forms
from its agents or agent.
(T.D. 86-118, 51 FR 22517, June 20, 1986)
19 CFR 191.67 Landing certificates.
(a) When required. A landing certificate shall be required:
(1) Whenever the district director at the port of exportation or the
port where the drawback entry is filed, or the regional commissioner for
the region where the drawback claim is liquidated, has reason to believe
that the shipment is not a bona fide exportation;
(2) When Customs Headquarters specifically directs that the landing
certificate be produced;
(3) When law or regulations otherwise requires a landing certificate;
or
(4) For every aircraft which departs from the United States under its
own power if drawback is claimed on the aircraft or any part thereof. A
landing certificate for aircraft shall show the exact time of landing in
the foreign country and describe the aircraft or parts thereof on which
drawback is claimed in sufficient detail to enable Customs officers to
identify them with the documentation used to establish exportation, such
as the notice of exportation, bill of lading, air waybill, or other
approved documentation.
(b) Time of filing. Any required landing certificate shall be
furnished prior to the liquidation of the entry.
(c) Signature. Any required landing certificate shall be signed by a
revenue officer of the foreign country to which the merchandise is
exported, unless it is shown that the country has no Customs
administration, in which case the landing certificate may be signed by
the consignee or the carrier's agent at the place of unlading.
(d) Notice of requirement. Customs shall provide notice in writing
to an exporter or its agent required to supply a landing certificate
pursuant to paragraph (a)(1) or (a)(2) of this section. The exporter or
its agent shall file the landing certificate within 1 year from the date
of the notice unless Customs Headquarters grants an extension.
(e) Inability to produce landing certificates. (1) When a landing
certificate is required and cannot be produced, an application for its
waiver may be made to the regional commissioner through the district
director within the time required for filing the certificate,
accompanied by such evidence of clearance and landing abroad as may be
available. The application shall be granted if the regional
commissioner is satisfied by the evidence submitted that the merchandise
has been exported. If the regional commissioner is not so satisfied, he
shall transmit the application and its accompanying evidence to
Headquarters, U.S. Customs Service, for final determination.
(2) Required by the district director. When a landing certificate is
required by a district director under paragraph (a)(1) of this section,
he may accept other satisfactory evidence of foreign landing in place of
the certificate.
19 CFR 191.67 Subpart G -- Payment and Liquidation of Drawback Claims
19 CFR 191.71 Liquidation.
(a) Time of liquidation. Drawback claims may be liquidated after:
(1) Final liquidation of the import entry; or
(2) Deposit of estimated duties on the imported merchandise and
before liquidation of the import entry.
(b) Claims based on estimated duties -- (1) Eligibility. Drawback
may be paid on estimated duties if the import entry has not been
liquidated and the drawback claimant and any other party responsible for
the payment of liquidated import duties each files a written request for
payment of each drawback entry, waiving any right to payment or refund
under other provisions of law.
(2) Adjustment -- (i) Drawback entry. A drawback claim, once
liquidated on the basis of estimated duties, thereafter shall not be
adjusted by reason of a subsequent liquidation of an import entry.
(ii) Import entry. However, if final liquidation of the import entry
discloses that the total amount of import duty is different from the
total estimated duties deposited, the party responsible for the payment
of liquidated duties, as applicable, shall be liable for 1 percent of
all increased duties found to be due on that portion of merchandise
recorded on the drawback entry or shall be entitled to a refund of 1
percent of all excess duties found to be paid on that portion of the
merchandise recorded on the drawback entry.
(c) Claims based on liquidated duties. Drawback shall be based on
the final liquidated duties paid that have been made final by the
importer's written acceptance of the liquidation or by operation of law.
(d) Liquidation procedure. When the drawback claim has been
completed by the filing of the entry and other necessary documents, and
exportation of the articles has been established, the regional
commissioner shall determine drawback due on the basis of the complete
drawback claim and the drawback contract.
(e) Distribution and value for multiple products -- (1) Distribution.
Where two or more products result from the manufacture or production of
merchandise, drawback shall be distributed to the several products in
accordance with their relative values at the time of separation.
(2) Value. The values to be used in computing the distribution of
drawback where two or more products result from the manufacture and
production of merchandise under drawback conditions shall be the market
values unless another value is approved by Customs.
(f) Payment. The regional commissioner shall certify the amount of
drawback due to the person making entry or other person authorized to
receive payment under 191.73 of this subpart.
19 CFR 191.72 Accelerated payment.
(a) Eligibility. A drawback claimant not delinquent or otherwise
remiss in transactions with Customs is eligible for accelerated payment
of drawback on claims which are properly prepared and fully completed in
accordance with either Subpart F or N of this part.
(b) Submission with request. A claimant who requests accelerated
payment of a claim shall file with the claim a computation of the amount
due, and, for approval by the regional commissioner, a bond on Customs
Form 301, containing the bond conditions set forth in 113.65 of this
chapter. When a rider is to be designated on Customs Form 7595, the
amount of the bond shall be increased by the estimated amount of
accelerated drawback to be claimed during the term of the bond. If
outstanding unliquidated accelerated drawback claims exceed the
estimated amount of accelerated drawback, the regional commissioner
shall require additional bond coverage.
(c) Approval. A regional commissioner who approves the claim for
accelerated payment shall certify it for payment within 3 weeks after
filing. After liquidation, the regional commissioner shall certify
payment of any amount due or demand a refund of any excess amount paid.
(d) Repeated erroneous computation of drawback claims. Accelerated
payment will be denied to claimants who repeatedly file claims in excess
of the amount due.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 84-213,
49 FR 41186, Oct. 19, 1984)
19 CFR 191.73 Person entitled to receive drawback.
(a) Exporter; reservation by manufacturer or producer. The person
named as exporter on the notice of exportation or in bill of lading, air
waybill, freight waybill, Canadian Customs manifest, cargo manifest, or
certified copies of these documents, shall be deemed to be the exporter
and entitled to drawback, unless the manufacturer or producer shall
reserve the right to claim drawback. The manufacturer or producer who
reserves this right may claim drawback, and he shall receive payment
upon production of satisfactory evidence that the reservation was made
with the knowledge and consent of the exporter.
(b) Agent or person designated to receive drawback. Drawback may be
paid to the agent of the manufacturer, producer, or exporter, or to the
person the manufacturer, producer, exporter, or agent directs in writing
to receive drawback payment.
19 CFR 191.73 Subpart H -- Internal-Revenue Tax on Flavoring Extracts and Medicinal or Toilet Preparations (Including Perfumery) Manufactured From Domestic Tax-Paid Alcohol
19 CFR 191.81 Drawback allowance.
(a) Drawback. Section 313(d), Tariff Act of 1930, as amended (19
U.S.C. 1313(d)), provides for drawback of internal-revenue tax upon the
exportation of flavoring extracts and medicinal or toilet preparations
(including perfumery) manufactured or produced in the United States in
part from the domestic tax-paid alcohol (see 191.4(a)(4)).
(b) Shipment to Puerto Rico, the Virgin Islands, Guam, and American
Samoa. Drawback of internal-revenue tax on articles manufactured or
produced under this subpart and shipped to Puerto Rico, the Virgin
Islands, Guam, or American Samoa shall be allowed in accordance with
section 7653(c) of the Internal Revenue Code (26 U.S.C. 7653(c)).
However, there is no authority of law for the allowance of drawback of
internal-revenue tax on flavoring extracts or medicinal or toilet
preparations (including perfumery) manufactured or produced in the
United States and shipped to Wake Island, Midway Islands, Kingman Reef,
Canton Island, Enderbury Island, Johnston Island, or Palmyra Island.
19 CFR 191.82 Procedure.
(a) General. Other provisions of this part relating to direct
identification drawback shall apply to claims for drawback filed under
this subpart insofar as applicable to and not inconsistent with the
provisions of this subpart.
(b) Manufacturing record. The manufacturer of flavoring extracts or
medicinal or toilet preparations on which drawback is claimed shall
record the products manufactured, the quantity of waste, if any, and a
full description of the alcohol. These records shall be available at
all times for inspection by Customs officers.
(c) Additional information required on the manufacturer's proposal.
The manufacturer's proposal shall state the quantity of domestic
tax-paid alcohol contained in each product on which drawback is claimed.
(d) Variance in alcohol content -- (1) Variance of more than 5
percent. If the percentage of alcohol contained in a medicinal
preparation, flavoring extract or toilet preparation varies by more than
5 percent from the percentage of alcohol in the total volume of the
exported product as stated in a previously approved proposal, the
manufacturer shall apply for a new drawback contract pursuant to section
191.25 of this part. If the variation differs from a previously filed
schedule, the manufacturer shall file a new schedule incorporating the
change.
(2) Variance of 5 percent or less. Variances of 5 percent or less of
the volume of the product shall be reported to the regional commissioner
where the drawback entries are liquidated. The regional commissioner
may allow drawback without specific authorization from Customs
Headquarters.
(e) Customs form. The Manufacturing Drawback Entry and/or
Certificate (Customs Form 331) shall be used in place of the
corresponding forms used in the case of articles manufactured with the
use of imported merchandise.
(f) Time period for completing claims. The 3-year period for the
completion of drawback claims prescribed in 191.61 of this part shall
be applicable to claims for drawback under this subpart.
(g) Filing of drawback entries on duty-paid imported merchandise and
tax-paid alcohol. When the drawback entry covers duty-paid imported
merchandise in addition to tax-paid alcohol, the claimant shall file one
set of entries for drawback of Customs duty and another set for drawback
of internal-revenue tax.
(h) Description of the alcohol. The description of the alcohol
stated in the entry may be obtained from the description on the package
containing the tax-paid alcohol.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-118,
51 FR 22517, June 20, 1986)
19 CFR 191.83 Additional requirements.
(a) Manufacturer claims domestic drawback. In the case of medicinal
preparations and flavoring extracts, the claimant shall file with the
drawback entry, or endorse on the entry or certificate of manufacture, a
declaration of the manufacturer showing whether a claim has been or will
be filed by the manufacturer with the regional regulatory administrator
of the Bureau of Alcohol, Tobacco and Firearms for domestic drawback on
alcohol under sections 5131, 5132, 5133, and 5134, Internal Revenue
Code, as amended (26 U.S.C. 5131, 5132, 5133, and 5134).
(b) Manufacturer does not claim domestic drawback -- (1) Submission
of statement. If no claim has been or will be filed with the Bureau of
Alcohol, Tobacco, and Firearms for domestic drawback on medicinal
preparations or flavoring extracts, the manufacturer shall submit a
statement, in duplicate, setting forth that fact to the appropriate
regional regulatory administrator of the Bureau of Alcohol, Tobacco and
Firearms for the region in which the manufacturer's factory is located.
(2) Contents of the statement. The statement shall show the:
(i) Quantity and description of the exported products;
(ii) Identity of the alcohol used by serial number of package or tank
car;
(iii) Name and registry number of the warehouse from which the
alcohol was withdrawn;
(iv) Date of withdrawal;
(v) Serial number of the tax-paid stamp or certificate, if any; and
(vi) Customs region where the drawback claim will be filed.
(3) Verification of the statement. The regional regulatory
administrator, Bureau of Alcohol, Tobacco and Firearms, shall verify
receipt of this statement, forward the original of the document to the
Customs region designated, and retain the copy.
19 CFR 191.84 Alcohol, Tobacco and Firearms certificates.
(a) Request. The drawback claimant or manufacturer shall file a
written request with the regional regulatory administrator, Bureau of
Alcohol, Tobacco and Firearms, in whose region the alcohol used in the
manufacture was withdrawn requesting him to provide the regional
commissioner of Customs, with whom the drawback claim will be processed,
a tax-paid certificate on Alcohol, Tobacco and Firearms Form 5100.4
(Certificate of Tax-Paid Alcohol).
(b) Contents. The request shall state the:
(1) Quantity of alcohol in taxable gallons;
(2) Serial number of each package;
(3) Serial number of the stamp, if any;
(4) Amount of tax paid on the alcohol;
(5) Name, registry number, and location of the warehouse;
(6) Date of withdrawal;
(7) Name of the manufacturer using the alcohol in producing the
exported articles;
(8) Address of the manufacturer and his manufacturing plant; and
(9) Customs region where the drawback claim will be processed.
(c) Request accompanied by Customs Form 331. If the request is
accompanied by Customs Form 331 showing any of the information required
by paragraph (b) of this section, that information need not be repeated
in the request.
(d) Extracts of Alcohol, Tobacco and Firearms certificates. If a
certification of any portion of the alcohol described in the Bureau of
Alcohol, Tobacco and Firearms Form 5100.4 is required for liquidation of
drawback entries processed in another region, the regional commissioner
of Customs, on written application of the person who requested its
issuance, shall transmit a copy of the extract from the certificate for
use at that regional office. The regional commissioner shall note that
the copy of the extract was prepared and transmitted.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-118,
51 FR 22517, June 20, 1986)
19 CFR 191.85 Liquidation.
The regional commissioner shall determine the amount of drawback due
by reference to the certificate of manufacture and the drawback contract
under which the drawback claimed is allowable.
19 CFR 191.86 Amount of drawback.
(a) Claim filed with Bureau of Alcohol, Tobacco and Firearms. If the
declaration required by 191.83 of this part shows that a claim has been
or will be filed with the Bureau of Alcohol, Tobacco and Firearms for
domestic drawback, drawback under section 313(d), Tariff Act of 1930, as
amended (19 U.S.C. 1313(d)), shall be limited to the difference between
the amount of tax paid and the amount of domestic drawback claimed.
(b) Claim not filed with Bureau of Alcohol, Tobacco and Firearms. If
the declaration and verified statement required by 191.83 show that no
claim has been or will be filed by the manufacturer with the Bureau of
Alcohol, Tobacco and Firearms for domestic drawback, the drawback shall
be the full amount of the tax on the alcohol used.
(c) No deduction of 1 percent. No deduction of 1 percent shall be
made in drawback claims under section 313(d), Tariff Act of 1930, as
amended (19 U.S.C. 1313(d)).
(d) Payment. The drawback due shall be paid in accordance with
191.71(f) of this part.
19 CFR 191.86 Subpart I -- Supplies for Certain Vessels and Aircraft
19 CFR 191.91 Drawback allowance.
Section 309. Tariff Act of 1930, as amended (19 U.S.C. 1309),
provides for drawback on articles laden as supplies on certain vessels
or aircraft of the United States or as supplies including equipment
upon, or used in the maintenance or repair of, certain foreign vessels
or aircraft (see 191.4(a)(10)).
19 CFR 191.92 Procedure.
(a) General. Other provisions of this part apply to claims filed
under this subpart insofar as applicable and not inconsistent with the
provisions of this subpart.
(b) Customs forms. Drawback notices of lading on Customs Form 7514
shall be filed in place of notices of exportation on Customs Form 7511
or other evidence of exportation (see 191.93).
19 CFR 191.93 Drawback notice of lading.
(a) Number of copies and place of filing. The notice of lading on
Customs Form 7514 shall be filed in quadruplicate with the district
director at the port of lading.
(b) Time of filing. The drawback notice of lading may be filed
either before or after lading of the articles. If filed after lading,
the notice shall be filed within 3 years after exportation of the
articles.
(c) Contents of notice. The notice of lading shall show:
(1) Name of the vessel or identity of the aircraft on which articles
were or are to be laden;
(2) Number and kind of packages and their marks and numbers;
(3) Description of the articles and their weight (net), gauge,
measure, or number,
(4) Name of the exporter; and
(5) Customs region where the drawback entry is to be filed.
(d) Assignment of numbers and return of one copy. The district
director shall assign a number to each notice of lading and return one
copy to the exporter for delivery to the master or authorized officer of
the vessel or aircraft.
(e) Declaration -- (1) Requirement. The master or an authorized
officer of the vessel or aircraft, or a representative of the owner or
operator of the vessel or aircraft having knowledge of the facts and
holding a Customs power of attorney shall complete the section of the
drawback notice entitled ''Declaration of Master or Other Officer,''
which was delivered by the exporter.
(2) Procedure if notice filed before lading. If the notice is filed
before lading of the articles, the declaration must be completed on the
copy of the numbered drawback notice that was filed with the district
director and returned to the exporter for this purpose.
(3) Procedure if notice filed after lading. If the drawback notice
is filed after lading of the articles, the drawback claimant may file a
separate document containing the declaration required on the Drawback
Notice, Customs Form 7514.
(4) Filing. The drawback claimant shall file with the district
director both the drawback entry and the drawback notice or separate
document containing the declaration of the master or other officer or
representative.
(f) Information concerning class or trade. Information about the
class of business or trade of a vessel or aircraft is required to be
furnished in support of the drawback entry if the vessel or aircraft is
American.
(g) Vessel or aircraft required to clear or obtain a permit to
proceed. After the vessel or aircraft has cleared or obtained a permit
to proceed, the district director at the port of lading shall complete
the section entitled ''Customs Certification'' on one of the copies of
the notice of lading. He shall return the completed copy and one other
copy to the exporter or the person designated by the exporter for
subsequent filing with the drawback entry.
(h) Vessel or aircraft not required to clear or obtain a permit to
proceed. If the vessel or aircraft is not required to clear or obtain a
permit to proceed to another port, the district director shall return to
the exporter or the person designated by the exporter two copies of the
notice with a statement of the facts in this case for subsequent filing
with the drawback entry. The drawback claimant shall file with its
claim an itinerary of the vessel or aircraft for the immediate voyage or
flight showing that the vessel or aircraft is engaged in a class of
business or trade which makes it eligible for drawback.
(i) Articles laden or installed on aircraft as equipment or used in
the maintenance or repair of aircraft. The regional commissioner where
the drawback claim is filed shall require a declaration or other
evidence showing to his satisfaction that articles have been laden or
installed on aircraft as equipment or used in the maintenance or repair
of aircraft.
(j) Fuel laden on vessels or aircraft as supplies -- (1) Composite
notice of lading. In the case of fuel laden on vessels or aircraft as
supplies, the drawback claimant may file with the regional commissioner
a composite notice of lading on the reverse of Customs Form 7514, for
each calendar month describing all of the drawback claimant's deliveries
of fuel supplies during the one calendar month at a single port or
airport to all vessels or airplanes of one vessel owner or operator or
airline.
(2) Contents of composite notice. The composite notice shall show
for each voyage or flight, either on the reverse of Customs Form 7514 or
on a continuation sheet:
(i) Identity of the vessel or aircraft;
(ii) Description of the fuel supplies laden;
(iii) Quantity laden; and
(iv) Date of lading.
(3) Declaration of owner or operator. A vessel or airline
representative having knowledge of the facts and holding a Customs power
of attorney shall complete the section ''Declaration of Master or Other
Officer'' on Customs Form 7514.
(4) District Director's certification. The district director shall
note the clearance of the vessel or aircraft at the end of each line
relating to a voyage or flight.
(k) Desire to land articles covered by notice of lading. The master
of the vessel or commander of the aircraft desiring to land in the
United States articles covered by a notice of lading shall apply for a
permit to land those articles under Customs supervision. All articles
landed, except those transferred under the original notice of lading to
another vessel or aircraft entitled to drawback, shall be considered
imported merchandise for the purpose of section 309(c), Tariff Act of
1930, as amended (19 U.S.C. 1309(c)).
19 CFR 191.94 Drawback entry.
The drawback entry shall be filed on Customs Form 7573 or 7575, as
applicable, modified to read ''lade'' (or ''use''), ''laden'' (or
''used''), or ''lading'' (or ''using'') instead of ''export,''
''exported,'' or ''exporting.'' The ''Declaration of Exportation'' shall
be amended to read as follows:
I, ------------------------------ (member of firm, officer
representing corporation, agent, or attorney) of -------------------- ,
declare that according to my knowledge and belief, the particulars of
lading (or use) stated in this entry, the notices of lading, and
receipts are correct, and that the merchandise is not to be relanded in
the United States or any of its possessions, but is to be (has been)
used on the vessels or aircraft so named for (state specifically, such
as supplies, equipment, maintenance, or repair) ---------- , as
specified in section 309, Tariff Act of 1930, as amended.
Date -------------- 19 ---- .
(Shipper or agent)
19 CFR 191.94 Subpart J -- Meats Cured with Imported Salt
19 CFR 191.101 Drawback allowance.
Section 313(f), Tariff Act of 1930, as amended (19 U.S.C. 1313(f)),
provides for the allowance of drawback upon the exportation of meats
cured with imported salt (see 191.4(a)(6)).
19 CFR 191.102 Procedure.
(a) General. Other provisions of this part relating to direct
identification drawback shall apply to claims for drawback under this
subpart insofar as applicable to and not inconsistent with the
provisions of this subpart.
(b) Customs form. The forms used for other drawback claims shall be
used and modified to show that the claim is being made for refund of
duties paid on salt used in curing meats.
19 CFR 191.103 Refund of duties.
Drawback shall be refunded in aggregate amounts of not less than $100
and shall not be subject to the retention of 1 percent of duties paid.
19 CFR 191.103 Subpart K -- Materials for Construction and Equipment of Vessels and Aircraft Built for Foreign Account and Ownership
19 CFR 191.111 Drawback allowance.
Section 313(g), Tariff Act of 1930, as amended (19 U.S.C. 1313(g)),
provides for drawback on imported materials used in the construction and
equipment of vessels and aircraft built for foreign account and
ownership, or for the government of any foreign country, notwithstanding
that these vessels or aircraft may not be exported within the strict
meaning of the term (see 191.4(a)(7)).
19 CFR 191.112 Procedure.
Other provisions of this part relating to direct identification
drawback shall apply to claims for drawback filed under this subpart
insofar as applicable to and not inconsistent with the provisions of
this subpart.
19 CFR 191.113 Explanation of terms.
(a) Materials. Section 313(g), Tariff Act of 1930, as amended (19
U.S.C. 1313(g)), applies only to materials used in the original
construction and equipment of vessels and aircraft and not to materials
used for alteration or repair, or to materials not required for safe
operation of the vessel or aircraft.
(b) Foreign account and ownership. Foreign account and ownership, as
used in section 313(g), Tariff Act of 1930, as amended, means only
vessels or aircraft built and equipped for the account of an owner or
owners residing in a foreign country and having a bona fide intention
that the vessel or aircraft, when completed, shall be owned and operated
under the flag of a foreign country.
19 CFR 191.113 Subpart L -- Foreign-Built Jet Aircraft Engines Processed in the United States
19 CFR 191.121 Drawback allowance.
Section 313(h), Tariff Act of 1930, as amended (19 U.S.C. 1313(h)),
provides for drawback on the exportation of jet aircraft engines
manufactured or produced abroad that have been overhauled, repaired,
rebuilt, or reconditioned in the United States with the use of imported
merchandise, including parts (see 191.4(a)(8)).
19 CFR 191.122 Procedure.
Other provisions of this part shall apply to claims for drawback
filed under this subpart insofar as applicable to and not inconsistent
with the provisions of this subpart.
19 CFR 191.123 Drawback entry.
(a) Filing of entry. Drawback entries covering these foreign-built
jet aircraft engines shall be filed on Customs Form 7575-A,
appropriately modified, to show that the entry covers jet aircraft
engines processed under section 313(h), Tariff Act of 1930, as amended.
(b) Contents of entry. The entry shall show the country in which
each engine was manufactured and describe the processing performed
thereon in the United States.
19 CFR 191.124 Refund of duties.
Drawback shall be refunded in aggregate amounts of not less than
$100, and shall not be subject to the deduction of 1 percent of duties
paid.
19 CFR 191.124 Subpart M -- Merchandise Exported From Continuous Customs Custody
19 CFR 191.131 Drawback allowance.
(a) General. Section 557(a), Tariff Act of 1930, as amended (19
U.S.C. 1557(a)), provides for drawback on the exportation, or the
shipment to the Virgin Islands, American Samoa, Wake Island, Midway
Islands, Kingman Reef, Johnston Island, or Guam, of merchandise upon
which duties have been paid which has remained continuously in bonded
warehouse or otherwise in Customs custody since importation (see
191.4(a)(11)).
(b) Guantanamo Bay. Guantanomo Bay Naval Station shall be considered
foreign territory for drawback purposes under this subpart. However,
imported merchandise which has remained continuously in bonded warehouse
or otherwise in Customs custody since importation is not entitled to
drawback of duty when shipped to Puerto Rico, Canton Island, Enderbury
Island, or Palmyra Island.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983; 48 FR 52032, Nov. 16,
1983)
19 CFR 191.132 Merchandise released from Customs custody.
No remission, refund, abatement, or drawback of duty shall be allowed
because of the exportation of any merchandise after its release from
Government custody, except in the following cases:
(a) When articles are exported on which drawback is expressly
provided for by law:
(b) When prohibited articles have been regularly entered in good
faith and are subsequently exported or destroyed pursuant to statute and
regulations prescribed by the Secretary of the Treasury: or
(c) When articles entered under bond are destroyed within the bonded
period, as provided in section 557(c), Tariff Act of 1930, as amended
(19 U.S.C. 1557(c)), or destroyed within the bonded period by death,
accidental fire, or other casualty, and proof of destruction is
furnished to the satisfaction of the Secretary of the Treasury, in which
case any accrued duties shall be remitted or refunded and any condition
in the bond that the articles shall be exported shall be deemed to have
been satisfied (see 19 U.S.C. 1558).
19 CFR 191.133 Continuous Customs custody.
(a) Merchandise released under an importer's bond and returned.
Merchandise released to an importer under a bond prescribed by 142.4 of
this chapter and later returned to the public stores upon requisition of
the district director shall not be deemed to be in the continuous
custody of Customs officers.
(b) Merchandise released under Chapter 98, Subchapter XIII,
Harmonized Tariff Schedule of the United States (HTSUS). Merchandise
released as provided for in Chapter 98, Subchapter XIII, HTSUS (19
U.S.C. 1202), shall not be deemed to be in the continuous custody of
Customs officers. (T.D. 84-213).
(c) Merchandise released from warehouse. For purpose of this part,
in the case of merchandise entered for warehouse, Customs custody shall
be deemed to cease when duty has been paid and the district director has
authorized the withdrawal of the merchandise.
(d) Merchandise not warehoused, examined elsewhere than in public
stores -- (1) General rule. Except as stated in paragraph (d)(2) of
this section, merchandise examined elsewhere than at the public stores,
in accordance with the provisions of 151.7 of this chapter, shall be
considered released from Customs custody upon completion of final
examination for appraisement.
(2) Merchandise upon the wharf. Merchandise which remains on the
wharf by permission of the district director shall be considered to be
in Customs custody, but this custody shall be deemed to cease when the
Customs officer in charge accepts the permit and has no other duties to
perform relating to the merchandise, such as measuring, weighing or
gauging.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 84-213,
49 FR 41186, Oct. 19, 1984; T.D. 89-1, 53 FR 51271, Dec. 21, 1988)
19 CFR 191.134 Filing the entry.
(a) Direct export. At least 6 hours before lading the merchandise on
which drawback is claimed, the importer or the agent designated by him
in writing shall file with the district director a direct export entry
on Customs Form 7512 in duplicate.
(b) Merchandise transported to another port for exportation. The
importer of merchandise to be transported to another port for
exportation shall file in triplicate with the district director an entry
naming the transporting conveyance, route, and port of exit. The
district director shall certify one copy and forward it to the district
director at the port of exit. A bonded carrier shall transport the
merchandise in accordance with the applicable regulations. Manifests
shall be prepared and filed in the manner prescribed in 144.37 of this
chapter.
19 CFR 191.135 Merchandise withdrawn from warehouse for exportation.
The regulations in part 18 of this chapter concerning the supervision
of lading and certification of exportation of merchandise withdrawn from
warehouse for exportation without payment of duty shall be followed to
the extent applicable.
19 CFR 191.136 Bill of lading.
(a) Filing. In order to complete the claim, a bill of lading
covering the merchandise described in the export entry shall be filed
within 2 years after the merchandise is exported.
(b) Contents. The bill of lading shall show either that the
merchandise was shipped by the person making the claim or bear an
endorsement of the person in whose name the merchandise was shipped
showing that the person making claim is authorized to receive the
drawback.
(c) Limitation of the bill of lading. The terms of the bill of
lading may limit and define its use by stating that it is for Customs
purposes only and not negotiable.
(d) Inability to produce bill of lading. When a required bill of
lading cannot be produced, the person making the drawback entry may
request the regional commissioner, through the district director, within
the time required for the filing of the bill of lading, to accept a
statement setting forth the cause of failure to produce the bill of
lading and such evidence of exportation and of its right to make the
drawback entry as may be available. The request shall be granted if the
regional commissioner is satisfied by the evidence submitted that the
failure to produce the bill of lading is justified, that the merchandise
has been exported, and that the person making the drawback entry has the
right to do so. If the regional commissioner is not so satisfied, he
shall transmit the request and its accompanying evidence to
Headquarters, U.S. Customs Service, for final determination.
(e) Extracts of bills of lading. Regional commissioners may issue
extracts from bills of lading filed with drawback entries.
19 CFR 191.137 Landing certificates.
When required, a landing certificate shall be filed within the time
prescribed in 191.67 of this part.
19 CFR 191.138 Procedures.
When the drawback entry has been completed and the bill of lading
filed, together with the landing certificate, if required, the reports
of inspection and lading made, and the clearance of the exporting
conveyance established by the record of clearance in the case of direct
exportation or by certificate in the case of transportation and
exportation, the regional commissioner shall verify the importation by
referring to the import records to ascertain the amount of duty paid on
the merchandise exported. To the extent appropriate and not
inconsistent with the provisions of this subpart, drawback claims shall
be liquidated in accordance with the provisions of 191.61 and 191.71
of this part.
19 CFR 191.139 Amount of drawback.
Drawback due under this subpart shall not be subject to the retention
of 1 percent.
19 CFR 191.139 Subpart N -- Same Condition and Rejected Merchandise Drawback
19 CFR 191.141 Same condition drawback.
(a) General provisions -- (1) Allowance. Section 313(j), Tariff Act
of 1930, as amended (19 U.S.C. 1313(j)), provides for drawback on
imported merchandise exported in the same condition as when imported, or
destroyed under Customs supervision and not used within the United
States before such exportation or destruction (see 191.4(a)(9)).
(2) Time of exportation or destruction. Drawback shall be allowed on
imported merchandise if exported or destroyed under paragraph (a)(1) of
this section before the close of the 3-year period beginning on the date
of importation.
(3) Use. The performing of incidental operations (including, but not
limited to, testing, cleaning, repacking, and inspecting) on the
imported merchandise itself, not amounting to manufacture or production
for drawback purposes shall not be treated as a use of that merchandise
for purposes of applying paragraph (a)(1) of this section.
(b) Filing and documentation prior to exportation -- (1) Filing. An
exporter-claimant who desires to export merchandise with drawback under
19 U.S.C. 1313(j) shall file with the regional commissioner, or the
district (area) director, or port director, if authority has been
delegated to that official by the regional commissioner, a completed
Customs Form 7539. The exporter-claimant also shall furnish a copy of
the import entry or identify the import entry, date of entry, and port
of entry under which the merchandise was imported into the United
States. It shall certify that the merchandise is in the same condition
as when imported and not used within the United States before such
exportation. Transfers shall be documented by certificates of delivery
(see 191.65).
(2)(i) Time of filing. The completed Customs Form 7539 shall be
filed with the regional commissioner or district (area) director, or
port director, if authority has been delegated to that official by the
regional commissioner, at least 5 working days prior to the date of
intended exportation of the merchandise, unless the Customs officer
approves a shorter filing period.
(ii) Waiver of prior notice of intent to export. A request for a
waiver of prior notice by an exporter-claimant shall be in writing to
the regional commissioner, or the district (area) director or port
director, if authority has been delegated to that official by the
regional commissioner. The appropriate Customs officer may waive prior
notice at any time for any exporter-claimant. An exporter-claimant
shall be granted this waiver after filing with the appropriate Customs
official six consecutive claims free of substantial error, provided that
such exporter-claimant has operated under the same condition program for
a minimum of six months. An exporter-claimant who repeatedly files
inaccurate claims may have the privilege (of filing without prior
notice) revoked. Customs will so notify the exporter-claimant in
writing of the revocation as soon as possible.
(3) Examination -- (i) Decision to examine. Within 3 working days
after Customs Form 7539 is filed, the exporter-claimant shall be
notified whether Customs will examine the merchandise. If the
exporter-claimant is not notified within the 3-day period, the
exporter-claimant shall export the merchandise without delay.
(ii) Time and place of examination. If the appropriate Customs
officer determines to examine the merchandise, he shall notify the
exporter-claimant of the time and place of the examination. The
examination shall be completed within 5 working days after the filing of
Customs Form 7539, unless failure to examine during this period is
caused by the exporter-claimant. If the examination is completed at a
port other than the port of intended exportation, the exporter-claimant
shall transport the merchandise in-bond to the port of exportation.
(iii) Extent of examination. The appropriate Customs officer may
permit release of merchandise without examination, or may examine
routinely (to the extent he determined necessary) items exported,
provided such examinations do not exceed 10 percent of the total items
exported (i.e., merchandise in one of ten claims could be examined). If
the Customs officer believes it is necessary to examine more than 10
percent of the exported items, he shall present the reasons to
Headquarters and obtain approval for such other examination.
(c) Completion of drawback entry for exported merchandise. Within 3
years after exportation of merchandise under 191.141(b), an
exporter-claimant shall complete his drawback claim by filing with the
same Customs officer who received Customs Form 7539 evidence of
exportation under the procedures described in 191.52 (notice of
exportation) or 191.54 (certified notice of exportation by mail) of
this part.
(d) Alternative procedure for exported merchandise. In place of the
procedures set forth in 191.141 (b) and (c), an exporter-claimant may
apply with the regional commissioner, or the district (area) director,
if authority has been delegated to that official by the regional
commissioner, for permission to use the exporter's summary procedure
(see 191.53). If the request is approved, the exporter-claimant shall
complete a drawback claim no later than 3 years after exportation. When
this alternative procedure is used, no prior notice of intent to export
or examination is necessary for purposes of obtaining drawback.
(e) General. The provisions relating to direct identification
drawback shall apply to claims for drawback under this subpart insofar
as applicable to and not inconsistent with the provisions of this
subpart. Specifically, 191.22 (b) and (c), and 191.65 are applicable
to drawback under 19 U.S.C. 1313(j).
(f) Drawback on destroyed merchandise -- (1) Procedure. A claimant
desiring to destroy merchandise to collect drawback under same condition
drawback shall file with the regional commissioner, or the district
(area) director or port director, if authority has been delegated to
that official by the regional commissioner, a completed Customs Form
7539. At least 7 working days prior to the intended date of
destruction, the exporter-claimant shall notify the appropriate Customs
officer of the time and place of destruction, by submitting Customs Form
3499 with Customs Form 7539 at the location wherein the destruction is
to occur. It shall certify that the merchandise is in the same
condition as when imported and not used within the United States before
such destruction. Destruction of merchandise after such notification on
Customs Form 3499 shall be deemed to have occurred under Customs
supervision.
(2) Completion of drawback entry. After destruction, the claimant
and district director or his designee who witnessed destruction shall
certify on Customs Form 7539 or an attachment thereto the time and place
of destruction.
(g) Liquidation of the drawback claim. (1) Entries shall be
liquidated or reliquidated in the region or districts as determined by
the regional commissioner.
(2) Upon review of a drawback claim by the liquidator, if the claim
is determined to be incomplete, the liquidator shall notify promptly the
claimant, who shall then have the opportunity to amend the claim prior
to its denial. The claimant shall respond in writing within 20 days of
Customs notice.
(3) If the claim is denied, the claimant shall be notified in
accordance with 159.9 and 159.10 of this chapter.
(h) Substitution same condition drawback. If legal person X
possesses imported merchandise (the designated merchandise) during some
time interval in period A (defined below) and also possesses other
merchandise fungible with it (the substituted merchandise) during the
same or different time interval in period A, then 99 percent of the duty
paid on the designated merchandise will be refunded as drawback,
provided that:
(1) The designated merchandise was in the same condition as imported
either at the time of substitution, the time X used it in manufacturing,
or at the time X transferred it to another person, whichever occurs
first;
(2) The substituted merchandise is in the same condition when
exported or destroyed under Customs supervision as was the designated
merchandise when imported;
(3) X does not issue a certificate of delivery covering the
designated merchandise nor a certificate of manufacture and delivery
covering articles manufactured or produced therefrom; and
(4) X maintains records to establish requirements, (1), (2), and (3)
of this section and also complies with all relevant requirements of
191.141 (a) through (g) of this chapter.
Period A (referred to above) begins when X receives the merchandise
and ends three years after the importation of said merchandise.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 85-123,
50 FR 29957, July 23, 1985)
19 CFR 191.142 Merchandise not conforming to sample or specifications
or shipped without the consent of the consignee.
(a) General. (1) Section 313(c), Tariff Act of 1930, as amended (19
U.S.C. 1313(c)), provides for drawback upon the exportation of imported
merchandise not conforming to sample or specifications or shipped
without the consent of the consignee. The merchandise must be returned
to Customs custody for exportation within 90 days after release from
Customs custody unless Customs authorizes a longer period (see
191.4(a)(3)).
(2) Rejected merchandise may be the subject of a same condition
drawback claim in accordance with 191.141(a) -- (f).
(b) Procedure. (1) The exporter-claimant shall file with any
district director a drawback entry on Customs Form 7539 at the time the
merchandise is returned to Customs custody.
(2) The exporter-claimant also shall submit documentation to
establish that the merchandise does not conform to sample or
specifications or was shipped without the consent of the consignee.
(3) The district director shall approve the place of delivery of the
merchandise if he is satisfied that the merchandise does not conform to
sample or specifications or was shipped without the consent of the
consignee.
(4) The exporter-claimant shall return the merchandise to Customs
custody within 90 days after the date the merchandise was originally
released from Customs custody unless an extension of time is
specifically authorized in writing by the district director or other
appropriate Customs official. A reasonable extension of time will be
granted if the failure to comply with the 90 day provision is beyond the
control of the applicant. Drawback shall be denied on merchandise
returned to Customs custody after the authorized time period, including
any extension.
(5) The exporter-claimant shall export the merchandise under Customs
supervision and shall provide proof of exportation by filing with the
same district director who received the Customs Form 7539 a notice of
exportation certified by a Customs officer under 191.52(c)(1), or
otherwise supported by those documents set out in 191.52(c)(2) except
that if a bill of lading is submitted proving exportation, no notice of
exportation shall be required. The exporter-claimant also may establish
exportation by mail as set out in 191.154.
(6) Drawback under this section is payable to the exporter-claimant
who is the importer of record or the actual owner named in the import
entry. The procedures for liquidating a drawback claim shall be the
same as under 191.141(g).
19 CFR 191.142 Subpart O -- Distilled Spirits, Wines, or Beer Which Are Unmerchantable or Do Not Conform to Sample or Specifications
19 CFR 191.151 Refund of taxes.
Section 5062(c), Internal Revenue Code, as amended (26 U.S.C.
5062(c)), provides for the refund, remission, abatement or credit to the
importer of internal-revenue taxes paid or determined incident to
importation, upon the exportation, or destruction under Customs
supervision, of imported distilled spirits, wines, or beer found after
entry to be unmerchantable or not to conform to sample or specifications
and which are returned to Customs custody (see 191.4(b)).
19 CFR 191.152 Procedure.
The export procedure shall be the same as that provided in
191.142(b) except that the claimant must be the importer and as
otherwise provided in this subpart.
19 CFR 191.153 Documentation.
(a) Entry. Customs Form 7539, appropriately modified, shall be used
to claim drawback under this subpart.
(b) Documentation. The drawback entry for unmerchantable merchandise
shall be accompanied by a certificate of the importer setting forth in
detail the facts which cause the merchandise to be unmerchantable and
any additional proof that the district director requires to establish
that the merchandise is unmerchantable.
19 CFR 191.154 Return to Customs custody.
There is no time limit for the return to Customs custody of distilled
spirits, wine, or beer subject to refund of taxes under the provisions
of this subpart.
19 CFR 191.155 No exportation by mail.
Merchandise covered by this subpart shall not be exported by mail.
19 CFR 191.156 Destruction of merchandise.
(a) Action by the importer. A drawback claimant who proposes to
destroy rather than export the distilled spirits, wine, or beer shall
state that fact on Customs Form 7539.
(b) Action by Customs. Distilled spirits, wine, or beer returned to
Customs custody at the place approved by the district director where the
drawback entry was filed shall be destroyed under the supervision of the
Customs officer who shall certify the destruction on Customs Form 3499.
19 CFR 191.157 Liquidation.
No deduction of 1 percent of the internal revenue taxes paid or
determined shall be made in allowing claims under section 5062(c),
Internal Revenue Code, as amended (26 U.S.C. 5062(c)).
19 CFR 191.158 Time limit for exportation or destruction.
Merchandise not exported or destroyed within 90 days from the date of
notification of acceptance of the drawback entry shall be considered
unclaimed, unless upon written request by the importer, the district
director grants an extension of not more than 90 days.
19 CFR 191.158 Subpart P -- Merchandise Transferred to a Foreign Trade Zone From Customs Territory
19 CFR 191.161 Drawback allowance.
The fourth provision of section 3 of the Foreign Trade Zones Act of
June 18, 1934, as amended (19 U.S.C. 81c) provides for drawback on
merchandise transferred to a foreign trade zone from Customs territory
for the sole purpose of exportation, destruction (except destruction of
distilled spirits, wines, and fermented malt liquors), or storage,
provided there is compliance with the regulations of this subpart (see
191.4(a)(12)).
19 CFR 191.162 Zone-restricted merchandise.
Merchandise in a foreign trade zone for the purposes specified in
191.161 shall be given status as zone-restricted merchandise on proper
application (see 146.44 of this chapter).
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-16,
51 FR 5064, Feb. 11, 1986)
19 CFR 191.163 Articles manufactured or produced in the United States.
(a) Procedure for filing documents. Except for the evidence of
exportation procedure, the drawback procedures prescribed in this part
shall be followed as applicable to drawback under this subpart on
articles manufactured or produced in the United States with the use of
imported or substituted merchandise, and on flavoring extracts or
medicinal or toilet preparations (including perfumery) manufactured or
produced with the use of domestic tax-paid alcohol.
(b) Notice of transfer -- (1) Proof of export. The notice of zone
transfer on Customs Form 7514 shall be in place of the documents under
subpart E to establish the exportation.
(2) Filing procedures. The notice of transfer, in triplicate, shall
be filed with the district director where the foreign trade zone is
located prior to the transfer of the articles to the zone, or within 3
years after the transfer of the articles to the zone. A notice filed
after the transfer shall state the foreign trade zone lot number.
(3) Contents of notice. Each notice of transfer shall show the:
(i) Number and location of the foreign trade zone;
(ii) Number and kind of packages and their marks and numbers;
(iii) Description of the articles, including weight (gross and net),
gauge, measure, or number;
(iv) Name of the transferor, and
(v) Place where the drawback entry is to be filed.
(c) Action of the district director on the notice of transfer. The
district director shall assign a number to each notice of transfer,
return one copy to the transferor and forward another copy to the zone
operator at the foreign trade zone.
(d) Action of foreign trade zone operator. After articles have been
received in the zone, the zone operator at the zone shall certify on a
copy of the notice of transfer the receipt of the articles (see
191.164(d)(2)) and forward the notice to the transferor or the person
designated by the transferor. The transferor shall verify that the
notice has been certified before filing it with the drawback entry.
(e) Drawback entries. Drawback entries shall be filed on Customs
Form 7573, 7575, 7579, or 7585, as applicable, appropriately modified,
to indicate that the merchandise was transferred to a foreign trade
zone. The ''Declaration of Exportation'' shall be modified as follows:
I, ------------ (member of firm, officer representing corporation,
agent, or attorney), of ------------ , declare that, to the best of my
knowledge and belief the particulars of transfer stated in this entry,
the notices of transfer, and receipts are correct, and that the
merchandise was transferred to a foreign trade zone for the sole purpose
of exportation, destruction, or storage, not to be returned to the
customs territory of the United States for domestic consumption.
Dated: ------------ .
------------ ,
Transferor or agent.
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-16,
51 FR 5064, Feb. 11, 1986)
19 CFR 191.164 Merchandise transferred from continuous Customs custody.
(a) Procedure for filing claims. The procedure described in Subpart
M of this part shall be followed as applicable, to drawback on
merchandise transferred to a foreign trade zone from continuous Customs
custody.
(b) Drawback entry. Before the transfer of merchandise from
continuous Customs custody to a foreign trade zone, the importer or a
person designated in writing by the importer for that purpose shall file
with the district director a direct export entry on Customs Form 7512 in
duplicate. The district director shall forward one copy of Customs Form
7512 to the zone operator at the zone.
(c) Certification by zone operator. After the merchandise has been
received in the zone, the zone operator at the zone shall certify on the
copy of Customs Form 7512 the receipt of the merchandise (see paragraph
(d)(2) of this section) and forward the form to the transferor or the
person designated by the transferor. After executing the certifications
provided for in paragraph (d)(3) of this section, the transferor shall
resubmit Customs Form 7512 to the district director in place of the bill
of lading required by 191.136.
(d) Modification of drawback entry -- (1) Indication of transfer.
Customs Form 7512 shall be modified to indicate that the merchandise is
to be transferred to a foreign trade zone.
(2) Endorsement. The transferor or person designated by the
transferor shall endorse Customs Form 7512 as follows, for execution by
the foreign trade zone operator;
The merchandise described in the entry was received from ------------
on ------------ , 19 ---- ; in Foreign Trade Zone No. -------- ,
------------ (City and State) Exceptions: ------------ . ------------
(Name and title)
By ------------ (Name of operator)
(3) Transferor's declaration. The transferor shall declare on
Customs Form 7512 as follows:
I, ------------ of the firm of ------------ , declare that the
merchandise described in this entry was duly entered at the customhouse
on arrival at this port; that the duties thereon have been paid as
specified in this entry; and that it was transferred to Foreign Trade
Zone No. ------ , located at ------------ , (City and State) for the
sole purpose of exportation, destruction, or storage, not to be returned
to the customs territory of the United States for domestic consumption.
I further declare that to the best of my knowledge and belief, this
merchandise is the same in quantity, quality, value, and package,
unavoidable wastage and damage excepted, as it was at the time of
importation; that no allowance nor reduction of duties has been made
for damage or other cause except as specified in this entry; and that
no part of the duties paid has been refunded by drawback or otherwise.
Dated:
------------ (Transferer)
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-16,
51 FR 5064, Feb. 11, 1986)
19 CFR 191.165 Same condition drawback merchandise and merchandise not
conforming to sample or specifications or shipped without the consent of
the consignee.
(a) Procedure for filing claims. The procedures described in
191.141, relating to same condition drawback merchandise, and 191.142
relating to rejected merchandise, shall be followed as applicable to
drawback under this subpart for same condition drawback merchandise and
merchandise not conforming to sample or specifications, or merchandise
shipped without the consent of the consignee.
(b) Drawback entry. Before transfer of the merchandise to a foreign
trade zone, the importer or a person designated in writing by the
importer for that purpose shall file with the district director an entry
on Customs Form 7539 in duplicate. The district director shall forward
one copy of Customs Form 7539 to the zone operator at the zone.
(c) Certification by zone operator. After the merchandise has been
received in the zone, the zone operator at the zone shall certify on the
copy of Customs Form 7539 the receipt of the merchandise and forward the
form to the transferor or the person designated by the transferor.
After executing the certifications provided for in paragraph (d)(3) of
this section, the transferor shall resubmit Customs Form 7539 to the
district director in place of the bill of lading required by 191.136.
(d) Modification of drawback entry -- (1) Indication of transfer.
Customs Form 7539 shall be modified to indicate that the merchandise is
to be transferred to a foreign trade zone.
(2) Endorsement. The transferor or person designated by the
transferor shall endorse Customs Form 7539 as follows, for execution by
the foreign trade zone operator:
The merchandise described in this entry was received from
------------ on ------------ , 19 ---- , in Foreign Trade Zone No.
-------- , ------------ (City and State). Exceptions: ------------ .
------------ (Name of operator)
By ------------ (Name and title)
(3) Transferor's declaration. The transferor shall declare on
Customs Form 7539 as follows:
I, ------------ , of the firm of ------------ , declare that the
merchandise described in the within entry was duly entered at the
customhouse on arrival at this port; that the duties thereon have
been paid as specified in this entry; and that it was transferred to
Foreign Trade Zone No. ---------- , located at ------------ , (City and
State) for the sole purpose of exportation, destruction, or storage, not
to be returned to the customs territory of the United States for
domestic consumption. I further declare that to the best of my
knowledge and belief, that said merchandise is the same in quantity,
quality, value, and package as specified in this entry; that no
allowance nor reduction in duties has been made; and that no part of
the duties paid has been refunded by drawback or otherwise.
Dated: ------------ .
------------ (Transferor)
(T.D. 83-212, 48 FR 46753, Oct. 14, 1983, as amended by T.D. 86-16,
51 FR 5064, Feb. 11, 1986; 51 FR 11013, Apr. 1, 1986)
19 CFR 191.166 Person entitled to receive drawback.
The person named in the foreign trade zone operator's certification
on the notice of transfer or the drawback entry, as applicable, shall be
considered to be the transferor. Drawback shall be paid to the
transferor or to the person to whom the transferor directs in writing to
be paid.
19 CFR 191.166 PART 192 -- EXPORT CONTROL
Sec.
192.0 Scope.
19 CFR 191.166 Subpart A -- Exportation of Used Self-Propelled
Vehicles, Vessels, and Aircraft
192.1 Definitions.
192.2 Requirements for exportation.
192.3 Penalties.
192.4 Liability of carriers.
Authority: 19 U.S.C. 66, 1624, 1627a, 1646a.
Source: T.D. 89-46, 54 FR 15403, Apr. 18, 1989, unless otherwise
noted.
19 CFR 192.0 Scope.
This part sets forth regulations pertaining to procedures for the
lawful exportation of used self-propelled vehicles, vessels and
aircraft, and the penalties and liabilities incurred for failure to
comply with any of the procedures. This part also sets forth
regulations concerning controls exercised by Customs with respect to the
exportation of certain merchandise.
19 CFR 192.0 Subpart A -- Exportation of Used Self-Propelled Vehicles, Vessels, and Aircraft
19 CFR 192.1 Definitions.
The following are general definitions for the purposes of this
subpart A.
Export. ''Export'' refers to the transportation of merchandise out of
the U.S. for the purpose of being entered into the commerce of a foreign
country.
Self-propelled vehicle. ''Self-propelled vehicle'' includes any
automobile, truck, tractor, bus, motorcycle, motor home, self-propelled
agricultural machinery, self-propelled construction equipment,
self-propelled special use equipment, and any other self-propelled
vehicle used or designed for running on land but not on rail.
Ultimate purchaser. ''Ultimate purchaser'' means the first person,
other than a dealer purchasing in his capacity as a dealer, who in good
faith purchases a self-propelled vehicle for purposes other than resale.
Used. ''Used'' refers to any self-propelled vehicle the equitable or
legal title to which has been transferred by a manufacturer,
distributor, or dealer to an ultimate purchaser.
19 CFR 192.2 Requirements for exportation.
(a) Basic requirements. A person attempting to export a used
self-propelled vehicle shall present to Customs, at the port of
exportation, both the vehicle and a document describing the vehicle,
which includes the Vehicle Identification Number or, if the vehicle does
not have a Vehicle Identification Number, the product identification
number. Exportation of a vehicle will be permitted only upon compliance
with these requirements, unless the vehicle was entered into the United
States under an in-bond procedure, or under a carnet or Temporary
Importation Bond; a vehicle entered under an in-bond procedure, or
under a carnet or Temporary Importation Bond is exempt from these
requirements. The person attempting to export the vehicle may employ an
agent for the exportation of the vehicle.
(b) Documentation required. In the case of automobiles, trucks,
motorcycles and buses, original or certified copies of Certificate of
Title (or other document if a Certificate of Title is not available as a
result of state statutory requirements), and 2 facsimiles of the
original or certified copy, shall be presented. In other cases, a
certificate of title, memorandum of ownership, or right of possession,
or any other document sufficient to prove lawful ownership, such as a
bill of sale or a sales invoice, or a certified copy of any of these
documents, as well as 2 facsimiles of the original or certified copy,
shall be presented.
(c) When presented. If the vehicle is to be transported by vessel or
aircraft, the documentation and vehicle must be presented at least 3
days prior to lading. If the vehicle is to be transported by rail,
highway, or under its own power, the documentation must be presented 3
days prior to exportation of the vehicle, and the vehicle must be
presented on the day of exportation.
(d) Authentication of documentation. Customs shall authenticate both
facsimile documents, one of which shall remain in the possession of the
exporter and one of which shall be collected by Customs. Authentication
will include the stamping of the facsimile documents with the date of
presentation of the documents. The authenticated facsimile document
will be the only acceptable evidence from the exporter of compliance
with the requirements of this section.
(T.D. 89-46, 54 FR 15403, Apr. 18, 1989, as amended by T.D. 90-71, 55
FR 37708, Sept. 13, 1990)
19 CFR 192.3 Penalties.
(a) A $500 penalty shall be assessed against an exporter attempting
to export a vehicle without complying with the requirements set forth in
this part of the regulations.
(b) A $500 penalty shall be assessed against an exporter who has
exported a vehicle without complying with the requirements set forth in
this part of the regulations.
(c) A penalty not to exceed $10,000 may be assessed against an
importer or exporter who knowingly imports, exports or attempts to
import or export:
(1) Any stolen self-propelled vehicle, vessel, aircraft or part of a
self-propelled vehicle, vessel or aircraft; or
(2) Any self-propelled vehicle or part of a self-propelled vehicle
from which the identification number has been removed, obliterated,
tampered with, or altered.
(d) Any stolen self-propelled vehicle, vessel or aircraft or part
thereof or any self-propelled vehicle or part of a self-propelled
vehicle from which the identification number has been removed,
obliterated, tampered with or altered may be subject to seizure and
foreiture pursuant to 19 U.S.C. 1627a.
19 CFR 192.4 Liability of carriers.
Under the provisions of 46 U.S.C. App. 91, the vessel master is
charged with the responsibility for presenting a true manifest. If used
vehicles are not included on the manifest or are inaccurately described
thereon, a liability of not more than $1,000 nor less than $500 will be
incurred.
19 CFR 192.4 FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
Redesignation Tables
Chapter I Subject Index
List of CFR Sections Affected
Chap.
19 CFR 192.4 Table of CFR Titles and Chapters
19 CFR 192.4 Title 1 -- General Provisions
I Administrative Committee of the Federal Register (Parts 1 -- 49)
II Office of the Federal Register (Parts 50 -- 299)
III Administrative Conference of the United States (Parts 300 -- 399)
IV Miscellaneous Agencies (Parts 400 -- 500)
19 CFR 192.4 Title 2 -- (Reserved)
19 CFR 192.4 Title 3 -- The President
I Executive Office of the President (Parts 100 -- 199)
19 CFR 192.4 Title 4 -- Accounts
I General Accounting Office (Parts 1 -- 99)
II Federal Claims Collection Standards (General Accounting Office --
Department of Justice) (Parts 100 -- 299)
III General Accounting Office (CASB) (Parts 300 -- 499)
19 CFR 192.4 Title 5 -- Administrative Personnel
I Office of Personnel Management (Parts 1 -- 1199)
II Merit Systems Protection Board (Parts 1200 -- 1299)
III Office of Management and Budget (Parts 1300 -- 1399)
IV Advisory Committee on Federal Pay (Parts 1400 -- 1499)
V The International Organizations Employees Loyalty Board (Parts 1500
-- 1599)
VI Federal Retirement Thrift Investment Board (Parts 1600 -- 1699)
VII Advisory Commission on Intergovernmental Relations (Parts 1700 --
1799)
VIII Office of Special Council (Parts 1800 -- 1899)
IX Appalachian Regional Commission (Parts 1900 -- 1999)
XI United States Soldiers' and Airmen's Home (Parts 2100 -- 2199)
XIV Federal Labor Relations Authority, General Counsel of the Federal
Labor Relations Authority and Federal Service Impasses Panel (Parts 2400
-- 2499)
XV Office of Administration, Executive Office of the President (Parts
2500 -- 2599)
XVI Office of Government Ethics (Parts 2600 -- 2699)
19 CFR 192.4 Title 6 -- Economic Stabilization (Reserved)
19 CFR 192.4 Title 7 -- Agriculture
Subtitle A -- Office of the Secretary of Agriculture (Parts 0 -- 26)
Subtitle B -- Regulations of the Department of Agriculture
I Agricultural Marketing Service (Standards, Inspections, Marketing
Practices), Department of Agriculture (Parts 27 -- 209)
II Food and Nutrition Service, Department of Agriculture (Parts 210
-- 299)
III Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 300 -- 399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400 -- 499)
V Agricultural Research Service, Department of Agriculture (Parts 500
-- 599)
VI Soil Conservation Service, Department of Agriculture (Parts 600 --
699)
VII Agricultural Stabilization and Conservation Service (Agricultural
Adjustment), Department of Agriculture (Parts 700 -- 799)
VIII Federal Grain Inspection Service, Department of Agriculture
(Parts 800 -- 899)
IX Agricultural Marketing Service (Marketing Agreements and Orders;
Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900 -- 999)
X Agricultural Marketing Service (Marketing Agreements and Orders;
Milk), Department of Agriculture (Parts 1000 -- 1199)
XI Agricultural Marketing Service (Marketing Agreements and Orders;
Miscellaneous Commodities), Department of Agriculture (Parts 1200 --
1299)
XIV Commodity Credit Corporation, Department of Agriculture (Parts
1400 -- 1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500 -- 1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600 --
1699)
XVII Rural Electrification Administration, Department of Agriculture
(Parts 1700 -- 1799)
XVIII Farmers Home Administration, Department of Agriculture (Parts
1800 -- 2099)
XXI Foreign Economic Development Service, Department of Agriculture
(Parts 2100 -- 2199)
XXII Office of International Cooperation and Development, Department
of Agriculture (Parts 2200 -- 2299)
XXV Office of the General Sales Manager, Department of Agriculture
(Parts 2500 -- 2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600 -- 2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700 -- 2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800 --
2899)
XXIX Office of Energy, Department of Agriculture (Parts 2900 -- 2999)
XXX Office of Finance and Management, Department of Agriculture
(Parts 3000 -- 3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100 -- 3199)
XXXII Office of Grants and Program Systems, Department of Agriculture
(Parts 3200 -- 3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300 -- 3399)
XXXIV Cooperative State Research Service, Department of Agriculture
(Parts 3400 -- 3499)
XXXVI National Agricultural Statistics Service, Department of
Agriculture (Parts 3600 -- 3699)
XXXVII Economic Research Service, Department of Agriculture (Parts
3700 -- 3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800 -- 3899)
XXXIX Economic Analysis Staff, Department of Agriculture (Parts 3900
-- 3999)
XL Economics Management Staff, Department of Agriculture (Parts 4000
-- 4099)
XLI National Agricultural Library, Department of Agriculture (Part
4100)
19 CFR 192.4 Title 8 -- Aliens and Nationality
I Immigration and Naturalization Service, Department of Justice
(Parts 1 -- 499)
19 CFR 192.4 Title 9 -- Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 1 -- 199)
II Packers and Stockyards Administration, Department of Agriculture
(Parts 200 -- 299)
III Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture (Parts 300 -- 399)
19 CFR 192.4 Title 10 -- Energy
I Nuclear Regulatory Commission (Parts 0 -- 199)
II Department of Energy (Parts 200 -- 699)
III Department of Energy (Parts 700 -- 999)
X Department of Energy (General Provisions) (Parts 1000 -- 1099)
XV Office of the Federal Inspector for the Alaska Natural Gas
Transportation System (Parts 1500 -- 1599)
XVII Defense Nuclear Facilities Safety Board (Parts 1700 -- 1799)
19 CFR 192.4 Title 11 -- Federal Elections
I Federal Election Commission (Parts 1 -- 9099)
19 CFR 192.4 Title 12 -- Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1 --
199)
II Federal Reserve System (Parts 200 -- 299)
III Federal Deposit Insurance Corporation (Parts 300 -- 399)
IV Export-Import Bank of the United States (Parts 400 -- 499)
V Office of Thrift Supervision, Department of The Treasury (Parts 500
-- 599)
VI Farm Credit Administration (Parts 600 -- 699)
VII National Credit Union Administration (Parts 700 -- 799)
VIII Federal Financing Bank (Parts 800 -- 899)
IX Federal Housing Finance Board (Parts 900 -- 999)
XI Federal Financial Institutions Examination Council (Parts 1100 --
1199)
XIII Farm Credit System Assistance Board (Parts 1300 -- 1399)
XIV Farm Credit System Insurance Corporation (Parts 1400 -- 1499)
XV Thrift Depositor Protection Oversight Board (Parts 1500 -- 1599)
XVI Resolution Trust Corporation (Parts 1600 -- 1699)
19 CFR 192.4 Title 13 -- Business Credit and Assistance
I Small Business Administration (Parts 1 -- 199)
III Economic Development Administration, Department of Commerce
(Parts 300 -- 399)
19 CFR 192.4 Title 14 -- Aeronautics and Space
I Federal Aviation Administration, Department of Transportation
(Parts 1 -- 199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200 -- 399)
III Office of Commercial Space Transportation, Department of
Transportation (Parts 400 -- 499)
V National Aeronautics and Space Administration (Parts 1200 -- 1299)
19 CFR 192.4 Title 15 -- Commerce and Foreign Trade
Subtitle A -- Office of the Secretary of Commerce (Parts 0 -- 29)
Subtitle B -- Regulations Relating to Commerce and Foreign Trade
I Bureau of the Census, Department of Commerce (Parts 30 -- 199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
IV Foreign-Trade Zones Board (Parts 400 -- 499)
VII Bureau of Export Administration, Department of Commerce (Parts
700 -- 799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800
-- 899)
IX National Oceanic and Atmospheric Administration, Department of
Commerce (Parts 900 -- 999)
XI Technology Administration, Department of Commerce (Parts 1100 --
1199)
XII United States Travel and Tourism Administration, Department of
Commerce (Parts 1200 -- 1299)
XIII East-West Foreign Trade Board (Parts 1300 -- 1399)
XIV Minority Business Development Agency (Parts 1400 -- 1499)
Subtitle C -- Regulations Relating to Foreign Trade Agreements
XX Office of the United States Trade Representative (Parts 2000 --
2099)
Subtitle D -- Regulations Relating to Telecommunications and
Information
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300 -- 2399)
19 CFR 192.4 Title 16 -- Commercial Practices
I Federal Trade Commission (Parts 0 -- 999)
II Consumer Product Safety Commission (Parts 1000 -- 1799)
19 CFR 192.4 Title 17 -- Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1 -- 199)
II Securities and Exchange Commission (Parts 200 -- 399)
IV Department of the Treasury (Parts 400 -- 499)
19 CFR 192.4 Title 18 -- Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy (Parts 1
-- 399)
III Delaware River Basin Commission (Parts 400 -- 499)
VI Water Resources Council (Parts 700 -- 799)
VIII Susquehanna River Basin Commission (Parts 800 -- 899)
XIII Tennessee Valley Authority (Parts 1300 -- 1399)
19 CFR 192.4 Title 19 -- Customs Duties
I United States Customs Service, Department of the Treasury (Parts 1
-- 199)
II United States International Trade Commission (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
19 CFR 192.4 Title 20 -- Employees' Benefits
I Office of Workers' Compensation Programs, Department of Labor
(Parts 1 -- 199)
II Railroad Retirement Board (Parts 200 -- 399)
III Social Security Administration, Department of Health and Human
Services (Parts 400 -- 499)
IV Employees' Compensation Appeals Board, Department of Labor (Parts
500 -- 599)
V Employment and Training Administration, Department of Labor (Parts
600 -- 699)
VI Employment Standards Administration, Department of Labor (Parts
700 -- 799)
VII Benefits Review Board, Department of Labor (Parts 800 -- 899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900 -- 999)
IX Office of the Assistant Secretary for Veterans' Employment and
Training, Department of Labor (Parts 1000 -- 1099)
19 CFR 192.4 Title 21 -- Food and Drugs
I Food and Drug Administration, Department of Health and Human
Services (Parts 1 -- 1299)
II Drug Enforcement Administration, Department of Justice (Parts 1300
-- 1399)
19 CFR 192.4 Title 22 -- Foreign Relations
I Department of State (Parts 1 -- 199)
II Agency for International Development, International Development
Cooperation Agency (Parts 200 -- 299)
III Peace Corps (Parts 300 -- 399)
IV International Joint Commission, United States and Canada (Parts
400 -- 499)
V United States Information Agency (Parts 500 -- 599)
VI United States Arms Control and Disarmament Agency (Parts 600 --
699)
VII Overseas Private Investment Corporation, International
Development Cooperation Agency (Parts 700 -- 799)
IX Foreign Service Grievance Board Regulations (Parts 900 -- 999)
X Inter-American Foundation (Parts 1000 -- 1099)
XI International Boundary and Water Commission, United States and
Mexico, United States Section (Parts 1100 -- 1199)
XII United States International Development Cooperation Agency (Parts
1200 -- 1299)
XIII Board for International Broadcasting (Parts 1300 -- 1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations Authority;
and the Foreign Service Impasse Disputes Panel (Parts 1400 -- 1499)
XV African Development Foundation (Parts 1500 -- 1599)
XVI Japan-United States Friendship Commission (Parts 1600 -- 1699)
19 CFR 192.4 Title 23 -- Highways
I Federal Highway Administration, Department of Transportation (Parts
1 -- 999)
II National Highway Traffic Safety Administration and Federal Highway
Administration, Department of Transportation (Parts 1200 -- 1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300 -- 1399)
19 CFR 192.4 Title 24 -- Housing and Urban Development
Subtitle A -- Office of the Secretary, Department of Housing and
Urban Development (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Housing and Urban Development
I Office of Assistant Secretary for Equal Opportunity, Department of
Housing and Urban Development (Parts 100 -- 199)
II Office of Assistant Secretary for Housing-Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 200 --
299)
III Government National Mortgage Association, Department of Housing
and Urban Development (Parts 300 -- 399)
V Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 500 --
599)
VI Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 600 --
699)
VII Office of the Secretary, Department of Housing and Urban
Development (Section 8 Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700 -- 799)
VIII Office of the Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Section 8
Housing Assistance Programs and Section 202 Direct Loan Program) (Parts
800 -- 899)
IX Office of Assistant Secretary for Public and Indian Housing,
Department of Housing and Urban Development (Parts 900 -- 999)
X Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Interstate
Land Sales Registration Program) (Parts 1700 -- 1799)
XI Solar Energy and Energy Conservation Bank, Department of Housing
and Urban Development (Parts 1800 -- 1899)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000 -- 2099)
XV Mortgage Insurance and Loan Programs under the Emergency
Homeowners' Relief Act, Department of Housing and Urban Development
(Parts 2700 -- 2799)
XX Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 3200 --
3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100 -- 4199)
19 CFR 192.4 Title 25 -- Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1 --
299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300 -- 399)
III National Indian Gaming Commission (Parts 500 -- 599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700 -- 799)
19 CFR 192.4 Title 26 -- Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1 --
799)
19 CFR 192.4 Title 27 -- Alcohol, Tobacco Products and Firearms
I Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury
(Parts 1 -- 299)
19 CFR 192.4 Title 28 -- Judicial Administration
I Department of Justice (Parts 0 -- 199)
III Federal Prison Industries, Inc., Department of Justice (Parts 300
-- 399)
V Bureau of Prisons, Department of Justice (Parts 500 -- 599)
VI Offices of Independent Counsel, Department of Justice (Parts 600
-- 699)
VII Office of Independent Counsel (Parts 700 -- 799)
19 CFR 192.4 Title 29 -- Labor
Subtitle A -- Office of the Secretary of Labor (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Labor
I National Labor Relations Board (Parts 100 -- 199)
II Bureau of Labor-Management Relations and Cooperative Programs,
Department of Labor (Parts 200 -- 299)
III National Railroad Adjustment Board (Parts 300 -- 399)
IV Office of Labor-Management Standards, Department of Labor (Parts
400 -- 499)
V Wage and Hour Division, Department of Labor (Parts 500 -- 899)
IX Construction Industry Collective Bargaining Commission (Parts 900
-- 999)
X National Mediation Board (Parts 1200 -- 1299)
XII Federal Mediation and Conciliation Service (Parts 1400 -- 1499)
XIV Equal Employment Opportunity Commission (Parts 1600 -- 1699)
XVII Occupational Safety and Health Administration, Department of
Labor (Parts 1900 -- 1999)
XX Occupational Safety and Health Review Commission (Parts 2200 --
2499)
XXV Pension and Welfare Benefits Administration, Department of Labor
(Parts 2500 -- 2599)
XXVI Pension Benefit Guaranty Corporation (Parts 2600 -- 2699)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700 --
2799)
19 CFR 192.4 Title 30 -- Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1
-- 199)
II Minerals Management Service, Department of the Interior (Parts 200
-- 299)
III Board of Surface Mining and Reclamation Appeals, Department of
the Interior (Parts 300 -- 399)
IV Geological Survey, Department of the Interior (Parts 400 -- 499)
VI Bureau of Mines, Department of the Interior (Parts 600 -- 699)
VII Office of Surface Mining Reclamation and Enforcement, Department
of the Interior (Parts 700 -- 999)
19 CFR 192.4 Title 31 -- Money and Finance: Treasury
Subtitle A -- Office of the Secretary of the Treasury (Parts 0 -- 50)
Subtitle B -- Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts 51 -- 199)
II Fiscal Service, Department of the Treasury (Parts 200 -- 399)
IV Secret Service, Department of the Treasury (Parts 400 -- 499)
V Office of Foreign Assets Control, Department of the Treasury (Parts
500 -- 599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600 -- 699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700 -- 799)
VIII Office of International Investment, Department of the Treasury
(Parts 800 -- 899)
19 CFR 192.4 Title 32 -- National Defense
Subtitle A -- Department of Defense
I Office of the Secretary of Defense (Parts 1 -- 399)
V Department of the Army (Parts 400 -- 699)
VI Department of the Navy (Parts 700 -- 799)
VII Department of the Air Force (Parts 800 -- 1099)
Subtitle B -- Other Regulations Relating to National Defense
XII Defense Logistics Agency (Parts 1200 -- 1299)
XVI Selective Service System (Parts 1600 -- 1699)
XIX Central Intelligence Agency (Parts 1900 -- 1999)
XX Information Security Oversight Office (Parts 2000 -- 2099)
XXI National Security Council (Parts 2100 -- 2199)
XXIV Office of Science and Technology Policy (Parts 2400 -- 2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700 -- 2799)
XXVIII Office of the Vice President of the United States (Parts 2800
-- 2899)
19 CFR 192.4 Title 33 -- Navigation and Navigable Waters
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Corps of Engineers, Department of the Army (Parts 200 -- 399)
IV Saint Lawrence Seaway Development Corporation, Department of
Transportation (Parts 400 -- 499)
19 CFR 192.4 Title 34 -- Education
Subtitle A -- Office of the Secretary, Department of Education (Parts
1 -- 99)
Subtitle B -- Regulations of the Offices of the Department of
Education
I Office for Civil Rights, Department of Education (Parts 100 -- 199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200 -- 299)
III Office of Special Education and Rehabilitative Services,
Department of Education (Parts 300 -- 399)
IV Office of Vocational and Adult Education, Department of Education
(Parts 400 -- 499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500 -- 599)
VI Office of Postsecondary Education, Department of Education (Parts
600 -- 699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700 -- 799)
19 CFR 192.4 Title 35 -- Panama Canal
I Panama Canal Regulations (Parts 1 -- 299)
19 CFR 192.4 Title 36 -- Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1 -- 199)
II Forest Service, Department of Agriculture (Parts 200 -- 299)
III Corps of Engineers, Department of the Army (Parts 300 -- 399)
IV American Battle Monuments Commission (Parts 400 -- 499)
V Smithsonian Institution (Parts 500 -- 599)
VII Library of Congress (Parts 700 -- 799)
VIII Advisory Council on Historic Preservation (Parts 800 -- 899)
IX Pennsylvania Avenue Development Corporation (Parts 900 -- 999)
XI Architectural and Transportation Barriers Compliance Board (Parts
1100 -- 1199)
XII National Archives and Records Administration (Parts 1200 -- 1299)
19 CFR 192.4 Title 37 -- Patents, Trademarks, and Copyrights
I Patent and Trademark Office, Department of Commerce (Parts 1 --
199)
II Copyright Office, Library of Congress (Parts 200 -- 299)
III Copyright Royalty Tribunal (Parts 300 -- 399)
IV Assistant Secretary for Technology Policy, Department of Commerce
(Parts 400 -- 499)
V Under Secretary for Technology, Department of Commerce (Parts 500
-- 599)
19 CFR 192.4 Title 38 -- Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0 -- 99)
19 CFR 192.4 Title 39 -- Postal Service
I United States Postal Service (Parts 1 -- 999)
III Postal Rate Commission (Parts 3000 -- 3099)
19 CFR 192.4 Title 40 -- Protection of Environment
I Environmental Protection Agency (Parts 1 -- 799)
V Council on Environmental Quality (Parts 1500 -- 1599)
19 CFR 192.4 Title 41 -- Public Contracts and Property Management
Subtitle B -- Other Provisions Relating to Public Contracts
50 Public Contracts, Department of Labor (Parts 50-1 -- 50-999)
51 Committee for Purchase from the Blind and Other Severely
Handicapped (Parts 51-1 -- 51-99)
60 Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Parts 60-1 -- 60-999)
61 Office of the Assistant Secretary for Veterans Employment and
Training, Department of Labor (Parts 61-1 -- 61-999)
Subtitle C -- Federal Property Management Regulations System
101 Federal Property Management Regulations (Parts 101-1 -- 101-99)
105 General Services Administration (Parts 105-1 -- 105-999)
109 Department of Energy Property Management Regulations (Parts 109-1
-- 109-99)
114 Department of the Interior (Parts 114-1 -- 114-99)
115 Environmental Protection Agency (Parts 115-1 -- 115-99)
128 Department of Justice (Parts 128-1 -- 128-99)
132 Department of the Air Force (Parts 132-1 -- 132-99)
Subtitle D -- Other Provisions Relating to Property Management
(Reserved)
Subtitle E -- Federal Information Resources Management Regulations
System
201 Federal Information Resources Management Regulation (Parts 201-1
-- 201-99)
Subtitle F -- Federal Travel Regulation System
301 Travel Allowances (Parts 301-1 -- 301-99)
302 Relocation Allowances (Parts 302-1 -- 302-99)
303 Payment of Expenses Connected with the Death of Certain Employees
(Parts 303-1 -- 303-2)
304 Payment from a non-Federal source for travel expenses (Parts
304-1 -- 304-99)
19 CFR 192.4 Title 42 -- Public Health
I Public Health Service, Department of Health and Human Services
(Parts 1 -- 199)
IV Health Care Financing Administration, Department of Health and
Human Services (Parts 400 -- 499)
V Office of Inspector General-Health Care, Department of Health and
Human Services (Parts 1000 -- 1999)
19 CFR 192.4 Title 43 -- Public Lands: Interior
Subtitle A -- Office of the Secretary of the Interior (Parts 1 --
199)
Subtitle B -- Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior (Parts 200 --
499)
II Bureau of Land Management, Department of the Interior (Parts 1000
-- 9999)
19 CFR 192.4 Title 44 -- Emergency Management and Assistance
I Federal Emergency Management Agency (Parts 0 -- 399)
IV Department of Commerce and Department of Transportation (Parts 400
-- 499)
19 CFR 192.4 Title 45 -- Public Welfare
Subtitle A -- Department of Health and Human Services, General
Administration (Parts 1 -- 199)
Subtitle B -- Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs), Family Support
Administration, Department of Health and Human Services (Parts 200 --
299)
III Office of Child Support Enforcement (Child Support Enforcement
Program), Family Support Administration, Department of Health and Human
Services (Parts 300 -- 399)
IV Office of Refugee Resettlement, Administration for Children and
Families Department of Health and Human Services (Parts 400 -- 499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500 -- 599)
VI National Science Foundation (Parts 600 -- 699)
VII Commission on Civil Rights (Parts 700 -- 799)
VIII Office of Personnel Management (Parts 800 -- 899)
X Office of Community Services, Family Support Administration,
Department of Health and Human Services (Parts 1000 -- 1099)
XI National Foundation on the Arts and the Humanities (Parts 1100 --
1199)
XII ACTION (Parts 1200 -- 1299)
XIII Office of Human Development Services, Department of Health and
Human Services (Parts 1300 -- 1399)
XVI Legal Services Corporation (Parts 1600 -- 1699)
XVII National Commission on Libraries and Information Science (Parts
1700 -- 1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800 -- 1899)
XX Commission on the Bicentennial of the United States Constitution
(Parts 2000 -- 2099)
XXI Commission on Fine Arts (Parts 2100 -- 2199)
XXII Christopher Columbus Quincentenary Jubilee Commission (Parts
2200 -- 2299)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400 --
2499)
19 CFR 192.4 Title 46 -- Shipping
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Maritime Administration, Department of Transportation (Parts 200
-- 399)
III Coast Guard (Great Lakes Pilotage), Department of Transportation
(Parts 400 -- 499)
IV Federal Maritime Commission (Parts 500 -- 599)
19 CFR 192.4 Title 47 -- Telecommunication
I Federal Communications Commission (Parts 0 -- 199)
II Office of Science and Technology Policy and National Security
Council (Parts 200 -- 299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300 -- 399)
19 CFR 192.4 Title 48 -- Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1 -- 99)
2 Department of Defense (Parts 200 -- 299)
3 Department of Health and Human Services (Parts 300 -- 399)
4 Department of Agriculture (Parts 400 -- 499)
5 General Services Administration (Parts 500 -- 599)
6 Department of State (Parts 600 -- 699)
7 Agency for International Development (Parts 700 -- 799)
8 Department of Veterans Affairs (Parts 800 -- 899)
9 Department of Energy (Parts 900 -- 999)
10 Department of the Treasury (Parts 1000 -- 1099)
12 Department of Transportation (Parts 1200 -- 1299)
13 Department of Commerce (Parts 1300 -- 1399)
14 Department of the Interior (Parts 1400 -- 1499)
15 Environmental Protection Agency (Parts 1500 -- 1599)
16 Office of Personnel Management Federal Employees Health Benefits
Acquisition Regulation (Parts 1600 -- 1699)
17 Office of Personnel Management (Parts 1700 -- 1799)
18 National Aeronautics and Space Administration (Parts 1800 -- 1899)
19 United States Information Agency (Parts 1900 -- 1999)
22 Small Business Administration (Parts 2200 -- 2299)
24 Department of Housing and Urban Development (Parts 2400 -- 2499)
25 National Science Foundation (Parts 2500 -- 2599)
28 Department of Justice (Parts 2800 -- 2899)
29 Department of Labor (Parts 2900 -- 2999)
34 Department of Education Acquisition Regulation (Parts 3400 --
3499)
35 Panama Canal Commission (Parts 3500 -- 3599)
44 Federal Emergency Management Agency (Parts 4400 -- 4499)
51 Department of the Army Acquisition Regulations (Parts 5100 --
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200 --
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300 -- 5399)
57 African Development Foundation (Parts 5700 -- 5799)
61 General Services Administration Board of Contract Appeals (Parts
6100 -- 6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300
-- 6399)
99 Cost Accounting Standards Board, Office of Federal Procurement
Policy, Office of Management and Budget (Parts 9900 -- 9999)
19 CFR 192.4 Title 49 -- Transportation
Subtitle A -- Office of the Secretary of Transportation (Parts 1 --
99)
Subtitle B -- Other Regulations Relating to Transportation
I Research and Special Programs Administration, Department of
Transportation (Parts 100 -- 199)
II Federal Railroad Administration, Department of Transportation
(Parts 200 -- 299)
III Federal Highway Administration, Department of Transportation
(Parts 300 -- 399)
IV Coast Guard, Department of Transportation (Parts 400 -- 499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500 -- 599)
VI Urban Mass Transportation Administration, Department of
Transportation (Parts 600 -- 699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700 --
799)
VIII National Transportation Safety Board (Parts 800 -- 899)
X Interstate Commerce Commission (Parts 1000 -- 1399)
19 CFR 192.4 Title 50 -- Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Interior
(Parts 1 -- 199)
II National Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 200 -- 299)
III International Regulatory Agencies (Fishing and Whaling) (Parts
300 -- 399)
IV Joint Regulations (United States Fish and Wildlife Service,
Department of the Interior and National Marine Fisheries Service,
National Oceanic and Atmospheric Administration, Department of
Commerce); Endangered Species Committee Regulations (Parts 400 -- 499)
V Marine Mammal Commission (Parts 500 -- 599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 600 -- 699)
19 CFR 192.4 CFR Index and Finding Aids Subject/Agency Index List
of Agency Prepared Indexes Parallel Table of Statutory Authorities and
Rules Acts Requiring Publication in the Federal Register List of CFR
Titles, Chapters, Subchapters, and Parts
19 CFR 192.4 Alphabetical List of Agencies Appearing in the CFR
CFR Title, Subtitle or
Agency
Chapter
ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Commission on Intergovernmental Relations 5, VII
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV; 48, 57
Agency for International Development 22, II; 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Cooperative State Research Service 7, XXXIV
Economic Analysis Staff 7, XXXIX
Economic Research Service 7, XXXVII
Economics Management Staff 7, XL
Energy, Office of 7, XXIX
Environmental Quality, Office of 7, XXXI
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Federal Grain Inspection Service 7, VIII
Finance and Management, Office of 7, XXX
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Economic Development Service 7, XXI
Forest Service 36, II
General Sales Manager, Office of 7, XXV
Grants and Program Systems, Office of 7, XXXII
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
International Cooperation and Development Office 7, XXII
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Operations Office 7, XXVIII
Packers and Stockyards Administration 9, II
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Secretary of Agriculture, Office of 7, Subtitle A
Soil Conservation Service 7, VI
Transportation, Office of 7, XXXIII
World Agriculture Outlook Board 7, XXXVIII
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office of the Federal
Inspector 10, XV
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arms Control and Disarmament Agency, U.S. 22, VI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assistant Secretary for Technology Policy, Department of Commerce 37,
IV
Benefits Review Board 20, VII
Bicentennial of the United States Constitution, Commission on the 45,
XX
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind and Other Severely Handicapped, Committee for Purchase from 41,
51
Board for International Broadcasting 22, XIII
Budget, Office of Management and 5, III
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Christopher Columbus Quincentenary Jubilee Commission 45, XXII
Civil Rights Commission 45, VII
Civil Rights, Office for (Education Department) 34, I
Claims Collection Standards, Federal 4, II
Coast Guard 33, I; 46, I, III; 49, IV
Commerce Department 44, IV
Census Bureau 15, I
Assistant Secretary for Technology Policy 37, IV
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Endangered Species Committee 50, IV
Export Administration Bureau 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Telecommunications and Information Administration 15, XXIII;
47, III
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, Assistant Secretary for 37,
IV
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Under Secretary for Technology 37, V
United States Travel and Tourism Administration 15, XII
Commercial Space Transportation, Office of, Department of
Transportation 14, III
Commission on the Bicentennial of the United States Constitution 45,
XX
Committee for Purchase from the Blind and Other Severely Handicapped
41, 51
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 17, I
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 16, II
Cooperative State Research Service 7, XXXIV
Copyright Office 37, II
Copyright Royalty Tribunal 37, III
Cost Accounting Standards Board, Office of Federal Procurement Policy
48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Department 32, Subtitle A
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Army Department 32, V; 33, II; 36, III, 48, 51
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 2
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 32, I
Defense Logistics Agency 32, XII
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary (Commerce) 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff, Department of Agriculture 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of
Bilingual Education and Minority Languages Affairs, Office of 34, V
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board, International Organizations 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 10, II, III, X; 41, 109
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 18, I
Energy, Office of, Department of Agriculture 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 40, I; 41, 115; 48, 15
Environmental Quality, Office of (Agriculture Department) 7, XXXI
Equal Employment Opportunity Commission 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Export Administration Bureau 15, VII
Export-Import Bank of the United States 12, IV
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Farm Credit Administration 12, VI
Farm Credit System Assistance Board 12, XIII
Farm Credit System Insurance Corporation 12, XIV
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Federal Claims Collection Standards 4, II
Federal Communications Commission 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I; 48, 44
Federal Energy Regulatory Commission 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Grain Inspection Service 7, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Finance Board 12, IX
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Inspector for the Alaska Natural Gas Transportation System,
Office of 10, XV
Federal Labor Relations Authority, and General Counsel of the Federal
Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 16, I
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Department of Agriculture 7, XXX
Fine Arts Commission 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory Agencies 50, III
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of United States 45, V
Foreign Economic Development Service 7, XXI
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II, III
General Sales Manager, Office of 7, XXV
General Services Administration
Contract Appeals Board 48, 61
Federal Acquisition Regulation 48, 5
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Property Management Regulations System 41, 101, 105
Federal Travel Regulation System 41, Subtitle F
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Reduction in Meeting and Training Allowance Payments 41, 304
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grants and Program Systems, Office of 7, XXXII
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 45, Subtitle A
Child Support Enforcement, Office of 45, III
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services Office 45, XIII
Inspector General, Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Social Security Administration 20, III; 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Government National Mortgage Association 24, III
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Inspector General, Office of 24, XII
Mortgage Insurance and Loan Programs Under Emergency Homeowners'
Relief Act 24, XV
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle B, VII
Solar Energy and Energy Conservation Bank 24, XI
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Human Development Services Office 45, XIII
Immigration and Naturalization Service 8, I
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Information Agency, United States 22, V; 48, 19
Information Resources Management, Office of, Agriculture Department
7, XXVII
Information Security Oversight Office 32, XX
Inspector General, Office of, Agriculture Department 7, XXVI
Inspector General, Office of, Health and Human Services Department
42, V
Inspector General, Office of, Housing and Urban Development
Department 24, XII
Inter-American Foundation 22, X
Intergovernmental Relations, Advisory Commission on 5, VII
Interior Department
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Land Management Bureau 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Park Service 36, I
Reclamation Bureau 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, Office of 30, VII
United States Fish and Wildlife Service 50, I, IV
Internal Revenue Service 26, I
International Boundary and Water Commission, United States and Mexico
22, XI
International Cooperation and Development Office, Department of
Agriculture 7, XXII
International Development, Agency for 22, II
International Development Cooperation Agency 22, XII
International Development, Agency for 22, II
Overseas Private Investment Corporation 22, VII
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Regulatory Agencies (Fishing and Whaling) 50, III
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 49, X
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I; 41, 128
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United States 45, V
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Pension and Welfare Benefits Administration 29, XXV
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Management and Budget, Office of 5, III; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Mortgage Insurance and Loan Programs Under the Emergency Homeowners'
Relief Act, Department of Housing and Urban Development 24, XV
National Aeronautics and Space Administration 14, V; 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 36, XII
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Credit Union Administration 12, VII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute of Standards and Technology 15, II
National Labor Relations Board 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 45, VI; 48, 25
National Security Council 32, XXI
National Security Council and Office of Science and Technology Policy
47, II
National Telecommunications and Information Administration 15, XXIII;
47, III
National Transportation Safety Board 49, VIII
Navy Department 32, VI; 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Office of Independent Counsel 28, VII
Office of Navajo and Hopi Indian Relocation 25, IV
Offices of Independent Counsel, Department of Justice 28, VI
Operations Office, Department of Agriculture 7, XXVIII
Overseas Private Investment Corporation 22, VII
Oversight Board 12, XV
Packers and Stockyards Administration 9, II
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration, Department of Labor 29,
XXV
Pension Benefit Guaranty Corporation 29, XXVI
Personnel Management, Office of 5, I; 45, VIII; 48, 17
Federal Employees Health Benefits Acquisition Regulation 48, 16
Postal Rate Commission 39, III
Postal Service, United States 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House Fellowships 1, IV
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, Assistant Secretary
(Commerce) 37, IV
Property Management Regulations System, Federal 41, Subtitle C
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation Bureau 43, I
Reduction in Meeting and Training Allowance Payments 41, 304
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Resolution Trust Corporation 12, XVI
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National Security
Council 47, II
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I; 48, 22
Smithsonian Institution 36, V
Social Security Administration 20, III; 45, IV
Soil Conservation Service 7, VI
Solar Energy and Energy Conservation Bank, Department of Housing and
Urban Development 24, XI
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Tennessee Valley Authority 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 44, IV
Coast Guard 33, I; 46, I, III; 49, IV
Commercial Space Transportation, Office of 14, III
Contract Appeals Board 48, 63
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Urban Mass Transportation Administration 49, VI
Transportation, Office of, Department of Agriculture 7, XXXIII
Travel Allowance 41, 301
Travel and Tourism Administration, United States 15, XII
Treasury Department 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision Office 12, V
United States Customs Service 19, I
Truman, Harry S. Scholarship Foundation 45, XVIII
Under Secretary for Technology, Department of Commerce 37, V
United States and Canada, International Joint Commission 22, IV
United States Arms Control and Disarmament Agency 22, VI
United States Customs Service 19, I
United States Fish and Wildlife Service 50, I, IV
United States Information Agency 22, V; 48, 19
United States International Development Cooperation Agency 22, XII
United States International Trade Commission 19, II
United States Postal Service 39, I
United States Soldiers' and Airmen's Home 5, XI
United States Trade Representative, Office of 15, XX
United States Travel and Tourism Adminstration 15, XII
Urban Mass Transportation Administration 49, VI
Veterans Affairs Department 38, I; 48, 8
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agriculture Outlook Board 7, XXXVIII
19 CFR 192.4 19 CFR (4-1-92 Edition)
19 CFR 192.4 Redesignation Tables
19 CFR 192.4
19 CFR 192.4
19 CFR 192.4 Redesignation Tables
The following redesignation tables affecting Title 19 are set forth
below as indicated:
Note: This table shows the relationship of sections in revised Part
146 to superseded Part 146 as published at 51 FR 5049, Feb. 11, 1986.
Note: This table shows the relationship of sections in revised Part
122 to superseded Part 6 as published at 53 FR 9292, Mar. 22, 1988,
effective April 21, 1988.
Note: This table shows the relationship of sections in Part 6 to
revised Part 122 as published at 53 FR 9292, Mar. 22, 1988.
Editorial Note: This listing is provided for information purposes
only.
19 CFR Ch. I (4-1-92 Edition)
Subject Index
The number preceding the decimal is the part number. The number
following the decimal is the section number. The letter ''N'' indicates
a footnote.
ABANDONED MERCHANDISE: (See Unclaimed and Abandoned Merchandise)
ABORTION
145.52
ACCOUNTS:
Bills for sums due
24.3
Overtime service, charges for
24.16
Services of officers, reimbursable
24.17
ACH: (See Automated Clearinghouse)
ACTUAL USE
10.131-10.139, 54.5-54.6
ADJUSTMENT OF DUTIES, WITHDRAWALS FROM WAREHOUSE FOR CONSUMPTION
144.38
ADMINISTRATIVE REVIEW:
Authority to review
173.1
Correction of clerical error,
mistake of fact, or inadvertence
173.4
and time limit for correction
173.4(c)
Review of entry --
Covering household and personal effects
173.5
For fraud
173.6
Reviewable transactions
173.2
Voluntary reliquidation
173.3
ADMINISTRATIVE REVIEW OF MAIL ENTRIES
145.21-145.25
ADMINISTRATIVE RULINGS:
General Ruling Procedure
Change of practice
177.10(c)
Completed transactions, not subject to
177.1(a)(2)(ii)
Current (ongoing) transactions
177.1(a)(2)(i), 177.11
Definitions
177.1(d)
Effect of
177.9, 177.10
How to submit request for
177.2
Internal advice
177.11
Oral discussions
177.4
Prospective transactions
177.1(a)(1)
Publication of decisions
177.10
Requests for advice by field offices
177.11
When requests for rulings will not be issued
177.1(a)(1), 177.1(a)(2)
Government Procurement; country-of-origin determinations
Applicability
177.21
Definitions
177.22
Country of origin advisory ruling
By whom a request is filed
177.24
Form and content of request
177.25
Issuance
177.28
Oral discussion of issues
177.27
Where request filed
177.26
Who may request
177.23
Final Determinations
Issuance of
177.28
Publication of notice of
177.29
Review of
177.30
Reexamination of
177.31
Request of
177.23
ADMINISTRATIVE DUTY EXEMPTIONS
148.12(b), 148.51
ADMINISTRATOR OR EXECUTOR:
Entry by
141.14
AD VALOREM USER FEE MERCHANDISE
24.23
ADVANCE IN VALUE -- NOTICE TO IMPORTER
152.2
ADVERTISEMENTS:
Sale of unclaimed and abandoned merchandise
127.25
Sale of seized perishable and other property
162.48
Seizure and intent to forfeit property
162.45
AGENT, DECLARATION BY, ON ENTRY
141.19
AGRICULTURAL AND VEGETABLE SEEDS:
Admittance requirements
12.16
AIRCRAFT:
Air cabotage
122.165
Arrival, advance notice of (except scheduled airlines)
122.22, 122.31
Arrival of private aircraft from south of U.S
122.25
Arriving, search of
162.5
Bonds international carrier condition
113.64
Bought in for temporary use under international traffic
10.41, Part 122
Certificate
122.94
Civil
10.183
Clearance of --
Cuba -- Entry and clearance
122.151-122.158
Contiguous country, from
122.87
Customs laws and regulations applicable
122.2, 122.30, 122.161
Definitions
122.21
Documents
122.3-122.5, 122.72-122.80
Emergency landing
122.35, 122.37
General requirements
122.41
Schedules airlines
122.63
Entry of --
Documents for
122.42
General requirements
122.2, 122.30, 122.161
Landing requirements
122.31-122.39
Scheduled airlines
122.41, 122.42
Equipment, supplies, spare parts for searches, etc. for
accidentially damaged aircraft
10.107
Fees, private aircraft
24.22(e)
Forced landing
122.35
Foreign-owned -- Brought in for temporary stay -- When entry required
10.41, 122.53
Forfeiture and sale of
162.45
Forms of documents
122.3-122.5
International airports --
Access to Customs security areas
122.14
Definition
122.1(e)
Designation of
122.11
List of
122.13
Liquor kits
122.131-122.137
Penalties --
Limitation of
122.161
Petitions, relief from penalties and forfeitures
122.161, Part 171
Smuggling, aviation
122.167
Permit to proceed, when required
122.32, 122.41
Permit to unlade or lade
122.38
Precleared
122.37
Private aircraft --
Application
122.21
Arrival of
122.23
Documents required
122.27
Entry and clearance
122.26
Landing requirements
122.24, 122.25
List of designated airports
122.24
Notice of arrival
122.22
Taken abroad by U.S. residents
122.28
Overtime service
122.29
Residue cargo
122.81-122.88
Responsibility of aircraft commander
122.36
Seized --
Appraisement of
162.43
Award or sale of
162.45-162.46
Transfer to other districts for sale
162.46
Seizure of --
When used in illegal exportation of articles
161.2
When used in or employed to aid in unlawful importation of
merchandise
122.161, 161.2, 162.22
Special license to unlade or lade
122.38
Supplies for, exempt from duty and internal-revenue tax
10.59
Supplies and equipment --
Foreign trade zone, removal from
146.42
Supplies and stores aboard arriving aircraft
122.43
Taken abroad for temporary use -- Tariff status on return
148.32
Tobacco products for use on
10.65
Transit air cargo --
Conditions for use
122.117
Documentation
122.112-122.114, 122.116
Exportation at port of arrival
122.118
Labeling of
122.115
Requirements for
122.117
Shipments to interior port
122.164
Time limits -- delivering and exportation
122.119
Transfer to another port for exportation
122.120
Virgin Islands, flight to and from
122.141-122.44
AIRCRAFT, AUTOMOBILES, AND TRAILERS STOLEN AND RETURNED FROM MEXICO
123.72
AIRMEN, RESIDENT -- REGISTRATION OF VALUABLE EFFECTS
148.1
ALCOHOL, ETHYL -- IMPORTATION FOR NON-BEVERAGE PURPOSES
10.99, 10 N 91
ALCOHOLIC BEVERAGES:
Belonging to crewmember
148.64
Imported in bottles and similar containers -- Regulations of Internal
Revenue Service applicable
11.7
Imported or destined to foreign countries via U.S. on small vessels
-- Bond for foreign landing certificate
4.13
Imported by nonresidents
148.8, 148.43
In baggage of returning residents
148.33
Mail importations of
145.54
Trade fair, entered for
147.22
Vessels not over 500 tons, on
4.13
ALLOWANCE:
Claim for moisture allowance in sugar
151.23
Duties (See Duties, allowance)
Drawback
191.4
Excessive moisture petroleum
151.46, 158.13
Losses --
Clean yield of wool and hair defined
151.6
Smelting and refining (metal-bearing materials)
19.18, 151.55
Wastage in smelting and refining
19.19
ALTERATIONS, ARTICLES EXPORTED FOR (See also Repairs)
10.8
ALUMINUM AND ALLOYS, ADDITIONAL INFORMATION REQUIRED ON INVOICE
141.89
AMERICAN FISHERIES, ENTRY OF PRODUCTS OF
10.78
AMERICAN GOODS RETURNED
10.1, 10.103, 145.35
Animals straying or driven across border
10.74
Articles assembled abroad with U.S. components
10.11-10.24
Certificate of exportation -- Form, contents, and disposition of
10.1
Cloth boards
10.5
Containers or coverings
10.3
Containers, substantial
10.3, 10.7
Declaration of --
Foreign shipper -- Form and use
10.1
Owner -- Form
10.1, 145.35
Drawback paid --
When dutiable
10.3
When not dutiable
10.3
Drums -- Drawback, amount to be paid
10.7
Entry requirements
10.1, 145.35
Government, importations by -- Procedure
10.103
Internal-revenue marks on containers, removal of
10.4
Merchandise exported from bonded manufacturing warehouse -- Duties
10.3
Motion-picture films -- Exhibited on vessels, etc., or otherwise
10.68
Shooks and staves --
Certificate of --
Boxmaker -- Form
10.6
Exportation -- Form
10.5
Theatrical Effects
10.68
Tools of Trade
10.68
AMERICAN SELLING PRICE
152.24
AMMUNITION, IMPORTS AND EXPORTS
161.2
ANIMAL & PLANT HEALTH INSPECTION SERVICE, U.S.D.A. --
Animals, domestic, and animal by-products, etc. --
Jurisdiction
12.24
Animals for export, inspection by
4.71
Animals, purebred, inspection by
10.70
Meat and meat-food products --
Exported, inspection by -- Certificate
4.61, 4.72
Imported, inspection by
12.8, 12.9
Notice of arrival of viruses, serums, and toxins to be furnished to
12.17
ANIMAL BY-PRODUCTS, FEEDING MATERIALS, ETC. -- ENTRY PROCEDURE
12.24
ANIMAL CASINGS, RELEASE OF -- RESTRICTION
12.9
ANIMAL FEEDING MATERIALS, INSPECTION
12.24
ANIMALS:
Brought in for breeding, exhibition, or competition for prizes
10.31, 10.70, 10.71, 10 N 34, 10 N 64
Domestic --
Importation procedure
12.24
Pastured or strayed abroad -- Dutiable status upon return
10.3, 10.74
Dying --
During bond period
10.39(c)
While under transportation entry
18.6
Exportation of, inspection by Department of Agriculture
4.71
Exported for exhibition, return of -- Entry requirements
10.66
Feeding and Watering of (in-transit through Canada)
123.27
Game --
Killed for noncommercial purposes
10.76
Live, for stocking purposes
10.76
Offspring of -- Foreign pasturage and strays
10.74
Purebred, Entry of
10.70, 10.71
Seizure of, when used in or employed to aid in unlawful importation
of merchandise
162.22
Straying or driven across border
10.74
Temporary importation bond
10.31, 10 N 34
Theatrical effects, as
10.33
Wild --
Exhibition, return from
10 N 62
Importation procedure
10.76, 12.26-12.28
Scientific or educational purposes, for
10.75
Zoological collection
10.75
ANTIDUMPING MATTERS
159.58
ANTIQUES
10.53
APPEALS:
Appeal by domestic interested party(ies)
Part 175
Decision of Court of International Trade
176.31
Decision of Court of Appeals for the Federal Circuit
176.31
Notice of appeal to Court of Appeals for the Federal Circuit
176.2
Request for records, from denial of
103.5-103.6
Suspension or revocation of license --
Cartage or lighterage
112.30
Customs broker's
111.75
APPORTIONMENT-ASSISTS, TRADE AGREEMENTS ACT OF 1979
152.103(e)
APPRAISEMENT:
Basis for --
Articles assembled abroad with U.S. components, exported to the U.S.
prior to July 1, 1980
10.18
Basis of appraisement, Trade Agreements Act of 1979, when
152.101
Computed value, Trade Agreements Act of 1979, when
152.106
Country of exportation
152.23
Deductive value, Trade Agreements Act of 1979, when
152.105
Definitions, Trade Agreements Act of 1979
152.102
Dutiable charges defined for articles exported to the U.S. prior to
July 1, 1980
152.1
Exportation, time of
152.1(c)
Interpretative notes, Trade Agreements Act of 1979
152.100
Property under seizure, subject to forfeiture, or prohibited
merchandise
162.43
Transaction value, Trade Agreements Act of 1979
152.103
Transaction value of identical merchandise and similar merchandise
152.104
Unacceptable bases of appraisement, Trade Agreements Act of 1979
152.108
Unclaimed and abandoned merchandise
127.23
Value if other values cannot be determined, Trade Agreements Act of
1979
152.107
Entries (Appraisement entries)
Form and procedure for
143.12-16
Liquidation of
159.9
Merchandise eligible for
143.11
Examination for --
At importer's premises
151.7
At place where assembled
151.8
At public stores
151.6, 151.7
At wharf
151.7
Cording and sealing, when required
151.7
Expenses of, when assessed
151.7(c)
Information as to values prior to appraisement --
Request of importer
152.26
Loss, theft, injury, or destruction of merchandise in public stores
158.21
Merchandise --
Entered by false documents
162.43
Produced in one country, imported from another
152.23
Protests of --
Domestic interested party(ies)
Part 175
By importer or cosignee
174.11-12
Quantities to be examined
151.2
Samples, when permitted on
151.10, 151.11
Samples from packages not designated, request for
151.11
Seized property
162.43
Time period
158.21
Unclaimed and abandoned merchandise
127.23
ARMED FORCES OF THE U.S.:
Household and personal effects
148.74
ARMS, AMMUNITION AND IMPLEMENTS OF WAR:
Controlled imports and exports -- Seizure of
161.2, 145.53
Exportation of
4.61, 4.73, 6.7, 161.2
Mail importations of
145.59
ARMY AND NAVY TRANSPORTS:
Baggage declaration and manifest
148.73
Customs supervision of
162.3
Manifest of passengers and baggage
4.5
Search of
162.3
ARRESTS, WHO MAY MAKE
162.22
ART, WORKS OF
10.34, 10.54, 10.48-10.52
ARTICLES:
Agreements in restraint of trade, imported under -- Special duties on
159.44
Assembled abroad with U.S. components (including interpretations) --
10.16
Appraisement --
Valuation of assembled articles exported to the U.S. prior to
July 1, 1980 --
Constructed value and cost production
10.18
Statutory basis other than constructed value and cost production
10.18
Valuation of exempted components
10.17
Valuation under Trade Agreements Act of 1979, transaction value
152.103(a)(3)
Assembly operations abroad
10.16
Definitions
10.12
Documents required
10.24
Fabricated components --
Subject to exemption
10.14
Not subject to exemption
10.15
Handicapped Persons
10.182
Item 807.00, TSUS
10.13
Marking
10.22
Operations incidental to assembly process
10.16(b)
Operations not incidental to assembly process
10.16(c)
Quotas, standards and visas
10.23
Substantial transformation of foreign-made articles or materials
10.14(b)
Updating cost data and other information
10.21
Bearing trade-marks or trade names
133.21-133.24
Disposition of, not properly marked
134.51-53
Exported for exhibition, return of -- Entry requirements
10.66
Exported --
For scientific, or educational purposes, return of
10.67
In violation of laws
161.2
For testing, experimental, or review purposes --
Temporary importation bond
10.31, 10 N 34
Gold or silver -- Marking, false -- Penalty
11.13, 11 N 14
Illustrators and photographers, imported by, for use solely as models
-- Temporary importation bond
10.31, 10 N 34
Of special design, for use in connection with manufacture of articles
for export -- Temporary importation bond
10.31, 10 N 34
Registration of foreign
148.1
Special marking requirements -- Exception
11.9, 11.13, 134.32-36, 134.43
Taken ashore by crew members
148.61-148.67
To be repaired, altered, or otherwise changed in condition --
Temporary importation bond
10.31, 10 N 34
ASSAYING AND SAMPLING OF METAL BEARING ORES AND OTHER METAL-BEARING
MATERIALS
151.51-55
ASSENT OF SURETIES TO EXTENSION OF TIME OF BONDS
113.44
ASSERTED LIQUIDATION
159.11
ASSIGNED ENTRY NUMBERS
142.3(a)
ASSIST-DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(a)
ATOMIC ENERGY MATERIAL, CONTROLLED IMPORTS AND EXPORTS -- SEIZURE OF
161.2
ATTORNEY, POWER OF -- SURETY
141.31, 113.37
AUCTIONEER'S CHARGES FOR SELLING MERCHANDISE
127.34
AUTOMATED CLEARINGHOUSE
24.1, 24.25
AUTOMOBILES:
Brought in by a person not a returning resident
148.45
Brought in for temporary use under international traffic
10.41
Rented abroad by returning resident and brought in for temporary use
148.39
AUTOMOBILES AND OTHER ARTICLES STOLEN IN CANADA --
Seized by Customs
171.22(c)
AUTOMOBILES -- SAFETY STANDARDS
12.80
AUTOMOBILES, MOTORCYCLES, AIRPLANES, ETC., TO TAKE PART IN RACES --
TEMPORARY IMPORTATION BOND
10.31, 10 N 34
AUTOMOBILES, TRAILERS, AND AIRCRAFT STOLEN AND RETURNED FROM MEXICO
123.72
AVAILABILITY OF INFORMATION:
Documents and records available for inspection and copying
103.11, 103.14
Documents and records exempt from disclosure
103.12
Fees
103.10
Investigatory files
103.12(g)
Personnel and medical files
103.12(f)
Privileged or confidential information-importer disclosure-penalty
103.15(a)
Public reading rooms --
Documents available for inspection and copying
103.11
List of
103.1
Release of information to foreign agencies
103.18
Request for a record --
Administrative appeal to Director, Office of Regulations & Rulings
103.7
Definition of
103.5(h)
Improper disclosure of confidential information -- penalty
103.15
Judicial review -- U.S. district court
103.9
Procedure to follow
103.5
Referral to other agencies
103.5(b)
Time extensions
103.8
Requests for records, documents and testimony by U.S. Court
103.17
Seizures and investigations pending
103.16
Vessel manifests, examination of
103.14
AVIATION SMUGGLING
122.167
AWARDS OF COMPENSATION TO INFORMERS -- CLAIMS FOR
161.11-161.15
BAD ORDER, BREAKAGE, OUTAGE, DAMAGE -- DUTY ALLOWANCE
158.21, 158.27, 158.11, 158.12
BAGGAGE:
Accompanied in transit
122.48(e), 122.101, 122.102
Alcoholic beverages --
By returning resident
148.33
By a nonresident
148.43
Antiques in
10.53
Army and Navy transports
148.73
Cigars and cigarettes
148.33, 148.43, 148.74, 148.51
Commercial travelers' samples:
Transported by automobile --
Through Canada and returned
123.51
Through U.S. and returned to Canada
123.52
Exported and returned
10.68
Under Bond
10.36
Consular officers
148.82
Contiguous country, from
123.1, 123.2, 123.61-123.65
Crews' effects
148.61-148.67
Customs officer not to unlock vehicle or compartment
123.63
Declaration --
Amendment
148.16
False statement, etc. -- Penalty
148.18, 148.19, 148.67
Form and contents
148.12, 148.13, 148.65, 148.66
Requirements
148.11-148.19
Detained if not opened by owner or agent -- Penalty
123.63(b)
Diplomatic, consular, and other official representatives
148.82, 148.87
Domestic, through contiguous foreign territory
123.51,123.52, 123.64, 123.65
Duty exemption, restrictions -- Penalty
148.18, 148.19
Examination in foreign country
148.22
Examination procedure --
Formal entry, when required
148.15, 148.23, 143.22
Inspector may pass
148.23
Invoice
148.23
Opening closed baggage
148.21
Preclearance of air travelers
148.22
Preclearance stations
148.4(c)
Reappraisement
148.24, 148.25
Receipts for duty -- Forms
148.27
Reexamination and receipt form
148.25
Exemptions allowed --
Returning resident
148.31-148.39
Nonresident
148.41-148.46
Other special
148.51-148.55
Failure to declare -- Penalty
148.18, 148.19
Foreign military personnel and immediate families
148.90
Gifts
148.33(c), 148.44
In bond --
For examination at port of destination
18.13
For exportation in transit through the U.S.
18.14, 123.64
In transit --
Through foreign territory
123.65
Through U.S.
123.64
Inspection of
162.6
Landed, undisposed of, when to be sent to general order
148.7
Liquors in -- Entry forms -- Internal-revenue tax -- Strip stamps
148.26, 148.27
List, passengers
4.7, 4.7a
Marihuana
162.61-162.66
Merchandise in
148.15
Military personnel
148.71-148.77
Narcotics and certain other drugs
162.61-162.66
Noncommercial importations of limited value
148.101-148.106
Nonresidents
148.41-148.55
Not accompanying passenger
148.6
Organization of American States, representatives of
148.87, 148.88
Permit or special license for unlading or lading
4.30
Public international organizations, representatives of
148.87
Regular entry
148.5
Release for unaccompanied shipment
148.6
Replacements
148.37
Residents, returning
148.31-148.39
Search of baggage and persons
162.6, 162.7
Seizure
162.21
Status of passengers, residents or other
148.2
Tea in
148.23(d)
Tobacco and tobacco products
148.26, 148.33(d), 148.43,148.74
Tools of trade under bond
10.36
Unaccompanied arriving by aircraft, manifesting
6.7
Unaccompanied articles --
Declaration of
148.6
Release for
148.6
Unclaimed and unaccompanied
148.7
Undeclared articles
148.18
United Nations and its specialized agencies, representatives of
148.87, 148.88
U.S. Personnel and Evacuees
148.71-148.77
Value
148.11(d), 148.24
Vessels transiting Panama
148.3
Visitors distinquished
148.2
BAGGAGE AND MERCHANDISE ON VESSELS NOT REQUIRED TO ENTER --
Report of
4.2
BAGGAGE ENTRIES, LIQUIDATION OF
159.10
BAGS OR DUNNAGE
4.39
BANKRUPT IMPORTERS:
Duties due U.S. -- Priority of claim
141.1
Refund of excessive duty
24.36
BARGES
4.81(g), 4.81
BEEF, FRESH, CHILLED OR FROZEN
10.180
BEES, HONEY -- IMPORTATION PROCEDURE
12.32
BILLS AND ACCOUNTS
24.3
BILLS OF HEALTH (PRATIQUE), PRODUCTION OF, ON ENTRY OF VESSEL
4.9(d)
BILLS OF LADING:
Bond for -- Form
113.14(o), 141.15(b)
Bond for production of
141.15
Consolidated shipments
141.54
Disposition of
141.16
Duplicate --
Bond not to be taken for
141.15
Disposition of
141.16(b)
Entry on
141.11
Extract from, entry on
141.11
Extract from, to be certified by carrier
141.11
Return of -- Receipt
141.16
Unique bill of lading
4.7a
BIRDS:
Dying while under transportation entry
18.6
Game --
Killed for noncommercial purposes
10.76
Live, for stocking purposes
10.76
Wild --
Importation procedure
10.76, 12.26-12.28
Scientific or educational purposes, for
10.75
Zoological collection
10.75
BLACK STRAP MOLASSES
10.139(b)
BLENDING OF WINES OR LIQUORS -- PERMIT REQUIREMENTS
12.37
BOARDING AND SEARCHING OF VESSELS AND VEHICLES
162.3-162.7, 4.1
BOARDING OF VESSELS OR VEHICLES:
Master's refusal to comply with lawful demand -- Penalty
4.1, 4 N 1
Master's refusal to produce manifest
4 N 15
Obstruction of officer by master -- Penalty
4 N 1
Who may board
4.1
BOARDING OF VESSELS WITHOUT PERMISSION -- PENALTY
4.1, 4 N 2
BOATS, PLEASURE, FOREIGN OWNED -- WHEN EXEMPT FROM DUTIES
148.32, 148.45, 4.94
BOATS -- SAFETY STANDARDS
12.85
BOLTING CLOTH FOR MILLING PURPOSES
10.58
BONDING AND LICENSING CUSTOMS CARTMEN
112.21-112.24
BONDS:
Agricultural and vegetable seeds
12.16
Aircraft
113.62-113.64
Alterations
113.23
Amount -- Less than $100
113.13
Approved by district directors
113.11
Approved forms, when inapplicable -- Procedure
113.14
Assent of sureties to extension of time
113.44
Attorneys in fact acting for both principal and surety
113.31
Authority to require bonds
113.0, 113.1, 113.2
Bills of lading for entry purposes -- Form
141.15
Camel's hair and carpet wool
113.68
Cancellation of
113.51, 113.55, 172.22
Cancellation or crediting -- Vessel supplies
10.64
Carnets, serves as
113.4, 114.3
Carpet wool and camel's hair
113.68
Carrier's -- Form
113.63, 127.3
Carrier's certificate and duplicate bill of lading -- Bonds not to be
taken for
141.15
Cartage contract -- Form
113.63
Cartmen's or lighterman's liability
125.35, 125.41
Cartmen's or lightermen's -- Form
112.2, 113.63
Cash deposit in lieu of surety on bond
113.40
Certificate of pure breeding -- Form -- Cancellation
10.71
Claim for seized property
162.47
Claimant of seized goods -- Form
113.72
Clearance of vessels -- Unmanifested narcotics
162.65(b), (e)
Commercial gauger
113.67
Common and contract carrier --
Application
18.1, 18 N 1, 112.12
Discontinuance of
18.1, 112.14
Form
18.1, 112.12
Liabilities under
18.8
Consignee's declaration
141.20
Consumption entry
143.3, 113.62
Containerized cargo, form
113.66
Copyright -- form
113.70
Corporation, as principals
113.33
Documents -- Extension of time to produce
113.42
Documents, free entry -- Cancellation of bond (or charge against
bond)
172.22(c)
Entry, general term -- Form
113.62
Entry and clearance of vessels on board
4.16
Entry requirements
142.4
Examination packages, release of
143.3, 113.62
Exhibition -- Form
113.62
Exhibition, works of art
10.49
Export -- Cancellation of
113.55
Exportation -- Form
18.25, 113.62
Extension of time -- Application for
113.42, 113.43, 113.44, 144.6
Foods, drugs, insecticides, etc.
12.3
Foreign merchandise destined foreign on board arriving vessels --
Form
4.88
Forms, approved, when inapplicable -- Procedure
113.14
Forwarder, freight
18.1
Gauger
113.67
General instructions
113.21-113.27
General term bond for entry of merchandise
113.62
Government importations
10.104, 141.102(d), 143.3(a)
Information required on the bond
113.21
Invoices --
Cancellation of, by 1 photocopy
141.84(e)
Production of
141.91(d)
Installment shipments, invoices covering
141.82
International carrier conditions
113.164
Laboratory, commercial
113.67
Landing certificate -- Alcoholic liquors
4.13
Landing from vessels in distress -- Customs custody
4.32
Liens in dispute
141.112(g)
Limestone for manufacture of fertilizer
10.132
Manifest
113.64
Manufacturing warehouse
19.3, 113.63
Meat and meat-food products -- Importation of
12.8
Missing documents --
Bond required for
141.66
Card index of charge prepared by importer -- Form
113.41, 113.45
Failure to produce -- Liquidated damages
113.52, 172.22, 172.23
Narcotic drug penalty, for vessel clearance
162.65
Neutrality observance -- Clearance of vessels -- Form
4.73, 113.71
Outward manifest, for
4.75, 6.8
Overtime --
Aircraft, unlading or lading of
122.38
Form
113.62-113.64
Vessels, boarding, entry or clearance of, lading, etc.
4.10, 4.30
Overtime service -- Vehicles -- Vessels less than 5 net tons
123.8
Partnership, execution by
113.32
Plants and plant products
12.12
Power of attorney, surety
113.35, 113.37
Preparation and execution of
113.21-113.27, 113.30-113.40
Proprietor's warehouse -- Form
19.2
Prosecution of
113.52
Recall of merchandise
141.113
Release of seized property
162.47, 162.49
Return to Customs custody --
Examination of merchandise at importer's premises
151.7(d), 151.8, 151.9
Failure to -- Liquidated damages
141.113, 151.11, 10.39(d)
Requirements
142.4
Rewarehouse -- When bond is not required
144.41(d)
Salt for curing fish
10.80-10.83
Seals on
113.25
Shipper's export declarations -- Form
113.64
Simultaneous vessel transactions
4.90
Summary forfeiture, to stop
162.47
Supplies for vessels
10.60, 10.59
Sureties on --
Assent for extension of period
113.44
Cash deposit accepted in lieu of, application of, or default
113.40
Corporation
113.33
Delinquent
113.38
Individual
113.35
Married women
113.35(b)(2)
Partners
113.36
Principals cannot act as
113.31
U.S. bonds and notes in lieu of
113.40
U.S. obligations accepted in lieu of
113.40
Tea importations
12.33
Temporary importations
10.31, 10.37, 10.104, 113.62
Unfair practices in import trade
12.39, 113.62
Vehicle -- Form
113.62-113.64
Vessel -- Form
113.62-113.64
Vessels owned by the U.S., to unlade or lade, not required
4.30(j)
Warehouse entry --
Form
144.13, 144.14, 63
Liability under
144.2
Warehouse proprietor's
113.63
Withdrawals from warehouse, conditionally free
113.63
Wool, carpet, and camel's hair -- Form
113.68
Wools, etc., for floor coverings, etc., entry or withdrawal -- Form
-- Penalty
10.91, 10.92, 10 N 82, 10 N 5
BOOKS, (See Prohibited or restricted merchandise)
BOOKS, ENGRAVINGS, ETC. -- FOR THE U.S. CONDITIONALLY FREE
10.46, 145.37
BOOKS, IN PACKAGES FOR LIBRARY OF CONGRESS, CONDITIONALLY FREE
10.46, 145.37
BOOKS AND OTHER ARTICLES -- FOR INSTITUTIONS, CONDITIONALLY FREE
145.36
BOTANY AND ZOOLOGY SPECIMENS FOR EXHIBITION
10.47
BOUNDARY LINE OF U.S., MERCHANDISE FOUND IN BUILDINGS ON OR NEAR
123.71
BOUNTIES -- COUNTERVAILING DUTIES
159.47
BREEDING ANIMALS
10.31, 10 N 34, 10.70, 10.71
BRIBERY OF CUSTOMS OFFICERS -- PROSECUTION
161.4
BRIX VALUES -- FRUIT JUICES
151.91
BUILDINGS, SEARCH OF:
On international boundary line
123.71
Warrants -- Restrictions
162.11-162.15
BULK CARGO -- CORRECTION OF MANIFEST
4.12
BULLETIN NOTICE OF LIQUIDATION
159.9, 159.10
BUNKER FUEL, STORES, AND EQUIPMENT -- TRANSFER OF
4.39, 4 N 75
BUSSES:
Brought in for temporary use under international traffic
10.41
Domestic, repaired abroad
123.17
Foreign-owned -- Brought in for hire
10.41
Taken abroad for temporary use
123.16
CAMEL'S HAIR AND CARPET WOOL -- BOND
113.68
CAMEL'S HAIR, FOR FLOOR COVERINGS, ETC. -- CONDITIONALLY FREE
10.91, 10.97
CANADA, ARTICLES STOLEN IN -- SEIZED BY CUSTOMS
171.22(c)
CANADA, COMMERCIAL ARTICLES THROUGH
123, 51, 123.52
CANADA, U.S. CUSTOMS OFFICES IN
101.5
CANADA, U.S.-FREE TRADE AGREEMENT
10.301-10.311
CANADIAN ARTICLE -- AUTOMOTIVE PRODUCTS
10.84
CANADIAN CRUDE PETROLEUM
10.179
CANCELLATION:
Bonds
113.51, 113.55, 172.21, 172.22, 172.31, 10.39
Liquidated damages
172.21, 172.22, 172.31
Penalty and forfeiture claims
171.31
CARGO:
Bonded --
Carried coastwise, report of vessel
4.81
Not sealed, allowed to proceed, when
18.4
Bulk --
Discharge of, outside port of entry
4.35
For orders -- Amendment of manifest
4.36
Coastwise -- Vessels touching at foreign port
4.82
Discharge of, time limit and compensation of discharging officer
4.36, 122.36, 24.17
Entry of, from wrecked vessels
4.41
Foreign -- Destined to foreign countries via U.S. port --
Bond for foreign landing certificate
4.88
Inaccessible
4.34
Inward, accounting for
4.61, 4.62
Landing from vessels in distress -- Customs custody
4.32
Narcotic drugs or marihuana contained in
162.61-162.65
Overage of manifested quantity
4.12, 122.49
Overcarried
4.34
Permit or special license for unlading or lading -- Form
4.30, 122.38
Prematurely discharged
4.34
Recovered from sunk or wrecked vessel or as derelict -- Disposition
of -- Dutiable status
4.41, 4 N 76, 4 N 78
Release of -- Permits
4.38
Residue
4.85, 4.86, 4.88, 4.90, 122.81
Short of manifested quantity
4.12
Transit Air (See Aircraft)
Transshipment --
Casualty
4.31
Procedure
4.91
Undelivered, return from foreign destination of
4.34
Unentered, when to be sent to general order warehouse
4.37
Unique bill of lading
4.7a
Unladen or transshipped on account of unavoidable cause
4.31
Vessel --
In trade with noncontiguous territory
4.84
Proceeding foreign via domestic ports
4.87
Trading between U.S. ports on Great Lakes and other U.S. ports
4.83
Wrecked or dismantled, disposition of
4.40
CARGO CONTAINER CERTIFICATION
Part 115
CARIBBEAN BASIN INITIATIVE
10.191-10.198
CARNETS:
Approval of issuing and guaranteeing associations
114.11, 114.12
Bond
114.3
Definitions
114.1
Destruction, loss, or theft of carnet document
114.25
Discharge of
114.26
Entry document
114.3
Fraud, violation, or abuse of privileges
114.33
Liquidated damages
114.33, 114.34
Merchandise covered by
114.22
Restrictions -- mail importations, temporary importations and
transportation in bond
114.31
Use and area of validity
114.3
CARPET WOOL AND CAMEL'S HAIR -- BOND
113.68
CARRIAGE OF U.S. SECURITIES, ETC.
4.61, 4 N 97
CARRIER'S BOND
113.63
CARRIER'S CERTIFICATE:
Bond for, not to be taken
141.15
Disposition of
141.16
Entry on
141.11
CARRIER'S RELEASE OF MERCHANDISE
141.111
CARTAGE:
Appraisement entries -- Additional expense payable by importer
143.11-143.16
Discrepancies
125.34
Government -- Contract requirements
125.1, 125.11
Importer's --
Failure to designate
125.23
Procedure
125.1, 125.22
Marking of vehicles, lighters, etc.
112.27
Marking, removal of -- Liquidated damages
112.27
Supervision of
125.2, 125.24
CARTAGE AND LIGHTERAGE
112.1, 112.2, 112.21-112.49,125.36
CARTAGE CONTRACT BOND -- FORM
113.63
CARTAGE TICKETS -- FORM -- DISPOSITION
125.31-125.34
CARTMEN:
Accidents to be reported to district director
125.35
Bonding and licensing of
112.2, 112.21-112.25, 112.28,112.30
Designation of, by importer on entry and permit
125.22
Designation of, on warehouse entry
144.11(b)
Identification cards for employees of
112.41-112.46
Liability for loss or damage to merchandise
125.35, 125.41
License or identification card, production of
112.28
Receipt for merchandise delivered to -- Form
125.31-125.33
Suspension or revocation of licenses of
112.30
Undeliverable merchandise
125.36
CASH DEPOSIT IN LIEU OF SURETY:
Temporary importation bond --
Amount of
10.31
Refund of
10.40
CASH DEPOSIT IN LIEU OF SURETY ON BOND
113.40
CASUALTY, LOSS, AND THEFT OF MERCHANDISE
158.21-158.27
CASUALTY -- VESSEL -- UNLADING OR TRANSSHIPMENT AT OTHER THAN PORT OF
ENTRY
4.31
CATALOGS OF SALES OF MERCHANDISE
127.26
CATTLE:
Dying while under bond -- Duty allowance
18.6
Immediate transportation restrictions
18.11
Importation restrictions
12.24
Straying or driven across boundary
10.74
CAUSTIC SUBSTANCES -- IMPORTATION PROCEDURE
12.1-12.5
CERTIFICATE FOR LIQUOR SHIPMENTS ON SMALL VESSELS -- PENALTY
4.13, 4 N 25
CERTIFICATE OF DELIVERY:
Drawback
191.65
Institutions, articles for, conditionally free
10.44
CERTIFICATE OF EXPORTATION:
American goods returned
10.1
Waiver of
10.1
CERTIFICATE OF IMPORTATION, DRAWBACK
191.65
CERTIFICATE OF LANDING AIRCRAFT
6.16
CERTIFICATE OF ORIGIN:
Foreign -- Merchandise not produced by convict, forced, or indentured
labor, when required
12.44
Merchandise from --
American Samoa
7.8, 145.42, 148.110-148.116
Guam
7.8, 145.42, 148.110-148.116
Kingman Reef
7.8
Midway Islands
7.8
Virgin Islands
7.8, 145.42, 148.110-148.116
Wake Island
7.8
CERTIFICATE OF PEDIGREE -- ANIMALS FOR PURE BREEDING --
Bond
10.70, 10.71
CERTIFICATE OF REGISTRATION:
Automobiles, etc., taken abroad temporarily
148.32
Commercial traveler's samples taken abroad
10.68, 10.69
Exports for repairs or alterations -- Form -- Waiver of
10.8
Moving-picture films taken abroad
10.68
Theatrical effects taken abroad
10.68
CERTIFICATE OF TONNAGE TAX OR LIGHT MONEY PAYMENT -- FORM
4.23
CHANGE OF PRACTICE
177.10(c)
CHARGES; CARTAGE, STORAGE, AND LABOR; ADDITIONAL, BORNE BY IMPORTER
ON APPRAISEMENT ENTRY
143.14
CHARGES, DUTIABLE AND NONDUTIABLE FOR ARTICLES EXPORTED TO THE U.S.
PRIOR TO JULY 1, 1980, DEFINITIONS
152.1
CHATTEL MORTGAGE CONTRACT, PROPERTY COVERED BY -- SEIZED -- PETITION
171.13
CHECKS:
Acceptable in payment of duties, when
24.1
Mailed to other than payee -- Authority -- Form
24.36
CHEMICALS, TOXIC SUBSTANCES
12.118-12.127
CIGARETTE PAPERS AND TUBES, STAMPING OF
11.3
CIGAR MANUFACTURING WAREHOUSES
19.16
CIGARS, CIGARETTES, AND MANUFACTURED TOBACCO
11.1, 11.2, 11.2a, 151.111
For consumption on vessel or aircraft
10.65
In passengers' baggage
148.33, 148.43, 148.51, 148.74
In mail
145.13
CITIZEN OF U.S. -- PRESUMED TO BE A RESIDENT
148.2
CITIZENS DYING ABROAD, EFFECTS OF
143.21, 148.54
CIVIL AIRCRAFT
10.183
CLAIMS:
Compensation to informers
161.11-161.15
Compromise of
161.5
Damage to or loss of privately-owned property caused by customs
employees
24.71
Death benefits
24.32
Deceased importers, payment due
24.70
Deceased or incompetent public contractors, payment due
24.70
In favor of U.S., payment by set-off
24.72
Miscellaneous
24.73
Personal injury
24.71
Seized property
162.47
Surplus proceeds of sale of unclaimed merchandise
127.36
Unpaid salary and other moneys due deceased employees
24.32
CLASSIFICATION: (See also Appraisement and Administrative Rulings)
Applicable rates of duty
152.11, 152.12
Change in rate of duty by --
Headquarters decisions --
Current (ongoing) transactions
177.10
Petitions, Domestic interested party(ies), etc.
175.22
Prospective transactions
177.10
Protests
174.27, 174.29, 174.32
Judicial decisions
152.16
Law
152.17
Notice of district director to increase duties
152.2
Presidential proclamation
152.17
Commingling of merchandise
152.13
Merchandise from --
Canal Zone
7 N 1
Designated beneficiary developing countries (GSP)
10.171-10.178
Guantanamo Bay Naval Station
7.11
Insular possessions
7.8
Reimported merchandise
141.2, 10.1, 10.11
Rewarehouse entries
144.41
CLEAN AIR ACT
12.73
CLEARANCE AND ENTRY ON BOARD VESSELS, APPLICATION FOR -- BOND FORM
4.16
CLEARANCE OF AIRCRAFT
Documents for
122.71-122.72
General requirements
122.61-122.65
Scheduled airlines
122.63
CLEARANCE OF VESSELS:
At other than port of entry, expenses
24.17, 101.4
Canal Zone, to
4.60
Coastwise --
Requirements
4.81, 4.83, 4.84
To or from Great Lakes ports -- Via Hudson River
4.83
Via St. Lawrence River
4.83
Coastwise and foreign trade combined
4.89
Common carrier may be refused
162.22(c)
Crew list
4.61, 4.68
Documentation required
4.61, 4.64
Foreign and coastwise trade combined
4.89
Foreign vessels proceeding coastwise, when permitted
4.80, 4.81
Livestock, carrying -- Exportation of animals -- Inspection
4.61, 4.71
Manifests, outward foreign, and bond for
4.63, 4.75
Maritime administration -- Exemption from liabilities
166.22(e)
Meat Inspection certificate requirements
4.61, 4.72
Nationality and tonnage, verification of
4.61, 4.65
Neutrality observance -- Bond
4.61, 4.73
Not required, when
4.60
Pratique
4.70
Proceeding foreign via domestic ports
4.87
Records
4.95
Requirements
4.60, 4.61, 4.64
Seamen's act
4.61, 4.69
Shipping articles
4.61, 4.69
Withheld until --
Compliance with State inspection laws
4.61, 4 N 94
Federal and State fees are paid
4.61, 4 N 100
Narcotic drug penalty paid
162.65(e)
Reimbursable expenses paid
4.36
CLEARANCE OF VESSELS TO CLOSED PORTS OR PLACES
4.61, 4.67
CLERICAL ERROR: SEE ADMINISTRATIVE REVIEW
CLOSED PORTS OR PLACES
4.61, 4.67
CLOTH:
Boards
10.5, 10 N 5
Bolting for milling purposes
10.58
COAL TAR PRODUCTS -- APPRAISEMENT OF (SEE BENZENOID CHEMICALS):
COASTWISE MOVEMENTS:
Entry and clearance of vessels
4.81-4.89
Foreign vessels -- Restrictions
4.80, 4.81
COASTWISE TRADE:
Break in continuity
4.80(b)
Empty vans, tanks, and barges, etc.
4.93(a)(1), 4.93(a)(2)
Foreign vessels -- Restrictions
4.80, 4.80a
Intent
4.80(b)
Limited to American vessels
4.80
New and different product
4.80(b)
Privileges reciprocal, nations granting
4.93(b)(1), 4.93(b)(2)
Vessels entitled to engage in
4.80
Vessels touching at foreign port, while in
4.82, 4.90
COFFEE -- PUERTO RICO, SHIPPED TO, FROM U.S.
7.1(c)
COINS:
Counterfeit -- Prohibited importation
12.48
Illustrations of, when permitted entry
12.48
COLLECTIONS:
Accounts due, receipt for payment of
24.3
Customs, persons authorized to receive
24.2
COMMERCIAL GAUGERS
151.13
COMMERCIAL LABORATORIES
151.13
COMMERCIAL INVOICES, WHEN NOT REQUIRED
141.83(c)
COMMERCIAL TRAVELERS' SAMPLES:
Accompanied through Canada and return
123.52
Accompanied through U.S. and return to Canada
123.51
Exported and returned
10.68, 10.69
Temporary importation bond
10.31, 10 N 34, 10.36
COMMINGLING OF GOODS:
Assessment at higher rate
152.13
When imported by U.S. Government and covering American goods returned
and other duty-free items
10.103(b)
COMMISSION-DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(b)
COMMON CARRIER:
Bonded
18.1, 113.14(b)
Bonding of, authorized
18 N 1
Bonds, discontinued use of
112.14
Clearance may be refused
162.22(c)
Receipt for merchandise transported in bond
18.2
Sealing of conveyances, etc.
18.4
Transshipment of merchandise
18.3
Warning cards to be attached to doors of car, etc. -- Form
18.4
COMPENSATION:
Overtime
24.16
Reimbursable
101.4, 4.35, 19.5, 24.17, 134.55, 141.86(f), 151.5, 151.7(c)
Reimbursable and not reimbursable -- Full charge made if services are
not clearly segregated
24.17
COMPROMISE OF CLAIMS
161.5
COMPUTED VALUE
152.106
CONCENTRATED FRUIT JUICES -- BRIX VALUES
151.91
CONDEMNED MERCHANDISE -- ALLOWANCE IN DUTY
158.14
CONDITIONAL SALE, PROPERTY SOLD ON -- SEIZED FROM PURCHASER --
PETITION FOR RESTORATION
171.13
CONSIGNEE:
Liability for additional or increased duties
141.20
Nonresident, entry of merchandise by
141.17
Notice of sale of unclaimed goods to be sent to
127.24
Refusal of merchandise by, to be treated as unclaimed
141.1(f)
CONSOLIDATED SHIPMENTS, ENTRY OF
141.52, 141.54
CONSOLIDATION OF SHIPMENTS, IMMEDIATE TRANSPORTATION ENTRY, ON
18.11
CONSULAR OFFICERS:
Baggage
148.82
Free entry privilege
148.82, 148.85
CONTAINER, CARGO, CERTIFICATION
Part 115
CONTAINERS, INSTRUMENTS OF INTERNATIONAL TRAFFIC
10.41(a)
CONTAINERS, SUBSTANTIAL
10.3, 10.7
CONTAINER STATIONS, Establishment of; fee
19.40(b)
CONTAINERS OR COVERINGS:
American manufacture, returned as
10.3
In manufacturing warehouse, disposition of
19.15
CONTAINERS FOR COMPRESSED GASES, AND OTHER CONTAINERS OF MERCHANDISE
--
Temporary importation bond
10.31, 10 N 34
CONTIGUOUS COUNTRY:
Importations from
123.1, 123.3, 123.7, 123.51, 123.52, 148.35(a)
In transit through, between U.S. ports
18.14, 123.51, 123.65, 123.21-123.29
In transit through U.S.
123.52, 123.64, 123.31-123.34
Report of arrival from
123.1, 123.5
Vehicles and vessels arriving from
123.1-123.5
CONTINUOUS CUSTOMS CUSTODY, DEFINITION
191.133
CONTRACTORS, DECEASED OR INCOMPETENT, CLAIMS FOR PAYMENT DUE
24.70
CONTRACTS, CARTAGE AND LIGHTERAGE
125.11
CONTRARY TO LAW, IMPORTING MERCHANDISE
162.22, 161.3, 145.4, 12.97
CONTROL, EXPORT
192
CONTROLLED SUBSTANCES
162.45, 162.45a
CONTROLLED EXPORTS, IMPORTS, SEIZURE OF
161.2
CONVERSION OF CURRENCY:
Date of exportation, definition
152.1(c), 159.32
Rates of exchange
159.31-159.38
CONVEYANCES:
Seizure of, when used in or employed to aid in unlawful importation
-- of merchandise
162.22
CONVICT, FORCED, OR INDENTURED LABOR -- MERCHANDISE PRODUCED BY --
IMPORTATION PROHIBITED
12.42-12.45
COPIES OF RECORDS, WHEN IMPORTERS MAY MAKE
103.4
COPPER-BEARING FLUXING MATERIAL, ENTRY REQUIREMENTS
10.98
COPPER-METAL-BEARING MATERIALS, SMELTING AND REFINING -- ALLOWANCE
FOR LOSS
19.18, 151.55
COPYRIGHT, MAIL IMPORTATIONS MARKED FOR
145.37
COPYRIGHTED ARTICLES
133.31-133.47
CORN OR MAIZE SEED -- REDUCED RATE
10.57
CORPORATIONS:
Bonds, execution by
113.33
Sureties on bonds
113.37
CORROSIVE SUBSTANCES -- IMPORTATION PROCEDURE
12.1-12.5
COST OF PRODUCTION:
Definition and when to be shown on invoice
141.88
Valuation of articles assembled abroad
10.18, 10.19
COTTON:
Commercial travelers' samples of
10.68
Examination and measurement
151.81-151.85
COUNTERFEIT COINS, OBLIGATIONS, AND SECURITIES -- IMPORTATION
PROHIBITED
12.48
COUNTERVAILING DUTIES:
District director, action by
159.58
COUNTRY OF ORIGIN:
Definitions
134.1
Marking requirements
134.11-134.14, 134.21, 134.41-134.47
COUNTRY OF ORIGIN DETERMINATIONS; GOVERNMENT PROCUREMENT
177.21-177.31
COURTESY NOTICE -- LIQUIDATION
159.9, 159.11-159.12
COURT SUBPOENA FOR CUSTOMS DOCUMENTS
103.17, 176.11
CREAM AND MILK, IMPORTATION OF, SPECIAL REQUIREMENTS
12.7
CREW LIST -- VESSELS, WITH ENTRY OF
4 N 19
CREW OF VESSELS:
Crew list --
Deposit of, on entry of American vessel --
4.68, 4 N 19
Presentation of -- Form
4.61, 4.68
Declaration of articles unladen by, when required
148.62
CREWS, ARTICLES ACQUIRED BY, LISTED AS SEA STORES -- FORM
4.7
CREW'S EFFECTS
148.63
CUBA, ENTRY AND CLEARANCE OF AIRCRAFT
122.151-122.158
CUBAN CIGARS OR CIGARILLOS
151.111
CULTURAL PROPERTY
12.104-12.104i
CURRENCY CONVERSION:
Date of exportation, Definition
152.1(c), 159.32
Rates of exchange
159.31-159.38
CUSTOMS BROKERS:
Definitions
111.1
Diligence in correspondence and payment monies
111.29
Duties and responsibilities
111.21-111.45
Fees
111.96
License or Permit --
Application for -- Investigation and examination
111.11-111.15
Appeal from the Secretary's decision revoking or suspending
111.75
Cancellation of
111.51
Employment of broker who has lost
111.79
For more than one Customs district
111.19
Issuance or denial of
111.13, 111.15-111.18
Reprimands
111.78
Required
111.2
Revocation, cancellation or suspension of
111.50, 111.81
When not required
111.3
Monetary penalty
111.74, 111.91-111.95
Permit (see License or permit)
Records
111.21-111.27
Representation before Government agencies
111.4
CUSTOMS COLLECTIONS, PERSONS AUTHORIZED TO RECEIVE
24.2
CUSTOMS COURT:
Documents and other evidence, produced for
103.17, 176.11
Reliquidation under decision of
176.31
CUSTOMS CUSTODY:
Continuous, merchandise exported from
18.25, 191.131
CUSTOMS EMPLOYEES:
Death -- Claim for unpaid salary and other moneys due
24.32
Identification cards
101.8
Information, giving out
103.0, 103.12
Prohibitions against
4.101
CUSTOMS FEES -- (SEE FEES)
CUSTOMS FORMS:
Reproduction or substitution
4.99, 122.5
Salable
24.14
CUSTOMS INSPECTION STAMPS -- CIGARS, ETC., IMPORTED IN MAILS
11.2(b), 145.13
CUSTOMS, LIST OF --
Offices in foreign countries
101.5
Regions, districts and ports
101.3
Stations
101.4
CUSTOMS OFFICERS:
Accepting money from informers' awards
161.11
Baggage, not to open
123.63
Boarding or search by
162.1a-162.14, 123.71
Bribery of -- Prosecution
161.4
Compensation for service --
Required in the discharge of cargo after time limit
4.36, 4 N 69, 24.17
When assigned on board a vessel or vehicle --
Proceeding between ports
24.17
To protect the revenue
4.36, 24.17
Foods, drugs, etc., duties of, relative to
12.1
Identification cards
101.8
Marking, supervision of, by -- Compensation
134.55
Prohibitions against
4.101
Search and seizure by
162.1a-162.14, 162.21-162.22
Supervision by
161.1
CUSTOMS OFFICES (U.S.) -- IN FOREIGN COUNTRIES
101.5
CUSTOMS SEAL -- IMPRESSION
101.7
CUSTOM SEALS:
Penalty for breaking
18.4
Procuring and accounting
24.13
Removal of -- By carrier
18.3(d)
When required
18.4
CUSTOMS SECURITY AREAS, ACCESS TO
122.14
CUSTOMS STATIONS, PORTS, DISTRICTS, AND REGIONS, ETC
101.3, 101.4
CUSTOMS SUPERVISION
18.7, 161.1
DAMAGED MERCHANDISE -- DUTY ALLOWANCE
158.21-158.30, 158.11-158.14
DANGEROUS AND HIGHLY INFLAMMABLE MERCHANDISE, RESTRICTIONS ON --
WAREHOUSING
144.1(a)
DATE OF ENTRY, DEFINITION
141.68
DATE OF IMPORTATION, DEFINITION
101.1(g)
DEATHS OF CUSTOMS EMPLOYEES -- CLAIM FOR UNPAID SALARY AND OTHER
MONEYS DUE
24.32
DEBTS DUE U.S. -- DUTIES, COLLECTION OF
141.1, 141.3
DECISIONS AFFECTING RATE OF DUTY
152.16, 152.17, 174.27, 174.29, 175.22, 177.10
DECLARATION OF USE -- VESSEL SUPPLIES
10.64
DECLARATIONS:
Agent's, on entry
141.19(b)
American goods returned
10.103, 145.35
Department of Defense transports -- Baggage
148.73
Baggage --
Articles not declared or false statement -- Penalty
148.18, 148.19, 148.67
Requirements
148.11-148.17, 148.65, 148.66
Bond for production of consignee's
141.19
Books, periodicals, etc.
141.19(c)
Consignee to make, on entry
141.19
Crew
148.62, 148.66
Household effects used abroad -- Form -- Bond for
148.52
Mail shipments
145.11
Match importations
12.34
Motor vehicles and motor vehicle equipment
12.80
Oral
148.12
Owner's declaration, production of by nominal consignee
141.20
Tools of trade -- Form
148.53
DEDUCTIVE VALUE
152.105
DEFENSE PRODUCTION ACT OF 1950 -- TRANSPORTATION ORDERS
4.74
DEFICIENCIES IN CONTENTS OF PACKAGES
158.5
DEFICIT IN DUTY AFTER APPLYING PROCEEDS OF SALE
127.37
DEFINITIONS:
Actual use
10.132
Agent
122.1, 141.19(b)(1)
Aircraft
122.1
Aircraft commander
122.1
American fishery
10.78
American selling price
152.24
Assists
152.102(a)(1)
Barges, Lash-Types
4.81(g), 4.81a
Canadian article
10.84
Charges (liens)
141.112
Charges, dutiable and nondutiable for articles exported to the U.S.
prior to July 1, 1980
152.20
Clean pound (wool and hair)
151.61
Clean yield (wool and hair)
151.61
Commercial aircraft
122.1
Commission
152.102(b)
Common carrier
18.1
Continuous Customs custody
191.133
Convention vessel
4.96
Cosmetic
12.1
Cost of production
141.88
Country (market)
134.11
Country of origin for marking purposes
134.1
Current (ongoing) transactions
177.1(d)(3)
Customs (collection) district, limits of
4.6, 101.1
Customs supervision
161.1
Dangerous caustic or corrosive substances
12.1
Date --
Entry
141.68
Exportation
152.1
Importation
101.1(h)
Landing
158.14
Liquidation
159.9, 159.10, 174.12
Direct cost of processing operations (GSP)
10.178(a)
District director
101.1, 174.1
Documented
4.0(c)
Domestic interested party(ies)
175.3
Domestic value (seized property)
162.43
Drug
12.1
Duties
101.1(i)
Entered for consumption
141.0a(f)
Entered for warehouse
141.0a(g)
Entry for temporary inspection bond
141.0a(h)
Entry
141.0a(a)
Entry summary
141.0a(b)
Export Control
192
Exportation
101.1(k)
Exportation, country of
152.23
Express consignment carriers
128.1
Filing
141.0a(d)
Fishing
4.96
Food
12.1
Forced labor
12 N 29
Foreign origin
134.1(c)
Formal entry (explained)
142.1
Freight
141.112
Fur product
11.12a
Furniture
10 N 50
Further review
174.1
General average
141.112
Generally accepted accounting principles
152.102(c)
General sample (wool and hair)
151.61(d)
Government cartage
125.1
Holiday (overtime)
24.16
Household effects
148.52
Hovering vessel
4 N 3
Identical merchandise
152.102(d)
Imported directly (GSP)
10.175
Importer
101.1(l)
Importer's cartage
125.1
Information letter
177.1(d)(2)
International aircraft
122.1
Landing rights airport
122.1
Lash-type barges
4.81(g)
Letter class mail
145.1(b)
Limits of any Customs district
4.6(b)
Liquidation
159.1
Locomotives or other railroad equipment, domestic and foreign
123.12(d)
Mail article
141.1(a)
Meat and meat-food products
12 N 7
Night (overtime)
24.16
Noncontiguous territory
4.0
Nonconvention --
Cargo vessel
4.96
Fishing vessel
4.96
Nonresidents
148.2
Package
145.1
Packing costs
152.102(e)
Passenger
4.50
Permitted merchandise
158.1
Piratical copies
133.42
Polariscope, testing by the
151.21
Port of entry
101.1(l)
Preclearance
122.1
Pre-Columbian monumental and architectural sculpture and murals
12.105
Presentation
141.0a(e)
Price paid or payable
152.102(f)
Produced in beneficiary developing country
10.177(a)
Prospective transaction
177.1(d)(3)
Public aircraft
122.1
Public store
19 N 1
Quotas
132.1
Records
162.1a(a)
Regalia
10 N 39
Related persons
152.102(g)
Request for record
103.6(c)
Residents
148.2
Residue cargo
122.1
Ruling
177.1(d)(1)
Same class or kind
152.102(h)
Sampling unit (wool and hair)
151.61(c)
Sculpture
10 N 43
Sealed letter class mail
145.1(c)
Shook
10.5
Similar merchandise
152.102(i)
Sketch
10 N 43
Staple length (cotton)
151.81
Statuary
10 N 43
Submission
141.0a(c)
Summons
162.1a(c)
Switchblade knife
12.95(a)
Sugar degree
151.21
Technical data
162.1a(d)
Third party recordkeeper
162.1a(b)
Tonnage years
4.20
Total sugars
151.21
Ultimate purchaser (marking)
134.1(d)
U.S. (American fisheries)
10.78
Values
152.21, 152.100
Vessel
4.0
Vessel of the U.S.
4.0
White phosphorus
12 N 21
Wood cuts
10 N 43
Wool product
11.12
DEMAND FOR RETURN TO CUSTOMS CUSTODY -- FORM
141.113
DENATURING OF VEGETABLE OILS
10.56
DEPARTURE BEFORE REPORT OF VESSEL OR VEHICLE -- PENALTY
4.6, 4 N 13
DERELICTS -- VESSELS, REPORT OF ARRIVAL
4.2(d)
DESCRIPTIVE LIST OF THEATRICAL EFFECTS, FILMS, AND TRAVELERS' SAMPLES
TAKEN ABROAD AND RETURNED
10.68, 10.69
DESIGNATION OF EXAMINATION PACKAGES
151.1-151.12
DESIGNATION OF EXAMINATION PACKAGES, INFORMATION AS TO RESTRICTED
151.4-151.5
DESTRUCTION:
Abondoned merchandise subject to sale -- Application -- Form
158.43, 158.44
Articles subject to internal revenue tax
127.28(e)(g)
In lieu of payment of duty on merchandise in bond
158.43
Merchandise -- Expenses of supervision of
24.17(c)
Rejected merchandise --
Food and drug products
159.55
Plants and plant products -- Refund of duty
12.15
Viruses, serums, toxins, etc.
12.20-12.23
Seizure
162.46(d), 162.50(c)
DETENTION, VESSEL OR VEHICLE
162.22
DIPLOMATIC AND CONSULAR OFFICERS -- FREE ENTRY PRIVILEGE
148.82, 148.85
DISCLOSURE OF INFORMATION
103.0-103.17
DISCLOSURE, PRIOR, PENALTIES
162.74
DISMANTLED VESSELS, TREATMENT OF CARGO AND STORES
4.40, 4.41
DISPOSITION OF GOODS AFTER SUMMARY FORFEITURE
162.46
DISTILLED SPIRITS, BOTTLES AND SIMILAR CONTAINERS, IMPORTED: IN --
Regulations of Internal Revenue Service applicable
11.7
DISTILLED SPIRITS, WINES, AND MALT LIQUORS:
Marking requirements
11.6
Summary forfeiture
162.46(e)
DISTRICT, CUSTOMS
101.3
DIVERSIONS:
Bonded merchandise
18.5
Vessel, while en route
4.91
Vessel or cargo, emergency
4.33
Vessel supplies
10.63
DOCK PASSES
4.1
DOCUMENTED, DEFINITION
4.0(c)
DOCUMENTS:
Availability of
103.7, 171.23
Extension of time to produce
113.43
Free entry, cancellation of bond (or charge against bond)
172.22(c)
Missing -- Bond for
141.66
Official, charge for copies of
103.10
Time for production of missing documents
113.42, 113.43
Waiver of requirement for -- Effect on liability
113.53
DOMESTIC CONTAINERS RETURNED -- PROCEDURE
10.7
DOMESTIC INTERESTED PARTY(IES), APPEALS AND PROTESTS BY --
Petitions --
Contents
175.12
Court decision, procedure following
175.31
Decision, procedure following
175.22-175.24
Public inspection
175.21
Published notice of filing
175.21
When and how filed
175.11
Requests for classification, appraised value and rate of duty
175.1-175.2
DRAWBACK:
Abstract of manufacturer's records
191.22
Agency
191.34
Aircraft, exported under own power
191.67
Aircraft, supplies for
191.91-191.94, 191.141
Alcohol, articles manufactured from domestic tax-paid
191.81-191.86
Allowance
191.4
Allowance, Meats cured with imported salt
191.101
Amendment of entries
191.64
Amendment of notices of exportation
191.56
Amendment of rate
191.25
American goods returned -- Dutiability
10.3
Amount payable
191.71
Ascertainment of
191.71, 191.138, 191.139
Authority of the Commissioner of Customs
191.1
Certificates of delivery of imported merchandise
191.65
Certificates of manufacture and delivery, and extracts thereof
191.66
Complementary records, when impracticable for manufacturer to keep
required records of information
191.22(d)
Continuous Customs custody merchandise
191.131-191.139
Declaration of lading supplies for vessels and aircraft -- Form
191.91-191.94
Definitions
191.2
Designation of imported merchandise -- Substitution
191.32
Distilled Spirits, wines or beers which are unmerchantable, etc.
Refund of taxes
191.151
Procedure
191.152
Documentation
191.153
Returned to Customs custody
191.154
Exportation by mail
191.155
Destruction of merchandise
191.156
Liquidation
191.157
Time limit for exportation or destruction
191.158
Documents, powers of attorney required for signing of
191.6
Documents required to complete claim
Certificate of delivery -- Form
191.65
Certificate of manufacture -- Form
191.61-191.64
Landing certificate
191.67
Notice of exportation -- Form
191.51-191.53
Notice of lading
191.91-191.94
Duties paid to Puerto Rico, drawback on
191.12
Entries --
Amendment of
191.64
Documents required
191.61-191.64
Liquidation of
191.71, 191.138, 191.139
Suspension of liquidation until rate established
191.22
Time limit for filing
191.61-191.64
Entry and certificate of manufacture
191.61-191.64
Examination of merchandise
191.57
Exportation, notice of
191.51-191.55
Flavoring extracts manufactured from domestic tax-paid alcohol
191.81-191.86
Falsification of drawback claims
191.9
General Drawback Contracts --
Applicability
191.41
Procedure
191.42
Acknowledgment
191.43
Termination or renewal
191.44
Payment
191.45
Guam
7.8, 191.81, 191.131
Guantanamo Bay Naval Station
191.13, 191.131
Government exportations
191.55
Identification of imported merchandise
191.22, 191.23
Import entries, charges against for
191.71
Import entries, liquidation
191.71, 191.138, 191.139
Importer on consumption entries
191.65
Importer on warehouse entries
191.65
Internal revenue tax --
Alcohol, articles made with use of
191.81-191.86
Shipments to Guam, Panama, Puerto Rico, Samoa and Virgin Islands
191.81
Landing certificates
191.67
Liquidation of duties
191.71, 191.138, 191.139
Liquidation of entries, bulletin notice of
159.9
Liquidation of import entries necessary prior to allowance of
191.71, 191.138, 191.139
Mail exportations
191.54
Materials for construction and equipment of vessels and aircraft --
Allowance
191.111
Procedure
191.112
Explanation of terms
191.113
Meats cured with imported salt
191.101-191.103
Medical preparations manufactured from domestic tax-paid alcohol
191.81-191.86
Merchandise not conforming to sample or specifications or shipped
without the consent of the consignee
191.142
Merchandise shipped to U.S. possessions
7.8, 191.13, 191.81, 191.131
Merchandise sold to U.S. Government
191.11-191.12
Multiple products
191.33
Notice of exportation --
Amendment of
191.56
Certification by district director
191.51-191.53
Form
191.51-191.53
Government shipments
191.55
Mail shipments
191.54
Numbering
191.51-191.53
Time of filing, limitations as to
191.51-191.53
Notice of lading -- Supplies for vessels or aircraft
191.91-191.94
Payee
191.71, 191.73
Powers of attorney
191.6
Proposal --
Proper applicant
191.21(a)
Sample
191.21(c)
Subcontractors
191.21(a)(2)
Protests
191.7
Quantities of merchandise, ascertainment of
191.22
Rate, application for -- establishment of
191.22
Record of, on import entries
191.71
Records, manufacturers'
191.22, 191.23
Rejected merchandise
191.142, 191.165
Renewal of rate
191.22
Salt used for curing meats
191.101-191.103
Samoa
7.8, 191.81, 191.131
Statement of manufacturer (basis for rate)
191.22
Supplemental statements and schedules, manufacturer
191.22
Supplies for vessels and aircraft
191.91-191.94
Time for completion of claim
191.61-191.64, 191.67
Time limitations
191.8
Toilet preparations manufactured from domestic tax-paid alcohol
191.81-191.86
Two or more products, distribution
191.71
U.S. possessions, applicability on shipments to
7.8, 191.81, 191.131
Verification of drawback claims
191.10
Vessels --
Documents required to complete claim
191.62(d)
Examination of materials used on prior to sailing
191.21-191.26
Material for original construction and equipment
191.4
Supplies for
191.91-191.94
Virgin Islands, shipments to
7.8, 191.81, 191.131
Wastes, valuable
191.21-191.26
DRUGS, ETC. -- IMPORTATION PROCEDURE
12.1-12.5
DRUMS:
Domestic manufacture returned
10.7
Duty to be collected in lieu of drawback paid, amount of
10.7
Foreign manufacture exported and returned
10.7
DUMPING DUTIES
159.41, 159.58
DUNNAGE
4.14, 4.39
DUTIABLE CONTENTS METAL BEARING MATERIALS
19 N 23, 19.9, 151.55
DUTIES:
Abandoned merchandise -- Refund
158.41-158.45
Accrue, when
141.1
Additional --
Antiques
159.45
Articles not legally marked
159.46, 134.2
Discrimination by foreign country
159.42
Dumping
159.41, 159.58
Foreign export duties, etc., contingent upon
159.44
Allowance --
Casualty, loss, or theft while in Customs custody
158.21-158.30
Damaged or defective merchandise
158.11-158.14
Destroyed, abandoned, or exported merchandise
158.41-158.45
Excessive moisture, etc.
158.13, 151.46
Merchandise lost, stolen, destroyed, injured, abandoned, or
shortshipped
159.8
Natural force or leakage
158.7
Nonimportation
158.11
Perishable and condemned merchandise
158.11, 158.14
Shortages, lost or missing packages
158.3
Warehoused merchandise
144.3, 144.4
Bill to importer for increased or additional -- Form
24.11
Change in rates
152.16, 152.17, 175.22, 177.10
Checks receivable in payment of
24.1
Computation of
159.1, 159.3, 159.4, 159.6, 141.104
Consignee's liability for
141.19, 141.20
Corn or maize seed, reduced rate
10.57
Countervailing
159.47
Cows for dairy purposes -- Reduced rate
10.73
Death of importer
141.1
Deficit after applying proceeds of sale
127.37
Difference between liquidated and estimated duties
159.6
Dumping
159.58
Effective date
141.1
Erroneous construction of law or regulation --
Importer's liability
141.1
Estimated --
Depositing of
141.101-141.105, 143.2
On entries
141.90
Raw sugar
151.22
Warehouse entries, on
144.12
Flat rate
148.102
Government importations
10.103, 10.104, 141.102(d)
Importations having a value not exceeding $5
10.151
Importer's liability as a personal debt
141.1
Increased (possible)
143.3, 141.105, 152.2
Insolvency of importer
141.1
Insufficient proceeds of sale
127.37
Liability for
162.80
Liability for -- Warehouse merchandise
144.2, 144.3
Lien on merchandise
141.1(d)
Limestone for manufacture of fertilizer, conditionally free
10.132
Manipulated merchandise -- Basis of assessment
19 N 15
Marking, assessment of
134.2, 159.46
Noncommercial importations of limited value
148.101-148.106
Patna rice, conditionally free
10.132
Personal debt
141.1(b)
Potatoes, seed -- Reduced rate of duty
10.57
Priority of Government claim for
141.1(c)
Protest of payment of
174.11, 145.22
Rates of informal mail entry
145.12
Rates of, to be noted on invoice
141.90
Receipt for, baggage declarations -- Forms
148.27
Receipts for formal or appraisement entries -- Form
24.3
Refund of --
Costs and interests not allowable
24 N 6
Court order, suits to restrain
24 N 6
Exportation of merchandise from Customs custody
158.45
Reliquidation, refunds
24.36, 176.31
To whom payable
24.36
Salt for curing fish -- Conditionally free
10.80-10.83
Seized merchandise
148.18, 148.19
Seizure or Penalty -- Collection of
148.19, 162.79(b)
Smuggled articles
148.18(a)
Special, on articles imported under agreements in restraint of trade
159.44
States not exempt from payment of
141.1(a)
Supplies for vessels exempt from
10.59
Wool and hair products after determining clean content
151.65
Wool or hair withdrawn for and not used in floor coverings, etc.
10.97
DUTY-PAID GOODS IN PUBLIC STORES OR BONDED WAREHOUSE UNDELIVERED --
DISPOSITION OF
127.14
EDUCATIONAL PURPOSES, ARTICLES FOR
10.67
EFFECTS OF CITIZENS DYING ABROAD
148.54
EFFECTS, PERSONAL AND HOUSEHOLD:
Military, Civilian employees of U.S. and evacuees
148.71-148.77
Noncommercial importations of limited value
148.101-148.106
Nonresidents
148.41-148.46
Returning residents
148.31-148.39
Repairs or alterations
148.31(b)
EGGS AND PLUMAGE OF WILD BIRDS, IMPORTATION -- RESTRICTIONS
12.29
ELECTRONIC PRODUCTS
12.90, 12.91
EMERGENCY -- DIVERSION OF CARGO
4.33
EMERGENCY LANDING, AIRCRAFT
122.35
EMERGENCY PURCHASES OF WAR MATERIAL ABROAD
10.102(b)
EMERGENT TEMPORARY USE OF FIRE-FIGHTING, RESCUE AND RELIEF EQUIPMENT
AND SUPPLIES
10.107, 10 N 99
EMISSION STANDARDS
12.73
ENGRAVINGS, BOOKS, ETC. -- U.S. AGENCIES, CONDITIONALLY FREE
10.46, 145.37
ENGRAVINGS, DEFINITION
10 N 43
ENGRAVINGS -- FREE ENTRY, EVIDENCE REQUIRED
10.48
ENTRIES:
Filing of -- When
141.4, 141.5
Form of
141.61
Gauging, measuring, or weighing order when noted on
141.86(f)
Requirements on
141.61-141.68
Shipments arriving on one vessel or vehicle consigned to one
consignee -- Separate, when
141.51, 141.52
Signing of
141.61(b)
ENTRY AND CLEARANCE, AIRCRAFT
122.41, 122.42, 122.62, 122.64, 122.79
ENTRY AND CLEARANCE, CUBA
122.151-122.158
ENTRY AND CLEARANCE ON BOARD VESSELS, APPLICATION FOR --
Bond -- Form
4.16
ENTRY AND CLEARANCE -- VESSELS, WHO MAY MAKE
4.9, 4 N 10
ENTRY DOCUMENT -- CARNET
114.3
ENTRY -- GIFTS, NOT EXCEEDING $50 IN VALUE -- NO ENTRY REQUIRED
10.152
ENTRY OF MERCHANDISE:
Abandoned or destroyed goods -- Duty allowance
158.41-158.44
Actual owner's declaration -- superseding bond
141.20
Administrator or executor may make
141.14
Agent of consignee may make
141.19(b)
Applicable rate of duty
141.69
Appraisement entries --
Form and procedure
143.11-143.16
Liquidation of
159.9
Warehouse entries may be substituted for
143.16
Arrival as condition for
141.63, 141.68
Auditory or visual materials
10.121
Automated broker interface (ABI)
143.1-143.8
Automobiles -- safety standards
12.80
Baggage --
Declaration and baggage entries -- Forms
148.6, 148.11-148.17
Formal entry, when not required
148.23(c), 143.21
Liquidation of, entries
159.10
Baggage not declared penalty
148.18
Bills of lading
191.136, 141.11
Boats -- safety standards
12.85
Bond for production of bill of lading
141.15
Bonded cartman or lighterman to be designated on warehouse entry
144.11
Bonded merchandise, cartman to be designated by importer
125.22
Caribbean Basin Initiative
10.191-10.198
Commercial invoices, when and when not required
141.91, 141.92, 141.81-141.83
Condemned perishable goods -- Duty allowance
158.14
Conditionally free, cancellation of bond
172.22
Consignee
141.19, 141.20, 101.1, 141.14
Consolidated shipments
141.52-141.54, 141.61(d)(2)
Damaged goods, duty allowance
158.11, 158.12, 158.14, 158.21-158.27
Declarations required on entry
141.19, 141.20
Derelict merchandise, ships' stores, equipment, etc.
4.40, 4.41
Discrepancy between shipment and invoice -- Liquidation
152.3
Duty liability
141.1-141.3
Entered for consumption
141.0a(f)
Entered for warehouse
141.0a(g)
Entered for temporary importation bond
141.0a(h)
Entire consignment, when to be covered by one entry
141.51, 141.52
Estimated duties to be deposited by importer
143.28, 143.15, 143.3, 141.101-141.105
Estimation of duties on entries
141.90
Entry -- definition
141.0a(a)
Entry documentation --
Assigned entry numbers
142.3a
Bond requirements
142.4
Examination
142.7
Failure to file timely
142.8
Invoice requirements
142.6
Required
142.3
Time for filing
142.2
Entry -- rate of duty
141.69
Entry summary --
Definition
141.0a(b)
Delinquent payment
142.14
Electronic entry/entry summary
143.31-143.39
Failure to file timely
142.15
Form
142.11, 142.16
Mandatory filing
142.13
Multiple entries
142.17
Preliminary review
141.63
Single for one transportation entry
141.56
Statistics
141.61(e)
Entry -- time of
141.68
Evidence of right to make
141.11
Excessive moisture and other impurities -- Duty allowance
158.13
Exportation, direct
18.25
Exported under lease and returned
10.108
Express consignment carriers
128.1 et seq.
Extracts from invoices for use in
141.84
Filing --
Definition
141.0a(d)
Time and place of
141.62
Foreign corporation may make -- Special requirements
141.18
Formal
145.12, 143.22
Free under executive order. (Public international organizations)
148.87, 148.88
Immediate delivery, articles for
142.1-142.7
Immediate delivery, articles for U.S. Government
10.100-10.104
Immediate transportation without appraisement entries
18.11, 18.12, 151.9
Imports from --
Guantanamo Bay Naval Station
7.11
Insular Possessions
7.8
Incomplete invoices
141.86-141.89
Informal entries --
Information to be shown on -- Form
141.82, 143.21-143.28
Liquidation of
159.10
Institutions, articles for
10.43, 10.44, 10.47, 10.49, 10.52, 145.36
Instruments and apparatus for educational and scientific institutions
10.114
Intransit through U.S.
18.20-18.24
Invoices:
Commercial or special -- Failure to produce, liquidated damages
172.22, 172.33
Installment shipments
141.82
Requirements and exceptions
141.81-141.92
Liability of consignee for duty
141.19, 141.20, 101.1
Library of Congress, articles for
10.46, 145.37
Liens
141.112
Limited to ports of entry and customs stations
101.1
Liquidation of entries
159.9, 159.10
Mail entries liquidation of
159.10
Mail importations --
Over $250 in value
145.12
Under $250 in value
145.12, 145.35, 145.41
Making entry
141.61-141.69
Manifest used as an entry for unconditionally free merchandise valued
not over $250
123.7
Motor vehicles -- safety standards
12.80
Motor vehicles and engines -- Clean Air Act
12.73
Noncommercial importations of limited value
148.101-148.106
Nonresident consignee may make -- Bond requirements
141.17
Not specified on invoice
152.3
Packed packages
141.52
Passengers baggage
148.4-148.27
Possession, when evidence of ownership for entry purposes
141.12
Powers of attorney
141.31, 141.39, 141.46, 174.3
Preliminary examination of entry papers
141.63
Preparation and form of entries
141.61-141.68
Pro forma invoice, use of
141.91, 141.82, 141.84
Rate of duty applicable
141.69
Receiver may make
141.14
Reliquidation of entries upon protest
176.31, 174.26, 174.29, 175.22, 152.16, 173.2
Repairs and equipment obtained abroad for vessels
4.14
Required, when and when not
141.4, 10.151, 10.152, 148.62(b), 148.85-148.88
Rewarehouse entries --
Combined rewarehouse and withdrawal for consumption
144.42
General provisions
144.34(b), 144.41
Samples, taking of, prior to
151.3-151.5
Shipments arriving on one vessel or vehicle consigned to one
consignee, separate entries -- When
141.51, 141.52
Shortages -- Duty allowance
158.2-158.6
Special invoices, when and when not required
141.91, 141.83
Submission -- definition
141.0a(c)
Supplies for aircraft or vessels withdrawn from warehouse --
Cancellation of bonds
10.64
Form and procedure
10.60
Permit for delivery
10.61
Temporary importation bond entries -- Form and contents
10.31
Temporary removal and return to port before customs release
141.69
Time within which entry must be made
141.5
Trade-mark or trade names, goods bearing
133.21-133.24
Transportation and exportation entries
144.37
Transportation entries, classes of
18.10
Unclaimed merchandise
127.11
Unclaimed merchandise, entry before sale
127.14
Unfair competition, exclusion -- Entry under bond
12.39
U.S., articles for
10.46, 141.102(d), 145.37, 10.100-10.104
Value to be shown by importer
141.90(c)
Value when not in excess of $5
10.151
Visual or auditory materials
10.121
Warehouse entries --
General provisions
144.1-144.15
Making entry
141.11-141.68, 144.11-144.15
Warehouse withdrawals --
Consumption
144.38
Exportation
144.37
Transportation
144.22, 144.23, 144.36
When and by whom to be made
141.4
When and when not required
141.4, 10.151, 10.152, 148.62(b), 148.85-148.88
Who may make
141.11-141.20
Wrecked or abandoned at sea
141.13
ENTRY OF VESSELS:
American
4.9
At customhouse, when not required
4 N 5
At other than port of entry, expenses
101.4
Coastwise --
Requirements
4.81, 4.83, 4.84
Via Hudson River
4.83
Via St. Lawrence River
4.83
Coastwise and foreign trade combined
4.89
Contiguous country, vessels arriving from -- Report required
123.1, 123.34
Failure to make -- Penalty
4 N 3
Foreign
4.9
Formal -- Oath -- Form
4.9
Preliminary -- Certification -- Form
4.8
Records
4.95
Repairs and equipment obtained abroad
4.14
When required
4.3
Who may make
4.9, 4 N 10
Yachts, when not required
4.94
EQUIPMENT AND REPAIRS:
American vessels abroad
4.14
Election to proceed
162.72(a)
EQUIPMENT AND STORES OF VESSELS:
Landing of -- Entry, when required,
4.39, 4 N 58
Retention on board
4 N 58
EQUIPMENT AND SUPPLIES:
Aircraft searches, fire-fighting, rescue and relief
10.107,10 N 99
Withdrawal for vessels
10.59
EQUIPMENT, ETC., FROM WRECKED OR DISMANTLED VESSELS
4.40
ERRONEOUS CONSTRUCTION OF LAW OR REGULATION, LIABILITY FOR DUTIES
141.1
ERRORS, CORRECTION OF, ON LIQUIDATION OR RELIQUIDATION OF ENTRIES
173.1-173.6
ESTABLISHED AND UNIFORM PRACTICE
177.10(c)
ESTATES OF DECEDENTS, LIABILITY FOR DUTY
141.1
ETCHINGS, DEFINITION
10 N 43
ETHYL ALCOHOL -- IMPORTATION FOR NON-BEVERAGE PURPOSES
10.99
EXAMINATION OF IMPORTER AND OTHERS
162.2
EXAMINATION OF MERCHANDISE:
Additional packages, requisition for -- Form
141.113, 151.11
Altars, etc., to be set up
151.8
Baggage in foreign countries
148.22
Cotton
151.81-151.85
Crew effects
148.62-148.67
Designation of packages
151.1-151.11
Expenses of outside examination
151.7
Immediate transportation entries
151.9
Importer's premises --
Bond for return to Customs custody
151.7
Cording and sealing of packages required
151.7
Machinery, etc., to be set up
151.8
Mail importations
145.2, 145.4
On vessels and vehicles
162.3
Outside of public stores
151.7
Petroleum products
151.42, 151.43
Prior to entry, inspection charges
151.5
Sugar, sirups, and molasses
151.21-151.31
Tobacco, Cuban leaf -- Examiners
151.111
Wool and hair
151.61-151.76
EXAMINATION OF PERSONS AND BAGGAGE
162.3-162.7
EXAMINATION OF WOOL AND HAIR BY IMPORTER
151.67
EXAMINATION PACKAGES:
Cargage of, to importer's premises or elsewhere
125.11-125.14
Designation of
151.1-151.11
EXCESSIVE MOISTURE AND OTHER IMPURITIES -- DUTY ALLOWANCE
158.13
EXECUTOR:
Entry by
141.14
Liability of Estate for debts due the U.S.
141.1
EXEMPTION:
Allowed nonresidents
148.41-148.46
Allowed returning residents
148.31-148.39
Other
148.51-148.55
EXEMPTION, FALSE CLAIM, FAILURE TO DECLARE PENALTY
148.18, 148.19
EXHIBITION BOND -- FORM
113.14(l)
EXHIBITION, RETURN OF ARTICLES EXPORTED FOR
10.66
EXHIBITION, WORKS OF ART, AND OTHER ARTICLES:
Entry
10.49
Transfer to other institution
10.49
EXPENSES:
Examination of merchandise outside public stores
151.7
General expenses and profit
152.105(e), 152.106(c)
Seizure and forfeiture payment of
162.51
For services rendered
24.17
EXPLOSIVE SUBSTANCES:
Exportation of, on arrival
18.25
Sale of unclaimed
127.22
Warehousing of, prohibited
141.1, 18.25(e)
EXPORT BONDS, CANCELLATION OF
113.55
EXPORT CONTROL:
Definition
192.1
Liability of carriers
192.4
Penalties
192.3
Requirements for exportations
192.2
EXPORT DECLARATIONS:
Failure to file on time
4 N 107
Filing of
4.61, 4.63, 4.75, 122.76
Incomplete -- Bond
4.75
Vessel, proceeding foreign via domestic ports
4.87
EXPORT PERMIT -- TOBACCO SEEDS AND PLANTS
4 N 99
EXPORTATION:
Arms and munitions
4.61, 4.73, 161.2
Articles --
Repaired abroad, to be
10.8
Scientific or educational purposes, return of
10.67
Atomic energy material, equipment, and devices
161.2
Bond -- Cancellation of requirement for
113.55
Bonds -- Form
18.25, 113.14(i)
Cancellation of bond to produce export declaration
172.22, 113.53
Continuous Customs custody
158.45, 191.133
Customs supervision
18.7
Date of, for conversion of currency
159.32
Drawback on merchandise exported via ports outside continental U.S.
191.51-191.57
Entered merchandise in Customs Custody -- Liquidated and unliquidated
entries
158.45
Expenses of
24.17
Helium gas
161.2
In bond -- Indirect
18.26
Limitation of time for
18.24, 18 N 9
Mail, dutiable articles by -- Waiver of right to withdraw
145.71, 145.40
Manufacturing warehouse products
19.15
Marihuana
162.61
Merchandise --
Denied admission by a Government agency
18.25, 18.26
Drawback, rejected merchandise
191.142
Received under warehouse withdrawal for transportation
144.36(h)
Unclaimed, restrictions
127.14
Unentered
18.25, 18.26, 148.45
Unliquidated consumption entry
18.25, 18.26
Munitions of war
161.2
Narcotics and certain other drugs -- Requirements -- Penalties
12.36, 161.2, 162.61, 162.63
Port of, final
123.28
Rejected merchandise --
Food and drug products
12.4
General provisions
158.45
Plants and plant products, refund of duty
12.15
Viruses, serums, and toxins
12.20, 12.23
Seizure of articles and transporting vessel, vehicle or aircraft
161.2(b)
Temporary importation bond entries
10.38, 10.39
Time of, to be used in appraising
152.1(c)
Tobacco products for consumption on vessel or aircraft deemed to be
10.65, 10 N 59
Unlawful relanding of exported merchandise -- Penalty
18 N 10
Used self-propelled vehicles
192.1 et seq.
Warehouse, withdrawals for
144.37
Wild animals, birds, etc., when prohibited
12.27
EXPORTS, CONTROLLED -- SEIZURE OF
161.2(b)
EXPRESS CONSIGNMENT CARRIERS
128.1 et seq.
EXTENSION OF TIME -- LIQUIDATION
159.12
FAILURE TO DECLARE ARTICLES IN BAGGAGE -- PENALTY
148.18
FAMILY GROUP, BAGGAGE DECLARATIONS
148.14, 148.34, 148.103
FATS, INEDIBLE -- EXPORTATION OF
4.61, 4.72
FEES:
Ad valorem merchandise
24.23
Clearance of vessel withheld until payment of
4 N 100
Commercial truck
24.22(c)
Commercial vessel
24.22(b)
Container Station, establishment of
19.40(b)
Customs brokers
111.96
Dutiable mail
24.22(f)
Establishment of a Customs bonded warehouse
19.2, 19.5, 19.13
Freedom of Information Act
Part 103
Harbor maintenance
24.24
Issuance of a customhouse broker's license
111.12, 111.19
Issuance of a Customs cartage or lighterage license
112.22
Navigational
4.98
Patent infringement information
24.12
Passengers abroad vesels or aircraft
24.22(g)
Private vessel/aircraft
24.22(e)
Railroad car
24.22(d)
Recording --
Copyright
133.33, 133.31-133.37
Trademark
133.3-133.7
Tradename
133.13
Storage in Government buildings
24.12
Tonnage
4.20
Vessels, entrance and clearance, when exempt
4 N 7, 4 N 8, 4 N 91
FERRY BOATS, ENTRY REQUIREMENTS
4 N 7
FILMS:
Exhibited on vessels
10.68
Motion picture, return of -- Domestic or foreign origin
10.68
When prohibited
12.41
FINAL PORT OF EXPORTATION IN CROSSING CONTIGUOUS FOREIGN TERRITORY
123.28
FINES, PENALTIES, AND FORFEITURES:
(See also Penalties)
Importations contrary to law
161.2(b), 162.22
Notice of, to offender
162.31
Prior disclosure
162.74
Remission or mitigation of
162.31, 171.11, 171.21, 171.33
FIREARMS, MAIL IMPORTATIONS
145.53, 145.59
FIRE FIGHTING, RESCUE AND RELIEF EQUIPMENT FOR EMERGENT TEMPORARY USE
10.107, 10 N 99
FISH, SALT FOR CURING
10.80-10.83
FISHERIES, AMERICAN:
Definition
10.78, 10 N 72
Entry products of
10.78
Limited to American vessels
4.96
Products of -- Definition
10.78
Products of -- Proof required
10 N 72
FISHING VESSELS TOUCHING AND TRADING AT FOREIGN PLACES -- PERMIT FORM
4.15
FLAT GLASS, WEIGHING OF
151.101-151.104
FLAT RATE OF DUTY
148.102
FLIES, ARTIFICIAL, ENTRY PROCEDURE
12.29
FLUXING MATERIAL, ENTRY REQUIREMENTS
10.98
FOODS, IMPORTATION PROCEDURE
12.1-12.5
FOOTWEAR, APPLICATION OF AMERICAN SELLING PRICE
152.24
FORCED LABOR, MERCHANDISE PRODUCED BY
12.42-12.45
FORCED LANDING, AIRCRAFT
122.35
FORCED OR INDENTURED LABOR, MERCHANDISE PRODUCED BY, IMPORTATION
PERMITTED, WHEN REQUIRED
12 N 29
FOREIGN CERTIFICATE OF INSPECTION, MATCH IMPORTATIONS
12.34
FOREIGN CERTIFICATE OF ORIGIN, MERCHANDISE NOT PRODUCED BY CONVICT,
FORCED, OR INDENTURED LABOR, WHEN
12.43, 12.44
FOREIGN CONSULS, REGISTERS, WRONGFUL DELIVERY BY -- PENALTY
4 N 21
FOREIGN CORPORATION, ENTRY OF MERCHANDISE BY
141.18
FOREIGN INLAND FREIGHT
152.103(a)(5)
FOREIGN MILITARY PERSONNEL AND IMMEDIATE FAMILIES
148.90
FOREIGN REPRESENTATIVES:
Diplomatic pouches, bags and mail
145.38, 148.83, 145.2
Free entry privilege
141.81, 148.82, 148.85, 148.89
Mail for
145.2
FOREIGN TRADE ZONES:
Application, zone, who may file
146.9, 146.32
Carriers, use of zone by
146.12
Customs, control of merchandise in
146.51
Expenses, reimbursement of
146.5
Merchandise --
Admission of, procedure for
146.10, 146.31-146.40
Appraisement and tariff classification of
146.65
Destruction of
146.52
Exhibition of
146.52
Exportation of, direct
146.67
Manipulation of
146.52
Manufacture of
146.52
Permitted in a zone
146.31
Sending of into Customs territory
146.61-146.68
Transfer of to another zone
146.66
Transportation of to a zone
146.11
With Zone status of --
Nonprivileged domestic
146.43
Nonprivileged foreign
146.42
Privileged domestic
146.43
Privileged foreign
146.41, 146.52, 146.65
Zone restricted
146.44
Penalties
146.81
Revocation of zone grant
146.83
Suspension
146.82
Supplies, equipment, and repair material for vessels or aircraft
146.69
FOREIGN VESSELS, BOARDING OR SEARCH
162.3
FORFEITURES:
Actions for -- Property valued in excess of $10,000
162.32
Appraisement of merchandise subject to forfeiture
162.43
Controlled substances, narcotics and marihuana
162.61
Compromise of claims
161.5
Destruction of, in lieu of sale
162.46, 162.50(c)
Disposition of goods summarily forfeited
162.46
Erroneous claim for -- Cancellation of
171.31
Expenses of seizure and forfeiture
162.51
Importations contrary to law
162.22, 161.3
Notice of, to offender and prepenalty notice
162.31, 171.12
Passengers baggage
148.18
Prior disclosure
162.74
Prohibited importation of immoral articles
12.40-12.42
Release of, upon payment of appraised value
162.44
Remission or mitigation of, by district director, when
171.21, 171.22, 171.33
Remission or mitigation of -- Petitions
162.31, 162.32, 171.11-171.33
Reports to U.S. Attorney -- When
required
161.3, 162.32(b), 162.47(d), 162.49
Sale of
162.45, 162.46, 162.48, 162.50, 162.51, 162.52
Seizure of property subject to
162.11-162.22, 122.161, 148.18, 148.19
Smuggling or other fraudulent acts
161.2, 161.3
Summary -- Disposition of goods
162.46, 162.48
Value not exceeding $10,000
162.45, 162.46, 162.48
Value not exceeding $10,000 -- Filing of claim and bond to stop
summary forfeiture proceedings
162.47
FORMS:
Reproduction or substitution
4.99, 122.5
Salable
24.14
FORMULAS, DENATURING VEGETABLE OILS
10.56
FORWARDER, FREIGHT, BONDED
18.1
FREEDOM OF INFORMATION ACT
103.0-103.17
FRESH FRUITS AND VEGETABLES FROM CANADA AND MEXICO -- SPECIAL PERMIT
FOR IMMEDIATE DELIVERY
142.2(b)
FRUIT BOXES, SHOOKS, DUTIABLE STATUS
10.5
FRUIT, CONDEMNED
158.14
FRUIT JUICES -- BRIX VALUES
151.91
FUR PRODUCTS:
Definition
11.12a
Labeling of
11.12a
FURS AND FUR SKINS
10.77, 12.61-12.63
FURTHER PROCESSING-VALUATION
Deductive value
152.105(i)
GAME ANIMALS AND BIRDS:
Killed for noncommercial purposes
10.76
Live, for stocking purposes
10.76
GAUGERS, COMMERCIAL
151.13
GAUGING:
Ethyl alcohol
10.99
Liquors --
Bulk
11.6
Dutiable and taxable quantities
159.21
Molasses and sirups
151.28
Petroleum products
151.41-151.55
Warehoused goods for exportation or transportation
144.37
GENERAL AVERAGE LIENS
141.112
GENERALIZED SYSTEM OF PREFERENCES:
Bond, release under
10.173(a)(3)
Certificate of origin
10.173
Costs or value of materials produced in the beneficiary developing
country --
Determination of
10.177(c)
Produced in the beneficiary developing country, defined
10.177(a)
When origin is questionable
10.177(b)
Country, defined
10.171(b), 10.176(a)
Country of origin --
Criteria
10.176
Evidence of -- certification of origin --
Shipments valued at $250 or less
10.173(b)
Shipments vadued in excess of $250
10.173(a)
Waiver of certificate of origin
10.173(a)(5)
Direct cost of processing operations --
Defined
10.178(a)
Items included in
10.178(a)
Items not included in
10.178(b)
Direct shipment --
Evidence of --
Documents required
10.174(a)
Waiver of
10.174(b)
Imported directly, defined
10.175
Informal entry of
143.23(g)
Personal or household -- waiver of certificate of
origin
10.173(a)(5)(i)
GENERALLY ACCEPTED ACCOUNTING PRINCIPLES -- DEFINED, TRADE AGREEMENTS
ACT, 1979
152.102(c)
GENERAL ORDER:
Baggage
4.37, 148.7
Defined
127.4
Merchandise --
Immediate transportation entry, forwarding under
18.11
Period, how calculated
4.37
When to be sent
4.37
Period of, defined
127.4
Weighing merchandise before deposit in warehouse
4.37
Withdrawal from general order for entry or exportation
127.2
Withdrawal of less than single lot
127.2
GIFTS:
Baggage in
148.33(c), 148.44
Bona fide, not exceeding $50 in value
10.152, 145.32
Flat rate of duty for noncommercial importations of limited value
148.101-148.106
GLOVES, KNIT WOOL, SUBJECT TO AMERICAN SELLING PRICE
152.24
GOBELIN TAPESTRIES
10.54
GOLD ARTICLES, FALSE MARKING OF -- PENALTY
11.13
GOVERNMENT, IMPORTATIONS LIQUIDATION
10.104, 141.102(d)
GOVERNMENT PROCUREMENT; COUNTRY OF ORIGIN DETERMINATIONS
177.21-177.31
GOVERNMENT VESSELS:
Baggage
148.72
Manifest of passengers and baggage
4.5
GREAT LAKES, U.S. PORTS ON -- VESSELS TRADING BETWEEN SUCH PORTS AND
OTHER PORTS OF U.S.
4.83
GUAM:
Customs administration of
7 N 5
Exports to -- Drawback
7.8, 191.81, 191.131
Imports from
7.8
Not within Customs territory of U.S.
7 N 5
Unaccompanied shipments from
148.110-148.116
GUANO BROUGHT IN VESSELS ENGAGED IN COASTWIDE TRADE
4.84
GUANTANAMO BAY NAVAL STATION:
Drawback, foreign territory for
191.13, 191.131
Importations from
7.11
GUNPOWDER, EXPORTATION OF, ON ARRIVAL
18.25
HAIR OF CAMEL:
Consumption entry, conditionally free
10.91, 10.97
Warehoused and withdrawn conditionally free, entry requirements
10.91, 10.97
HANDICAPPED PERSONS, ARTICLES FOR
10.182
HARBOR MAINTENANCE FEE
24.24
HEADQUARTERS PORTS, LIST OF
101.3
HELIUM GAS, CONTROLLED EXPORTS -- SEIZURE OF
161.2
HOLIDAYS:
Definition
24.16
National, list of
101.6
HONEY BEES AND SEMEN
12.32
HORSES:
Exported for racing
10.66
Exported for temporary exhibition
10.66, 10.67
Taken abroad temporarily; tariff status on return
148.32,148.31
HOURS OF BUSINESS, OFFICIAL
101.6
HOUSEHOLD EFFECTS:
Baggage
148.31, 148.51
Definitions
148.52, 148.74
Diplomatic, consular and military personnel, foreign representatives,
etc.
148.81-148.90
Entry of, not accompanying the importer
148.6
Entry, requirements on
148.6, 148.52
Military, civilian employees of U.S., and evacuees
148.74
Noncommercial importations of limited value
148.101-148.106
Reliquidation of entry
173.5, 173.6
Use abroad, definition
148.52
HOUSES OF WORSHIP, STAINED OR PAINTED GLASS WINDOWS
10.52, 10 N 47
IDENTICAL MERCHANDISE -- DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(d)
Transaction value of
152.104
IDENTIFICATION CARDS:
Cartmen's employees
112.41-112.49
Customs employees
101.8
IDENTIFICATION NUMBER
24.5
IMMEDIATE DELIVERY OF ARTICLES PRIOR TO ENTRY
142.21-142.29
IMMEDIATE DELIVERY OF ARTICLES PRIOR TO ENTRY -- U.S. GOVERNMENT
IMPORTATIONS
10.100-10.104
IMMEDIATE TRANSPORTATION WITHOUT APPRAISEMENTS:
By aircraft
122.92(b)
Consolidated shipments
18.11
Form of entry
18.11
From general order warehouse
18.11
Livestock shipments
18.11
Part of goods arriving under -- Entry may be accepted for all
18 N 6
Procedure at destination
18.12, 151.9, 151.7
Procedure at port of origin
18.11
Restricted products
18.11
Splitting shipments at port of origin
122.92(d), 18.11
To other than a port of entry
18.11
Unclaimed merchandise, entry permitted when
18.12
Value stated on entry
18.11
When consumption or warehouse entry may be accepted
141.55
Who may make entry
18.11
IMMIGRANTS, PROFESSIONAL BOOKS -- TOOLS OF TRADE
148.53
IMMORAL ARTICLES -- IMPORTATION PROHIBITED
12.40,12.41
IMPORTATIONS:
Atomic energy material, equipment, and devices
161.2
Contiguous country, from
123.0-123.9, 123.63
Contrary to law
162.22, 161.3, 162.11, 162.21, 161.2
Controlled -- Penalty
161.2
Copyright articles
133.41-133.46
Date of, definition
101.1(h)
Fraudulent -- Penalties
161.3, 162.41
Mail shipments
Part 145
Narcotics and certain other drugs -- Requirements -- Penalties
12.36, 161.2, 162.61
Noncommercial importations of limited value
148.101-148.106
Temporarily free of duty, metal articles
54.5, 54.6
Trademarked articles
133.21-133.24
U.S. Government, for
10.100-10.104
IMPORTATIONS BY STATES ARE DUTIABLE
141.1
IMPORTER:
Designation of bonded cartmen by
144.11(b)
Identification number
24.5
Liability of, for duty
141.1, 162.41
Refund of excessive duties or taxes
24.36
Request for value information
152.26
Warehouse designated by
144.11(c)
IMPURITIES, DUTY ALLOWANCE, WHEN
158.13
IN BOND SEALS, PROCURING AND ACCOUNTING
24.13
INDENTURED LABOR, MERCHANDISE PRODUCED BY -- IMPORTATION PROHIBITED
12.42-12.45
INEDIBLE FATS -- EXPORTATION OF
4.61, 4.72
INFORMAL ENTRIES:
Generalized system of preferences
143.23
Information to be shown on -- Form
141.82(d), 143.21-143.28
Liquidation of
159.10
Procedure
143.23-143.28
INFORMATION, CLASSES OF CUSTOMS DOCUMENTS EXEMPT FROM DISCLOSURE
103.12
INFORMATION, FREEDOM OF
103.0-103.17
INFORMATION AS TO VALUES; FURNISHED TO IMPORTERS
152.26
INFORMERS:
Awards of compensation to
161.11-161.15
Claim for compensation -- Form
161.12
INFRINGING COPIES, DEFINITION
133.42
INLAND FREIGHT, FOREIGN
152.103(a)(5)
INSECTICIDES, IMPORTATION PROCEDURE
12.1-12.5
INSOLVENT DEBTORS -- DUTY DUE U.S. IS A PREFERRED CLAIM
141.1
INSPECTION AND SEARCH OF TRUNKS, VEHICLES, ETC., FROM CONTIGUOUS
COUNTRY
123.63
INSPECTION OF CUSTOMS RECORDS
103.0-103.11
INSPECTION OF MERCHANDISE:
By importer prior to entry
151.4, 151.5
Meat and meat food products
12.8, 12.9
INSPECTION OF PERSONS, BAGGAGE, AND MERCHANDISE ON BOARD VESSELS AND
VEHICLES
162.3-162.7
INSPECTION OF VESSELS:
Certificate of --
Required
4.66
Verification
4.61, 4.66
INSTALLMENT SHIPMENTS, INVOICES FOR
141.82
INSTITUTIONS:
Articles for, conditionally free, list of
10 N 39
Character of, evidence as to
10.43
Declaration required --
By importer
10.43
By importer other than institution
10.44
INSTRUMENTS AND APPARATUS FOR EDUCATIONAL AND SCIENTIFIC INSTITUTIONS
General provisions
10.114
INSTRUMENTS OF INTERNATIONAL TRAFFIC
10.41(a)
INSULAR POSSESSIONS: Watches and Watch Movements
10.181
INSULAR POSSESSIONS, CUSTOMS RELATIONS:
Guantanamo Bay Naval Station
7.11
Other than Puerto Rico
7.8
Puerto Rico, spirits, wines, and coffee, shipment of
7.1
INTERCOASTAL RESIDUE CARGO PROCEDURE
4.83, 4.85, 4.86, 4.89
INTEREST CHARGES ON CERTAIN BILLS
24.3a
INTEREST, NOT PAYABLE ON REFUNDS IN CUSTOMS CASES
24 N 6
INTERNAL ADVICE
177.11
INTERNAL-REVENUE MARKS, ERASURE OF, AT EXPENSE OF IMPORTER
10.4
INTERNAL-REVENUE REQUIREMENTS:
Cigarette papers, and tubes
11.3-159.5
Cigars, cigarettes, medicinal preparations, and perfumery
11.1
Distilled spirits
11.7, 159.4
Tobacco
11.2
INTERNAL-REVENUE TAXES:
American goods returned
10.3
Bill to importer for taxes due -- Form
24.11
Carrier liable for, shortage, etc.
18.8
Computation of, upon liquidation
159.4, 159.6, 159.21(b)
Destruction of articles subject to
127.28(e), (f), (g)
Diplomatic, consular and military personnel, foreign representatives,
etc., exempt from
148.1(d), 148.89, 148.90
Drawback on shipments to --
Guam
191.81
Puerto Rico
191.81
Samoa
191.81
Virgin Islands
191.81
Ethyl alcohol for nonbeverage purposes, conditionally exempt from
10.99
Forfeited or unclaimed goods
127.28, 162.45
Importations having a value not exceeding $5
10.151
Liquor in passengers' baggage
148.26, 148.27,148.51, 148.64
Liquor -- Taxable quantity
159.21
Merchandise subject to seizure
148.18, 148.19
Refund of
24.36
Regauge of liquors for assessment of
159.21
Sale of articles subject to
127.28
Supplies for vessels exempt from
10.59, 10 N 56
Tobacco and tobacco products in baggage of nonresident
148.43
Tobacco products for consumption on vessel or aircraft
10.65
INTERNATIONAL CUSTOMS CONVENTIONS
Part 115
INTERNATIONAL (Public) ORGANIZATIONS
148.87, 148.88
INTERNATIONAL TRAFFIC
10.41 10.41a, 123.11-123.18
INTERSTATE COMMERCE COMMISSION, MERCHANDISE SHIPPED IN BOND,
EXAMINATION BY
18.9
IN-TRANSIT MERCHANDISE
123.21-123.52
Restricted and prohibited merchandise
18.21-18.23
Through contiguous foreign territory --
Animals
123.24(a)(3), 123.27
Authority for
123.21
Manifest -- Form, contents and disposition of
123.21, 123.22, 123.25
Procedure at port of exit
123.22(a), 123.28
Procedure at port of reentry
123.29
Sealing of
123.24
Seals, in bond or in transit, breaking of
123.29, 123.21,123.26
Storage in foreign territory
123.26(b)
Train consist sheets
123.23, 123.29
Transshipment in foreign territory
123.26
Through U.S. between ports of a contiguous foreign country
123.31-123.34, 123.52, 123.64
IN-TRANSIT SEALS, PROCURING AND ACCOUNTING PROCEDURE
24.13
INVENTORIES OF TOBACCO PRODUCTS FOR CONSUMPTION ON VESSELS OR
AIRCRAFT
10.65
INVENTORY, RAILWAY SUPPLIES, INTERNATIONAL TRAINS
123.11
INVESTIGATORY FILES -- DISCLOSURE OF INFORMATION
103.10(g)
INVOICES:
Additional information, when required
141.86, 141.89
All invoices with entry to be numbered consecutively
141.86(h)
Baggage declarations, special or commercial invoices
148.23(c)
Bond for, canceled by photocopy
141.84(e)
Commercial --
Bond for production of
141.91(d)
When required
141.83, 141.92
Cost of production, when to be shown on
141.88
Cotton
151.82
Duty rates to be noted
141.90
Entry number to be shown on
141.86
General requirements on
141.86
Goods arriving within a period of 10 days
141.82
Information required on
141.86-141.92
Mail shipments
145.11
Merchandise found not to correspond with invoice description
152.3
Merchandise, list of, requiring special information
141.89
Multiple
141.61(f)
Photocopies from, for entry purposes
141.84
Pro forma
141.82, 141.84, 141.85, 141.91, 141.92
Required on entry --
Exceptions
141.83, 141.91, 141.92
Single shipment to be covered
141.81, 141.82(a), 141.84
Requirements
142.6
Separate sheets to be numbered
141.86(h)
Single
141.61(f)
Special:
Bond for productions of
141.91, 141.92
When required
141.83
Time limit, failure to produce within -- Liquidated damages
172.22
Wool and hair
151.62
INWARD CARGO, ACCOUNTING FOR
4.61, 4.62
IRREGULAR DELIVERY OF BONDED MERCHANDISE
18.6
JEWELRY AND ARTICLES OF PERSONAL ADORNMENT EXEMPTIONS, SALE OF
148.46
JUICES, FRUIT -- BRIX VALUES
151.91
KINGMAN REEF:
Articles shipped to -- Drawback
7.8
Customs administration of
7 N 5
Imports from
7.8
Not within Customs territory of U.S.
7 N 5
LABELS, IN BOND, IN LIEU OF CORDS AND SEALS -- FORM
18.4
LABORATORY, COMMERCIAL
151.13
LABORATORY TESTING (WOOL AND HAIR)
151.71
LADING AND UNLADING OF VESSELS, PERMIT OR SPECIAL LICENSE FOR -- FORM
4.30
LADING, EXPORTATION IN BOND, CUSTOMS SUPERVISION
18.7
LADING, CERTIFICATE OF, FOR AIRCRAFT
122.94
LADING OR UNLADING, VEHICLES AND VESSELS OF LESS THAN 5 NET TONS FROM
CONTIGUOUS COUNTRY, PERMITS FOR
123.8
LAMBSKINS, FREE ENTRY, WHEN PERMITTED
10.77
LANDING CARGO AT OTHER THAN PORT OF DESTINATION DUE TO DISTRESS
4.32
LANDING CERTIFICATES:
Cancellation of export bonds
113.51, 113.55
Foreign merchandise destined for foreign ports -- Bond
4.88
Temporary importation bond -- Exportation
10.39
Waivers
113.55(c)(3)
LASH-TYPE BARGES
4.81(a), 4.81(g)
LAY-ORDER PERIOD, EXTENSION OF, HOW CALCULATED
4.37
LEASE, ARTICLES UNDER, EXPORTED AND REIMPORTED
10.108
LETTERS, SEARCH AND SEIZURE
162.4
LIBRARY OF CONGRESS:
Articles for
145.37, 10.46
Books, engravings, etc., conditionally free
145.37, 10.46
LICENSE, SPECIAL FOR UNLADING AND LADING
4.30, 122.38
LICENSES:
Cartmen and lightermen to produce
112.28
Cartmen's suspension or revocation
112.30
Customs brokers
111.0
Importations in vessel less than 30 net tons
4.100
Yachts, pleasure, when required
4.94
LICENSING AND BONDING OF CUSTOMS CARTMEN
112.21-112.25
LIENS:
Discharge of
141.112
Duty constitutes
141.1
Freight and other charges
141.112
Payment from proceeds of sales
127.31
Seized property --
Awarded for official use -- Payment of liens
171.44
Freight and other charges
171.44
LIGHTERMEN, designation of, on warehouse entry
144.11
LIGHTERMEN'S BOND
113.63
LIGHTERS, ETC., MARKING OF LICENSED
112.27
LIGHT MONEY:
Exemptions
4.21
Payment of -- Certificate -- Form
4.23
Refund of
4.24
Table, classes of vessels
4.20
LIMESTONE FOR MANUFACTURE OF FERTILIZER
10.132(c)
LIQUIDATED DAMAGES:
Bonded cartmen, failure to remove marking
112.27(d)
Carnets, fraud, violation, or abuse of privileges
114.33, 114.34
Failure to petition for relief
172.2
Free withdrawal of supplies
10.59
Missing documents, failure to produce
172.22, 172.33
Notice of liquidated damages incurred
172.1(a)
Petition for relief
172.1(b)-172.22
Return to Customs custody, failure to
141.113(g), 10.39(e)
Temporary importation bond -- Application for relief
10.39(e)
Temporary importation bond, assessment under
10.39
Under carrier's bond
18.8
LIQUIDATION:
Additional duties --
Antiques
159.45
Countervailing
159.47
Discrimination by foreign country
159.42
Export duties, etc., foreign; contingent upon
159.43
Marked, merchandise not legally
159.46
Appraisement entries
159.9
Articles not specified on invoice
152.3
Asserted
159.11
Baggage entries
159.10
Bonded merchandise -- Shortages
18.6
Bulletin notice -- Forms
159.9, 159.10
Change in rate of duty by --
Court decision
152.16
Headquarters decisions
174.27, 174.29, 175.22, 177.10
Law
152.17
Presidential proclamation
152.17
Classification, change in
152.2
Clerical errors, correction of
173.1-173.4
Commingling of goods
152.13
Computation of duties
141.104, 159.1, 159.3, 159.4, 159.6
Conditionally free -- Failure to produce missing documents
172.22, 172.33
Consumption
159.9
Conversion of currency
159.31-159.38
Courtesy notice
159.9
Currency, basis for conversion of
159.35
Date of, exportation
159.32
Definition
159.1
Difference between estimated and liquidated duties
159.6
Discrepancy on entry -- New entry required, when
152.3
Drawback entries
191.71
Drawback entries, bulletin notice of
159.9
Effective date of rate of duty
152.16, 159.7(b), 177.10
Entries -- Merchandise entered by false documens
162.80
Entries subject to -- Exceptions
159.2
Entry to be stamped with date of
159.9(c)
Excessive duties or taxes paid, notice of refund of -- Form
24.36
Exportation, date of
159.32
Extension of time
159.12
Fractional parts of dollar or unit of quantity
159.3
Informal entries
159.10
Internal-revenue taxes, computation of
159.4, 159.21
Instruments and apparatus
10.114
Legal evidence of, what is
159.9(c)
Mail entries
159.10
Mail entries, protest of
145.22(c)
Merchandise manipulated in warehouse
159.21(a)
Method of
159.3-159.10
Net weight, when basis for
159.21, 159.22
Notice of
159.9, 159.10
Operation of law
159.11
Protests against
174.11
Rates of exchange
159.31, 159.38
Required when
159.2
Rewarehouse entries
159.7
Seizure of merchandise -- Liquidation of entry
162.80
Shortages, allowance of
158.2-158.6, 18.6
Smelting or refining of metal-bearing materials, entries of
151.55
Suspension of
159.52, 159.55, 159.54
Visual or auditory materials suspension of entry
10.121(b)
Warehouse entries
159.9, 159.52, 159.21
Warehouse withdrawals, when -- Bulletin
159.9
Weight, gauge, or measure
159.21
LIQUORS:
Baggage of diplomatic officials or other representatives
148.81, 148.82, 148.87-148.90
Blending, permit requirements
12.37
Bottles and similar containers, imported in --
Regulations of Internal Revenue Service applicable
11.7
Bottling, permit requirements
12.37
Bulk importations (in casks and similar containers)
11.6
Certificate for shipments on small vessels -- Penalty
4.13, 4 N 25
Distilled spirits and wines shipped to Puerto Rico
7.1
Foreign military personnel, exemptions
148.90
Importation restricted, permits
12.37
Labeling packages, requirements -- penalty
12.38
Nonresidents
148.43
Passengers' baggage --
Crewmembers
148.65-148.66
Quantities dutiable or taxable
159.21
Residents
148.33
Strip stamps and internal-revenue tax
148.26(b)
Strip stamps for bottled
11.7
LITERATURE, TREASONABLE, ETC. -- IMPORTATION PROHIBITED
12.40, 145.51
LIVESTOCK:
Exported for exhibition, return of -- Enrty requirements
10.66, 10 N 61, 10 N 62
Immediate transportation restricted
18.11
LOAD-LINE REGULATIONS
4.61, 4.65a
LOCOMOTIVES:
Domestic, repaired in foreign country -- Dutiable status
123.13
Foreign, operating in U.S. -- Entry of, when not required
123.12
LOCOMOTIVES AND OTHER RAILROAD EQUIPMENT FOR EMERGENCY REPAIRS,
FIGHTING FIRES, ETC. -- TEMPORARY IMPORTATION BOND
10.31, 10 N 34
LOCOMOTIVES AND OTHER RAILROAD EQUIPMENT FOR USE OTHERWISE THAN IN
INTERNATIONAL TRAFFIC -- TEMPORARY IMPORTATION BOND
10.31, 10 N 34
LOSS OF MERCHANDISE IN PUBLIC STORES
158.26
LOTTERY MATTER, MAIL IMPORTATIONS, PROHIBITION
145.51
MACHINERY, EXAMINATION OF, AT MILL OR FACTORY
151.8
MAIL:
Books, engravings, etc., for Government departments or agencies
145.37
Books or other articles imported for institutions
145.36
Carnets not accepted for importation by mail
114.31(a)
Carriage on vessels
4.61
Cigars
145.13, 11.2(a)
Commercial shipments, invoice requirements
145.11
Copyright, articles marked for
145.37
Customs declarations and invoices
145.11
Declaration on package required
145.11
Diplomatic pouches, official documents
145.38
Duties, refund of
145.21-145.26
Entry --
Examination of
145.2, 145.3
Firearms
145.53
Formal
145.12(a)
Forms
145.12
Free, conditionally
145.12(d), 145.35-145.39, 145.41, 10.43, 10.44, 10.46
Free goods
145.12(d)
Gifts valued not over $50
145.32
Informal
145.12(b)
Institutions, free list of; books, music, etc., for
145.36, 145.41, 10.43, 10.47
Internal-revenue tax on mail entries
145.13, 11.2(a)
Lottery matter
145.51
Marking requirements
145.14
Merchandise rejected, return of -- Drawback
191.142
Packages to be marked to indicate invoice enclosed
145.11(b)
Personal and household effects
145.34
Plant material for export
145.40, 145.57
Plants and plant products
145.57
Prohibited or restricted articles, disposition of
145.51-145.59, 145.4
Protests
145.22, 145.23
Rates of duty in effect
145.12(b)(2)
Reading of correspondence, when prohibited
145.2, 145.3
Review of
145.21-145.26
Search warrant to read foreign mail
145.3
Seizure of, addressee to be notified
145.59(b)
Seizure, when imported contrary to law
145.4, 145.59
Shipments not exceeding $5 in value, disposition of
145.31
Single shipments, combining for entry
145.12
Trademarks, Trade name and copyrights
145.55
Tools of trade
145.34
Unconditionally free
145.12, 145.35-145.39, 145.41
Undeliverable, detention and disposition of
145.4(c), 145.5
U.S. Government offices or officials, articles for
145.12(c)
U.S. insular possessions, except Puerto Rico
7.8
Value exceeding $1,000, entry of -- Notice to addressee
145.12(a)
Value not more than $5
145.31
Vessels conveying letters contrary to law (Search for letters)
162.4
When not exceeding $1,000 in value
145.4, 145.12(b), 145.41
Exportations --
Continuous Customs custody
145.71
Imported articles, remission of duties, when
145.40, 145.71, 145.72
Plant material
145.40
Waiver of right to withdraw
145.71(b)
Fees, dutiable mail
24.22(f)
Foreign representatives, for
145.38, 148.83, 145.39, 148.85, 145.2(b)(c)
Importations --
Abortion and contraceptive matter
145.52
Addressee dissatisfied with duties assessed
145.21-145.26
Administrative review of mail entries
145.21-145.26
Alcoholic beverages, nonmailable
145.54
American, Samoa, Guam, or Virgin Islands, from
7.8, 148.110-148.116
MAIL ENTRIES, LIQUIDATION OF
159.9, 159.10
MAIZE SEED -- REDUCED RATE
10.57
MANIFESTS:
Amendment of, bulk cargo
4.12
Baggage --
Domestic, through contiguous foreign territory
123.21, 123.65
Foreign, from contiguous foreign territory
123.3, 123.4, 123.5
In bond -- Form
18.13
In transit through U.S.
18.14, 123.64
Boarding vessels for examination of
162.3
Bonded merchandise --
Extension of form
127.3, 144.6
Cargo, departure with to noncontiguous territory
4.84
Cargo from wrecked vessel
4.41
Cargo, vessels trading between U.S. ports on Great Lakes and other
U.S. ports
4.83
Coastwise, vessel touching at foreign port
4.82
Commercial travelers' samples:
Accompanied through Canada and return
10.68, 123.21, 123.51
Accompanied through U.S. and return to Canada
10.68, 123.21, 123.52
Contiguous countries, vehicles and vessels less than 5 net tons, from
-- Form
123.3, 123.4, 123.7
Correction of
4.12
Delivery to boarding officer
4.7
Discrepancies in -- Penalty
4.12
Diversion of cargo from port shown on, amendment of
4.33
Examination and obtaining copies of
103.14
Failure of master to produce to boarding officer -- Penalty
4 N 15
Failure to manifest articles when required
4.7a(b)(4)
Failure to manifest narcotic drugs or marihuana
162.65
Failure to list crew's purchases
4.7a(b)(4)
Form
122.92, 18.2
Government vessel from foreign port, required
4.5
In-transit --
Baggage through foreign territory -- Form
123.64, 123.65
Commercial travelers' samples:
Accompanied through Canada and return
10.68, 123.21, 123.51
Accompanied through U.S. and return to Canada
10.68, 123.21, 123.52
Merchandise through contiguous foreign territory -- Form
123.21-123.29
Merchandise through U.S. -- Form
123.31-123.34
Truck procedures
123.41, 123.42
Inward Foreign --
Contents, form
4.7
Information required and alternative forms
4.7a
Shipments of containerized or palletized cargo
4.7a(c)(1)
Shipper's load and count and use of term ''SLAC''
4.7a(c)(2)
Merchandise transported in bond --
Conveyance, manifest to accompany each
18.2, 18.3
Disposition of
18.2
Merchandise valued not over $250 unconditionally free, manifest used
as entry
123.7
Outward foreign --
Before clearance
4.61, 4.63, 4.75
Incomplete -- Bond
4.75
Passenger -- Unaccompanied baggage on board vessel
4.7(e)(4)
Permit, used as
18.2
Prematurely discharged or overcarried cargo -- Form
4.34
Refusal of master to produce to boarding officer -- Penalty
4.7, 4 N 15
Sea and ships' stores, etc., when to be manifested
4.7, 4.7a
Special manifest
18.10a
Transshipment of
18.3
Vehicles
4 N 15, 123.3, 123.4
Vessels --
Discrepancies, and corrections
4.12
In trade with noncontiguous territory
4.84
Inward foreign -- Form -- Contents
4.7
Overage of cargo -- Form
4.12, 4.62
Proceeding foreign via domestic ports
4.87
Shortage of cargo -- Form
4.12, 4.62
Vessels and vehicles, examination of
162.3
MANIPULATION IN WAREHOUSE OR ELSEWHERE
19.11
MANIPULATION OUTSIDE BONDED WAREHOUSE, EXPENSES OF
24.17(a)(8)
MARIHUANA AND NARCOTIC DRUGS: --
Permit to unlade -- Penalty
162.66
Unmanifested -- Penalty
162.65
When permissible on vessels, aircraft and individuals
162.62
MARINE PRODUCTS, CONDITIONALLY FREE
10.78
MARITIME ADMINISTRATION, VESSELS OF, EXEMPT FROM PENALTIES
162.22(e)
MARKING:
Bolting cloth for milling purposes
10.58
Containers, foreign substantial, for reimportation
10.7
Corn or maize, seed
10.57
Country of origin
Part 134
Additional duties
134.2
Articles assembled abroad
10.22
Articles repacked or manipulated
134.26, 134.34
Articles subject to marking
134.11-134.14
Certificate of marking
134.52
Compensation for services of Customs officers and employees
134.55
Containers and holders, marking of
134.21-134.25
Definition of
134.1(b)
Delivery withheld
134.3
Exceptions to marking
134.31-134.33, 134.35, 134.36
Filing of false certificate -- penalty
134.52(d)
Intentional alterations -- penalty
134.4
Liquidated damages
134.54
Notice to mark or redeliver -- form
134.51(a)
Requirements and methods of marking
134.41-134.47
Specific articles, method of marking
134.43
Ultimate purchaser defined
134.1(d)
Watches, clocks, and timing apparatus
134.43(b), 11.9
Customs officers, compensation of
24.17, 134.55
Disposition of articles not properly marked
134.51-134.54
Drums of foreign manufacture exported
10.7
Furs, other skins or seal skins
12.61, 12.62, 12.63
Gold or silver articles, false -- Penalty
11.13, 11 N 14
Liquor packages -- Penalty
12.38
Liquors in casks and similar containers
11.6
Milk and cream containers
12.7
Misleading marks as to origin, prohibited entry
11 N 14
Packages containing merchandise produced by convict labor -- Penalty
12 N 30, 12.45
Packages of plumage
12 N 14
Potatoes, seed
10.57
Viruses, serums, and toxins, containers of
12.18, 12.22
MARKING OF LICENSED VEHICLES AND LIGHTERS, CARTAGE
112.27
MARKING OF PACKAGES SHIPPED BY MAIL
145.11
MASTER RECORDS FOR SOUND RECORDS FOR EXPORT
10.90
MASTER'S DECLARATION -- REPAIRS AND EQUIPMENT OBTAINED ABROAD
4.14
MASTER'S OATH, CLEARANCE OF VESSEL ON -- FORM
4.63
MASTERS OF VESSELS:
Failure to answer questions truthfully -- Penalty
4 N 90
Failure to produce manifest -- Penalty
4 N 15
MATCHES:
White phosphorus, importation prohibited
12.34
MEASUREMENT:
Cotton
151.81-151.84
Petroleum products
151.41-151.47
Sugar, sirups, and molasses
151.21-151.31
Wool and hair
151.61-151.76
MEASURING WAREHOUSED GOODS FOR EXPORTATION OR TRANSPORTATION
144.37(e)
MEAT AND MEAT-FOOD PRODUCTS:
Definition
12 N 7
Entry procedure
12.8, 12.9
Exportation of, inspection by Animal and Plant Health Inspection
Service, U.S.D.A.
4.61, 4.72
MEDICINAL PREPARATIONS, STAMPING
11.1
MEDICINE AND SLOP CHESTS
4.61, 4 N 95
MELTING, METAL ARTICLES TO BE USED IN REMANUFACTURE BY
54.5, 54.6
MERCHANDISE:
Abandoned, forfeited, or unclaimed goods subject to internal-revenue
tax, disposition of
127.28(e),(f),(g)
Abandoned or destroyed --
Application to abandon -- Form
158.42, 158.43
Duty allowance
158.41, 158.42, 158.43
Appraisement entries
143.11-143.16
Appraisement to be made
152.101
Articles not specified on invoice
152.3
Baggage, not for personal use, in
148.23(c)
Bearing trademarks or trade names
133.21-133.24
Bonded --
Carrier to furnish warning cards for cars, etc.
18.4
Diversion of Transportation entry to another port
18.5
Immediate transportation without appraisement
18.11, 18.12
Marking required for vehicles or lighters to carry
112.27
Receipt by Carrier
18.2
Sealing of conveyances, etc.
18.4
Seals, removal of
18.3(d)
Shortages
18.6
Splitting shipments at intermediate or destination port
18.5(d)
Transportation of
18.1-18.7, 112.2, 112.11-112.15
Transportation of, nonbonded goods with
18.4(c)
Transported between New York, Newark, and Perth Amboy
18 N 2
Transshipment of
18.3
Bonded warehouse, stored in, withdrawal quantities, restrictions on
19 N 6
Cartage and lighterage of
125.1-125.42
Cartmen's liability
125.41, 125.42
Commingling of -- Segregation
152.13
Condemned perishable -- Allowance in duty
158.14
Contiguous country, from
123.3-123.8
Continuous Customs custody of, definition
191.133
Contrary to law, imported
162.21, 162.22
Copyrighted
133.41-133.46
Customs supervision
161.1
Damaged -- Duty allowance
158.11-158.14
Designation of packages for examination
151.1-151.3
Discrepancy between shipment and invoice, liquidation
152.3
Dutiable, in baggage examined in foreign country
148.22
Duty paid, in public stores or bonded warehouses -- Undelivered --
Disposition of
127.14
Entry for manipulation
19.11
Entry of --
From vessel sunk for 2 years
4.41(c)
Unclaimed, before sale
127.14
Entry, when and when not required
141.4, 10.151-10.153, 148.62(b), 148.85-148.88
Examination of, prior to entry, inspection charges
151.5
Excessive moisture and other impurities -- Duty allowance
158.13
Exported contrary to law, seizure
161.2(b)
Exportation of, final port, in transit
123.28
Exported for --
Alterations
10.8
Exhibition, return of
10.66
Repairs
10.8
Scientific or educational purposes, return of
10.67
Exported from Customs custody
158.45
Fee, ad valorem merchandise
24.23
Foreign, destined to foreign countries via U.S. port
4.88, 4.89
Foreign military personnel and their immediate families
148.90
Foreign representative, free entry privilege
148.81-148.90
Forfeited --
Remission or mitigation of fine, penalty, and forfeiture -- Petitions
162.32, 171.11-171.33
Sold, petition for restoration of proceeds
171.41-171.44
Forfeiture of --
Failure to declare in baggage -- Penalty
148.18
Prohibited importation of immoral articles
12.40-12.41
Sale of
162.45-162.48
General order procedure
4.37
Government importations
141.102(d), 10.100-10.104, 145.37
Immediate delivery, special permit for
142.21-142.29
Importation date
101.1(h)
Imported in vessels of less than 30 net tons
4.100
Importing merchandise contrary to law
162.22
Informal entry of, information to be shown
143.25, 143.21-143.28
Institutions, articles for -- Conditionally free
10.43, 10.47
In transit through contiguous foreign territory --
Authority for
123.21(c)
Manifest -- Form, contents, and disposition of
123.21-123.25
Procedure at port of exit
123.22(a), 123.28
Procedure at port of reentry
123.29
Sealing of
123.24
Seals, in bond or in transit, breaking of
123.21, 123.26, 123.29
Storage in foreign territory
123.26(b)
Train consist sheets
123.23, 123.29
Transshipment in foreign country
123.31-123.34, 123.52, 123.64
In transit through U.S. --
Between ports of a contiguous country
123.31(b), 123.32-123.34, 123.52, 123.64
To foreign countries
18.20-18.24
Laden on vehicle or vessel without special license or permit
148.67(b), 162.22
Landed, unentered, when to be sent to general order
4.37
Library of Congress, articles for
10.46, 145.37
Loss of, by cartmen -- Liability
125.35, 125.41-125.42
Loss of, in public stores
158.21-158.30
Mail importations
145.0-145.72
Manipulated in warehouse
19.11, 159.21(a)
Marking country of origin, exceptions
134.31-134.36, 134.42-134.44, 11.9
Noncommercial importations of limited value
148.101-148.106
Nonimportation -- Duty allowance
158.11
Not properly marked, disposition of
134.51-134.55
Obscene, etc. -- Importation of
12.40, 12.41
Omission of merchandise on invoice
152.3
Perishable --
Inspection before entry or while in transit, inspection charges
151.5
Unclaimed, sale of
127.28(c)
Place of examination
151.6, 151.7, 151.8
Proceeds of sale of, disposition of
127.31-127.37
Produced by convict, forced, or indentured labor -- Importation
prohibited
12.42-12.45
Recall of
141.113, 151.11
Recovered from wrecked vessel or as derelict, disposition of
4.41
Refused by consignee, when to be treated as unclaimed
141.1(f)
Reimported goods dutiable, exceptions
141.2
Rejected --
Exportation of
158.45
Exportation of -- Drawback
191.142
Viruses, serums, and toxins
12.20, 12.23
Release of --
In warehouse, limitation on
19.6
Nonexamination packages -- Form
141.102(d)
Release order from carrier, form of
141.111
Release order from warehouse proprietor -- Form
141.111
When lien exists
141.112
Remaining unsold
127.29
Responsibility for, in warehouse
144.2
Restricted or prohibited importations, exportation of
18.25, 18.26
Return to Customs custody -- Default on bond, liquidated damages
141.113(g), 113.51-113.55, 172.21, 172.22, 172.33
Rewarehousing of
144.41, 144.42
Sale notices -- Catalogs
127.24, 127.26
Sale of --
Abandoned or unclaimed
127.21-127.29
Forfeited
162.46, 162.48, 162.49
Forfeited, disposition of proceeds -- Expenses
162.51
Unclaimed perishable goods
127.28(c)
Samples, taking of prior to entry
151.4, 151.5
Sealed by Customs officer
123.24, 123.33, 18.4
Search and examination of
162.6
Seized --
Appraisement of
162.43
By State officer -- Adoption by Customs
162.21
Disposition after summary forfeitures
162.46
Disposition when inspection by other Government agency required
162.46(b)
Perishable or liable to waste or deteriorate in value -- sale of
162.48
Release of --
On payment of appraised value
162.44
Petition for
162.31, 171.11-171.22, 171.31-171.33
Under bond -- Petition to court
162.47(b), 162.49(b)
Stolen in Canada -- Return of
171.22(c)
Subject to summary forfeiture Release under bond
162.47, 162.49
Claim and bond to stop summary forfeiture
162.47
Seized and forfeited --
Destruction of, when
162.46, 162.50
Disposition of
162.46, 162.48
Reports to U.S. attorneys -- When required
161.3, 162.32, 162.47(d), 162.49(a), 172.2
Sale of
162.45-162.51
State laws prohibiting sale of
162.46(c)(2), 162.50
Transfer to other districts for sale
162.46, 162.50
Seizure of -- In passengers' baggage
148.18, 148.19
Shortages -- Duty allowance
158.2-158.6
Smuggled
162.22, 148.18(a)
Special marking requirements, exceptions
134.31-134.36, 134.42-134.44, 11.9
Special permit for immediate delivery
142.21-142.29
State importations dutiable
141.1(e)
Summary sale of
162.45-162.48
Supplies for vessels withdrawn from warehouse
10.59
Transfer to another warehouse
144.34
Transportation of, by bonded carriers
112.11-112.15
Unclaimed --
Abandonment and sale of
127.13, 127.14, 127.21-127.29, 127.31-127.37
Entry of
127.13(a), 127.2
Storage and other expenses, payment of
127.13(b)
Unclaimed or in warehouse beyond the time fixed by law, disposition
of
127.11, 127.14
Undeliverable by cartmen
125.36
Unentered, exportation of
158.45(a)
U.S., articles of
145.37, 141.102(d), 10.100-10.104
Unladen from vehicle or vessel without special license or permit
162.22
Valuation
152.101
Value not exceeding $5
141.4, 145.31, 10.151, 10.153(e)
Warehouse, in, sent to public stores --
Disposition of
19.10
Warehouse withdrawal period
144.5
Warehouse withdrawals for exportation
144.37
Warehoused, liability for duties
144.2
Weighing, gauging, or measuring warehouse merchandise for exportation
or transportation
144.37(e)
When duties accrue on
141.1
Withdrawal from warehouse for consumption -- Form and procedure
144.38
Withdrawal from sale
127.14
Withdrawal of, by transferee
144.27, 144.21-144.28
Withdrawn for exportation but not laden, disposition of by inspector
144.37(f)
METAL ARTICLES FOR REMANUFACTURE BY MELTING
54.5, 54.6
METAL-BEARING ORES AND METAL-BEARING MATERIALS
151.51-151.55
METAL MATRICES FOR SOUND RECORDS FOR EXPORT
10.90
MEXICO -- RESIDENT RETURNING FROM -- EXEMPTION
148.35(a)
MEXICO -- STOLEN AUTOMOBILES, TRAILERS, AND AIRCRAFT RETURNED FROM
123.72
MIDWAY ISLANDS:
Articles shipped to, drawback
7.8
Imports from
7.8
MILK AND CREAM, IMPORTATION OF -- SPECIAL REQUIREMENTS
12.7
MISSING DOCUMENTS, BOND FOR
141.66
MITIGATION OF FINES, PENALTIES, AND FORFEITURES -- PETITIONS
162.31, 162.32, 171.11-171.21, 171.31-171.33
MODELS AND PATTERNS FOR INSTITUTIONS
10.43
MODELS OF WOMEN'S WEARING APPAREL -- TEMPORARY IMPORTATION BOND
10.31, 10 N 34, 10.35
MOISTURE ALLOWANCE:
Ores and metals
151.55
Petroleum products
151.46
Raw sugar
151.23
MOISTURE, EXCESSIVE, DUTY ALLOWANCE
158.13
MOLASSES (SEE SUGAR, SIRUPS, AND MOLASSES.)
MOTION-PICTURE FILMS:
American goods returned
10.1
Exported and returned
10.68
Theatrical effects, not
10.33
MOTOR CARRIERS, BONDED CARRIERS, AS
18.1, 112.11, 112.12(b)(4)
MOTOR VEHICLES -- SAFETY STANDARDS
12.80
MULTIPLE INVOICES
141.61(f)
MUNITIONS AND ARMS, EXPORTATION OF
4.61, 4.73
MUNITIONS OF WAR, CONTROLLED IMPORTS AND EXPORTS -- SEIZURE OF
161.2
NARCOTICS:
Arrests and seizures
162.63
Controlled imports and exports, seizure of
161.2(b), 162.63
Exportation to other countries, unlawful
162.61
Forfeited, disposition of
162.63
Importation and exportation procedure
12.36
In transit through U.S.
18.21
Medical stores on vessels
4.39, 162.62
Permit to unlade -- Penalty
162.66
Seized, disposition of
162.63
Unmanifested -- Penalties
162.65
NATIONALITY OF VESSEL, VERIFICATION OF
4.61, 4.65
NAVIGATION FEES
4.98
NEUTRALITY:
Bonds, special
113.71
Observance of, by vessels
4.73
NEWSPAPERS, INFORMATION TO
103.14
NEWSREEL FILMS EXPOSED ABROAD
10.10
NIGHT, DEFINITION
24.16
NOMINAL CONSIGNEE, BANKRUPT -- REFUND OF EXCESSIVE DUTIES AND
INTERNAL-REVENUE TAXES
24.36
NONCONTIGUOUS TERRITORY:
Definition
4.0
Vessels in trade with
4.84, 4.90
NONIMPORTATION, WHAT CONSTITUTES -- DUTY ALLOWANCE
158.11
NONRESIDENTS:
Articles carried through U.S.
148.41
Consignee, entry of merchandise
141.17
Definition
148.2(c)
Exemptions allowed
148.41-148.46, 148.51-148.54
Jewelry, sale of
148.46
Vehicles, free entry
148.45
NOTICES:
Advance in value
152.2
Clean yield (wool or hair) to importer
151.64, 151.71(b), 151.72(b)
Commingling of merchandise
152.13(a)
Denial of protest
174.30
Duties due, to importer
24.11
Fines, penalties, and forfeitures, to offender
162.31(a)
Grade (wool or hair), to importer
151.76(b)
Increased duties, possible
152.2
Internal-revenue taxes due, to importer
24.11
Internal-revenue taxes, refund of
24.36
Liquidated damages incurred
172.1
Liquidated entries, to be posted
159.9, 159.10
Mail importations value over $1,000, notice to addressee
145.12(a)(4)
Motor vehicles -- Safety standards
12.80(h)
Return to customs custody -- Form
141.113, 151.11
Sale of merchandise, to importer
127.24
Seizure, addressee to be notified
145.59
Seizure and intent to forfeit property
162.45
Staple length (cotton), to importer
151.84
Test of sugar, molasses, and sirup, to importer
151.31
NOTICES OF INTENT:
Shooks and staves -- Form
10.5
Substantial containers and holders
10.7
OBLIGATIONS OF THE U.S.:
Counterfeit, prohibited importation
12.48
Postage and revenue stamps are
12 N 31
OBSCENE MATTER -- IMPORTATION PROHIBITED
12.40, 12.41
OFFERS IN COMPROMISE
161.5
OFFICIALS OF FOREIGN GOVERNMENT -- FREE ENTRY PRIVILEGE
148.81-148.90
OFFSPRING OF ANIMALS -- FOREIGN PASTURAGE AND STRAYS
10.74
OIL OR REFUSE DISCHARGED BY VESSEL IN NAVIGABLE WATERS
4.66a, 4.66b, 4.66c
OILS:
Product of American fisheries
10.78
Vegetable -- Olive, palm-kernel, rapeseed, sunflower, and sesame --
Denaturing
10.56
Release
10.56
OPIUM:
Controlled substances
162.61
Unmanifested -- Penalty
162.65
OPTIONAL PORTS IN INTERCOASTAL TRADE
4.86
ORAL DECLARATIONS
148.12
ORES AND CRUDE METALS
151.51-151.55
ORES AND METALS:
Domestic substituted, for drawback
191.32
Entry of, in bond
19.17
Sampling and assaying
19.17, 151.51, 151.52
ORGANIZATION OF AMERICAN STATES
148.88
ORIGINAL EQUIPMENT -- AUTOMOTIVE
10.84
ORIGIN, COUNTRY OF
Part 134
OTTER FUR SKINS
12.60-12.63
OVERAGE OF CARGO -- FORM
4.12, 4.62
OVERTIME:
Application for service -- Form -- Bond
4.10, 24.16
Application for unlading or lading, approval of -- Form -- Bond
4.30
Assignments
24.16(d)
Bond covering -- Vehicles
123.8
Bond for -- Vessel of less than 5 net tons, contiguous country, from
123.8
Compensation -- Bond
24.16
Computation of compensation
24.16
Definition --
Holiday
24.16
Night
24.16
Entry and clearance on board vessels
4.16
License, special, unlading or lading vessels -- Form
4.30
Marking, supervision of
134.55
One-half day's pay, definition of
24.16
Request for service in connection with boarding, entry or clearance
of vessels -- Form -- Bond
4.10
Waiting time subject to overtime compensation
24.16
OWNER OF MERCHANDISE:
Consignee (nominal) as
101.1(k), 141.19, 141.20
Examination of, citation to appear and testify
162.2
OWNER'S DECLARATION, PRODUCTION OF, BY NOMINAL CONSIGNEE
141.19
PACKAGE SEALS, PROCURING AND ACCOUNTING
24.13
PACKAGES, DESIGNATION OF, FOR EXAMINATION
151.1-151.3
PACKED PACKAGES, ENTRY OF
141.52
PACKING COSTS -- VALUATION-DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(e)
PACKING TOBACCO PRODUCTS
11.1, 11.2
PANAMA CANAL:
Vessels transiting --
Baggage
148.3
Clearance of
4.60
Crews' effects
148.3
Report of
4.4
Tonnage tax not affected by transiting
4.20
PARCEL POST, IMPORTATIONS BY
145.11-145.14
PARCEL POST PACKAGES, EXPORTATION FROM WAREHOUSE
144.37(c)
PARROTS -- IMPORTATION PROCEDURE
12.26
PARTNERSHIPS:
Bond, execution by
113.32
Partners as sureties on bond
113.36
PASSENGER LIST:
Foreign trade --
Production of
4.50
Specifications
4.50, 4.7
PASSENGERS:
Articles taken out, registered for identification
148.1
Baggage not accompanying
148.6
Classes -- Residents and all others
148.2
Contiguous country, from --
123.1-123.5, 123.61, 123.62
Definition
4.50
Fees, passengers aboard vessels or aircraft
24.22(g)
Personal or household effects not accompanying
148.51-148.53
Request for reexamination of baggage
148.25
PASSENGERS AND BAGGAGE, LIST OF
4.7
PASSENGERS' DECLARATIONS -- OMITTED ARTICLES -- PENALTY
148.18
PASSES, CUTTER AND DOCK
4.1
PATENTS:
Fee
24.12(a)
Survey
12.39(a)
PATNA RICE
10.132
PAYMENTS OF STATE AND FEDERAL FEES
4.61, 4 N 100
PAYMENTS DUE DECEASED OR INCOMPETENT PUBLIC CONTRACTORS AND IMPORTERS
OR OWNERS OF MERCHANDISE
24.70
PENALTIES:
Aircraft --
$500 limitation
122.161
Remission or mitigation of
171.11, 171.33
Articles, various -- Import and export controls
161.2(b)
Baggage and vehicles from contiguous country, failure to open
123.63
Baggage declaration, false statement, etc., as to
148.19
Baggage, failure to declare articles in
148.18
Boarding or leaving vessels without permission -- Penalty
4.1, 4 N 2
Bribery of Customs officer -- Prosecution
161.4
Cancellation of
171.31
Certificate of importation of alcoholic liquors by certain vessels
4 N 25
Coastwise trade, clearance and entry of vessels
4 N 116
Compromise of claims
161.5
Consuls, foreign -- Wrongful delivery of registers
4 N 21
Contiguous countries, vehicles and vessels from, failure to report
123.2
Controlled imports and exports
161.2, 162.61
Copyrighted articles
133.41(b), 133.52(b)
Crews' effects -- Failure to declare
148.67
Definitions
162.71
Demand for payment of, smuggled articles of small value
162.31(b)
Determination of, measured by value
162.43
Erroneously assessed -- Cancellation of
171.31
Export declaration, failure to file on time
4 N 107
Fishing vessels, touching and trading foreign
4.15, 4 N 28
Fraud
162.73
Fraudulent handling of merchandise in bonded warehouse
19 N 7
Gold and silver articles, false marking of
11.13, 11 N 14
Gross negligence
162.73
Guidelines, 19 U.S.C. 1497
Part 171, Appendix A
Guidelines, 19 U.S.C. 1592
Part 171, Appendix B
Guidelines, 19 U.S.C. 1641
Part 171, Appendix C
Guidelines -- mitigation, availability of
171.23
Holding and proceeding against vessel or vehicle for payment of
162.22
Importations contrary to law
162.21, 162.22, 161.3, 145.4, 162.63, 123.71
Liquor, Customs marking and stamping bulk
11.6, 11 N 3
Locomotives and railway equipment, foreign -- irregular use
123.12(c)
Mail, unlabeled, dutiable goods in sealed
145.4
Manifest --
Discrepancies in
4.12, 6.7, 162.7
False
4 N 90
Inward foreign, failure to produce
4 N 15
Noncontiguous territory, failure to file manifest for U.S. carrier in
trade with
4 N 107
Outward foreign, failure to file on time
4 N 106
Marihuana -- Unmanifested -- Unladen without permit
162.65, 162.66
Maritime Administration vessels, exemption from
162.22(e)
Marking of gold or silver articles, false
11.13, 11 N 14
Marking of liquor packages
12.38
Marking of packages containing merchandise produced by convict labor
12 N 30
Master of vessel or vehicle --
Failure to --
Answer questions truly
4 N 90
Deliver copy of manifest to designated officer
4 N 16
Produce manifest
4 N 15
Properly clear vessel
4 N 90
Report arrival from contiguous countries
123.1, 123.2
Report delayed departure after clearance
4 N 90
Obstructing boarding officer
4 N 1
Merchandise arriving under bond, failure to deliver
18.8
Merchandise in buildings on boundary line
123.71
Mitigation guidelines, availability of
171.23
Mitigation of -- Petition
162.31, 171.11, 171.33
Narcotics and certain other drugs -- Unmanifested -- Unladen without
permit
162.65, 162.66
Narcotics, marihuana, and certain other drugs -- Importation and
exportation of
12.36, 162.63
Negligence
162.73
Nonpayment of -- Claim to be referred to U.S. attorney
162.32
Notice of, to offender, and prepenalty notice
162.31, 162.76-162.79(a), 171,12,
Obscene matter, etc., importation of
12.40, 12.41
Oil or refuse discharged from vessel into navigable waters
4.66a, 4.66b
Oral presentations seeking relief
171.14
Passenger --
Failure to declare
148.18
Unlading of, without permit
4 N 56
Personal --
Detention of vessel or vehicle as security
162.22(d)
Persons assisting or financing unlawful importation or transportation
of merchandise
162.22(b)
Smuggling activities, etc.
162.22, 161.3
Petition for relief from
171.11, 171.33
Post entry, failure to send copy to designated employees
4 N 24
Pre-Columbian artifacts
12.109
Prepenalty notice
162.76-162.79(a),
Prior disclosure
162.74
Railway equipment and supplies
123.12(c)
Remission or mitigation of fines, penalties, and forfeitures
148.18(c), 162.32, 171.11, 171.33
Remission or mitigation of -- Petitions
171.11, 171.33,
Repairs and equipment to vessels, false statement as to
4 N 27
Seals, breaking of bond
18.4
Soliciting seamen for lodging
4 N 2
Switchblade knives
12.97, 12.101, 12.103
Trademarked articles
133.21, 133.52(a)
Transportation in bond -- Shortage or irregular delivery
18.8
Transportation of merchandise produced by convict labor
12 N 30
Unlading prior to report or entry
4.6, 4 N 13
Unlawful relanding of exported merchandise
18 N 10
Unmanifested merchandise of vessel crew
4.7a(b)(4)
Vessels --
Departure of, before report or entry
4.6, 4 N 13
Discharging oil or refuse matter in navigable waters
4.66a, 4.66b
Entry of, on false document
4 N 10
Failure to make report of arrival or entry
4 N 3, 123.2
Maritime Administration, exemption from
162.22(e)
Unlawful unlading or transshipment
4 N 64
Violation of coastwise laws
4.80(b)
Wild animals and birds, unlawful importation
12.27, 12.28
PERFUMERY, STAMPING
11.1
PERISHABLE MERCHANDISE:
Condensed -- Allowance in duty
158.14(b)
Inspection before entry or while in transit
151.4, 151.5
Sale of seized
162.48-162.51
Sale of unclaimed
127.21-127.29
Unclaimed, transfer to bonded cold-storage warehouse
127.28(c)
Warehousing of, prohibited
144.1
PERMISSION TO DEPART TO NONCONTIGUOUS TERRITORY, WHEN REQUIRED FOR
VESSELS OF U.S.
4.84
PERMITS:
Agency of U.S. Government
142.21(c)
Application for, form
142.22
Articles of a trade fair
142.21(d)
Blending or rectifying wines or liquors
12.37
Bottling liquors
12.37
Delinquent payment
142.26
Discontinuance of immediate delivery
142.25
Failure to file timely
142.27
Fresh fruits and vegetables
142.21(b)
Immediate delivery, special permit
142.21-142.28
Lading or unlading vehicle and vessel of less than 5 net tons from
contiguous country
123.8
Liquor, when required
12.37
Merchandise eligible for
142.21
Merchandise from Canada and Mexico (including fresh fruits and
vegetables)
142.21(b)
Milk and cream importations
12.7
Plant and plant product importations
12.11-12.13
Prohibited merchandise
142.28
Quota class merchandise
142.21(e)
Release of cargo
4.38
Rewarehouse, issuance of -- form
144.34
Supplies for vessels withdrawn from warehouse, delivery permit
10.61
Term special permit
142.24
Time for filing
142.23
Tobacco seed and plants, exportation of
4.61, 4N99
Trucks, buses, and taxicabs -- international traffic
123.14(d)
Unlading of crews effects
4.39, 4.30
Vehicles and vessels from contiguous country
123.2
Vessel permit to unlade or lade -- form
4.30, 123.8
Viruses, serums, and toxins for treatment of domestic animals
12.17
Warehouse entry, issuance of
144.11, 144.38, 144.21
Warehouse withdrawals for consumption, disposition of, by warehouse
officer
144.38
PERSONAL AND HOUSEHOLD EFFECTS OF CERTAIN CLASSES OF PERSONS IN THE
SERVICE OF THE U.S., OF THEIR FAMILIES, AND OF EVACUEES, FREE ENTRY OF
148.71
PERSONAL EFFECTS:
Baggage
148.31-148.39
Citizens dying abroad
148.54
Noncommercial importations of limited value
148.101-148.106
Reliquidation of entry
173.5, 173.6
PERSONAL OR HOUSEHOLD EFFECTS -- PROTEST UNNECESSARY FOR
RELIQUIDATION
173.5
PERSONNEL AND MEDICAL FILES -- DISCLOSURE OF INFORMATION
103.12(f)
PERSONS AUTHORIZED TO RECEIVE CUSTOMS COLLECTIONS
24.2
PERSONS RETURNING FROM ABROAD -- PROFESSIONAL BOOKS -- TOOLS OF TRADE
148.53
PERSONS, SEARCH AND EXAMINATION OF
162.6
PESTICIDES AND DEVICES
12.110-12.117
PETITIONS:
Authority of district director to act
171.21-171.31, 171.33
Chattel mortgage or conditional sales contract
171.13(b)
Limitation on consideration
171.24
Release of seized property stolen in Canada
171.22(c)
Relief from fines, penalties, or forfeitures
162.31, 171.11, 171.21, 171.33
Relief from liquidated damages
172.12
Restoration of proceeds of sale of seized property
171.41-171.44
Seized property, by holder of chattel mortgage or conditional sale
contract
171.13(b)
Seized property of owner not responsible for act
171.13(a)
PETROLEUM AND PETROLEUM PRODUCTS:
Allowance for excessive water and sediment
151.46, 158.13
Controls on lading and gauging
151.42
Information on entry summary
151.41
Public gaugers
151.43
Released under entry or immediate delivery
151.47
Storage tanks
151.44
Storage tanks bonded as warehouses
151.45
PETROLEUM, CRUDE, CANADIAN
10.179
PHONORECORDS, PIRATICAL COPIES DEFINITION
133.42
PIRATICAL COPIES (COPYRIGHTS), DEFINITION
133.42
PLANTS AND PLANT PRODUCTS:
Entry procedure
12.10-12.15
Mail importations
12.10-12.15, 145.57, 145.40
Unclaimed shipments, disposition of
12.13
PLUMAGE:
Artificial flies for fishing
12.29
Domesticated and wild birds
12.29
Game birds
10.76, 12.29
Marking of packages of
12 N 14
Presumption of illegal entry
12 N 16
PLUMAGE AND EGGS OF WILD BIRDS, IMPORTATION -- RESTRICTIONS
12.29
POLLUTION OF COASTAL AND NAVIGABLE WATERS
4.66a, 4.66b, 4.66c
PORT MARKS:
Merchandise to be exported
18.27
Merchandise withdrawn from warehouse for exportation
144.37(d)
PORT OF DESTINATION, CHANGE OF, EMERGENCY
4.33
PORTS OF ENTRY:
By districts
101.3(b)
Definition
101.1(1)
Merchandise subject to sale at, to be reported to headquarters for
disposition
127.22
Shortage reports under transportation entries
18.6
PORTS OR PLACES, CLOSED
4.61, 4.67
PORT ENTRY
4.12, 4.62
POSTAGE STAMPS, ILLUSTRATIONS OF
12.48
POTATOES, SEED -- REDUCED RATE OF DUTY
10.57
POWERS OF ATTORNEY:
Corporate surety
113.37
General, definitions and form of
141.31-141.32,191.6
Protests
174.3
PRACTICE, ESTABLISHED AND UNIFORM
177.10(c)
PRATIQUE
4.9, 4.61, 4.70
PRECLEARANCE OF AIR TRAVELERS' BAGGAGE
148.22
PRELIMINARY ENTRY OF VESSELS -- CERTIFICATION -- FORM
4.8
PRESS, INFORMATION TO
103.14
PRICE PAID OR PAYABLE -- VALUATION-DEFINED, TRADE AGREEMENTS ACT OF
1979
152.102(f)
PRIOR DISCLOSURE, PENALTIES
162.74
PROCEEDS OF SALE:
Abandoned merchandise, disposition of
158.44
Seized property --
Disposition of -- Expenses
162.51
Petition for restoration of
171.41-171.44
Surplus, claim for
127.36
Unclaimed merchandise
127.31-127.37
Warehouse merchandise
127.32, 127.37
When insufficient to pay duty
127.32
PROCESS, JUDICIAL, MERCHANDISE IN WAREHOUSE
19 N 10, 19 N 11
PROCESSING, FURTHER-VALUATION
Deductive value
152.105(i)
PROFESSIONAL ARTISTS, LECTURERS, AND SCIENTISTS, ARTICLES BROUGHT IN
UNDER TEMPORARY IMPORTATION BOND BY
10.34
PROFESSIONAL EQUIPMENT OF NONRESIDENTS SOJOURNING TEMPORARILY --
TEMPORARY IMPORTATION BOND
10.31, 10 N 34, 10.36
PROFIT AND GENERAL EXPENSES -- VALUATION
Computed value
152.106(c)
Deductive value
152.105(e)
PROHIBITED OR RESTRICTED IMPORTATIONS:
Abortions, articles for causing
145.51, 12.40
Agricultural and vegetable seeds
12.16
Alcoholic beverages
12.37, 145.54
Animals, domestic, animal by-products, etc.
12.24
Arms and munitions
145.53, 161.2
Birds, wild
10.76, 12.26-12.28
Caustic or corrosive substances
12.1-12.5
Conception, articles for preventing
12.40, 145.51
Controlled substances
161.2, 162.61-162.66
Convict, forced, or indentured labor, goods made by
12.42-12.45
Copyrights
133.41
Counterfeit coins, etc.
12.48
Cream
12.7
Destruction of
158.41
Diversion of, under transportation entry
18.5(e)
Drugs
12.1-12.5
Eggs of wild birds
12.29
Exportation of
18.25-18.26
Films
12.41
Foods
12.1-12.5
Fungicides
12.1-12.5
Immoral articles
12.40, 145.51
Insect pests
12.31
Insecticides
12.1-12.5
In transit through U.S. to foreign countries
18.21-18.23
Liquors
12.37, 145.54
Literature, seditious, treasonable, etc.
12.40, 145.51
Lottery matter
145.51(b)
Mail, arriving via
145.51-145.59
Marihuana
161.2, 162.61-162.66
Matches
12.34
Meat and meat-food products
12.8-12.9
Milk
12.7
Motor vehicles and engines -- Clear Air Act -- Emission standards
12.73
Motor vehicles and equipment -- Safety standards
12.80
Munitions of war
145.53, 161.2
Narcotics and certain other drugs
12.36, 161.2, 162.61-162.66
Obscene matter
12.40, 12.41
Packages containing obscene or immoral matter
145.51
Parrots
12.26
Pesticides and devices
12.110-12.117
Piratical copies
133.42
Plants and plant products
12.10-12.15
Plumage of wild birds
12.29
Postage stamps, facsimiles of uncanceled
12.48
Pre-Columbian artifacts
12.105-12.109
Securities and illustrations thereof, etc.
12.48
Serums
12.17-12.23
Skins, fur-seal or sea-otter
12.60
Stamps, postage
12.48
Switchblade knives
12.95-12.103
Tea
12.33
Toxins
12.17-12.23
Trademarks or trade names
133.21
Treasonable or insurrectionary matter -- Forcible resistance to law
-- Threats to persons
12.40, 145.51
Unfair competitions, articles involved in
12.39
Value
162.43
Viruses
12.17-12.23
Whales
12.30
Wild animals
10.76, 12.26-12.28
PROPERTY:
Forfeited --
Liens, payment of, when property awarded for official use
171.44
Remission or mitigation of forfeiture -- Petitions
148.18(c), 162.32, 171.11, 171.33, 171.22(c)
Forfeiture and sale of
162.45-162.48
Privately owned, damage to or loss of, caused by Customs officer
24.71
Search and seizure
162.1-162.22
Seized --
Appraisement of
162.43
Award or sale of
162.46
Bond to stop summary forfeiture
162.47(b), 162.49(b)
Disposition
162.46-162.51
Petitions for remission or mitigation of forfeiture
148.18(c), 162.32, 171.11, 171.33, 171.22(c)
Release of, on payment of appraised value
162.44
Reports to U.S. attorney -- When required
161.3, 161.4, 162.32(b), 162.49, 162.47(d)
Stolen in Canada -- Return of
171.22(c)
Seized and forfeited --
Claim and bond for
162.47
Destruction of
162.46(b), (d), 162.50(c)
Expenses -- Disposition of proceeds
162.50
State laws prohibiting sale of
162.46(c)(2), 162.50
Transfer to other districts for sale
162.46(c)(2), 162.50
PROSPECTIVE IMPORTS, CLASSIFICATION OF
177.1
PROTESTS:
Accelerated disposition of
174.22
Amendment of
174.14
Appeals from court decision
176.31
Contents of
174.13
Criteria for further review
174.24
Domestic interested party(ies)
175.11-175.25
Drawback, claim for
191.165
Form of
174.12
Further review of
174.23
General requirements
174.12-174.16
Household or personal effects -- Formal protest unnecessary for
reliquidation
173.5, 173.6
Mail entries
145.22, 145.23
Matters subject to protests
174.11
Notice or denial of
174.30
Power of attorney
174.3
Publication of protest review decision
174.32
Refund of duties on reliquidation
24.36, 176.31, 174.29
Review of, by district director
174.21, 174.29, 174.26
Review of further protests, by whom
174.26
Rewarehouse entries
144.41(h)
Samples, when required for protest purposes
176.11
Stipulations
176.21
Time for filing
174.12(e)
Transmission to court
176.11
PUBLIC INTERNATIONAL ORGANIZATIONS
148.87, 148.88
PUBLIC READING ROOMS
103.1
PUERTO RICO:
Coffee, foreign-grown shipped from U.S. -- Entry of
7.1
Distilled spirits and wines from warehouse, shipped to -- Dutiable
7.1
Shipments to -- Drawback of internal-revenue tax
191.81
PURCHASER, DEFINITION (SPECIAL MARKING)
11.9
PUREBRED ANIMALS, ENTRY OF
10.70, 10.71
QUARANTINE, ANIMALS, DOMESTIC
12.24
QUOTAS:
Absolute quota defined
132.1(a)
Definitions
132.1
Effect of release under immediate delivery
132.14(a)(2)
Entry of quota merchandise --
Acceptance of entry
132.3
As establishing priority
132.11-132.14
Informal
132.11(c)
Mail importation
132.21-132.25
Noting of time of filing on the entry, when
132.13
Exception to reduced rates
132.6
Immediate delivery permits
132.14
Inadvertent release
132.14
Notification of restrictions, mail entries
132.23(a)
Official office hours
132.3
Presentation -- definition
132.1(d)
Priority and status
132.11
Tariff-rate quota defined
132.1(b)
Time of presentation
132.11(a)
RAILROAD CAR FEES
24.22(d)
RAILROAD EQUIPMENT:
Domestic, repaired in foreign country, dutiable status
123.13
Foreign, operating in U.S. -- Entry of, when required
123.12
RAILROAD LOCOMOTIVES AND OTHER RAILROAD EQUIPMENT, TEMPORARY
IMPORTATION BOND FOR
10.31, 10 N 34
RAILROAD SUPPLIES
123.11
RAPESEED OIL
10.56
RATES OF DUTY, INVOICE TO SHOW
141.90
RECEIPTS:
Bills and accounts, for
24.3
Duties on baggage declarations -- Forms
148.27
Duties or taxes on formal or appraisement entries -- Form
24.3
Seizures, for
162.15
RECEIVER, ENTRY BY
141.14
RECORDKEEPING, REQUIREMENTS, WAREHOUSE
19.12
RECORDS:
Actual use
10.137
Copies of, importers may make
103.7-103.11
Defined
162.1a(a)
Entry and clearance of vessels
4.95
Seizure of
162.14
Who must keep
162.1b
Wools, etc., for floor coverings, etc., to be kept by manufacturer
10.93-10.95
RECORDS AND FILES, DISCLOSURE OF INFORMATION FROM
103.0-103.17
REDELIVERY OF MERCHANDISE. (SEE RETURN TO CUSTOMS CUSTODY.)
RE-EXAMINATION OF PERSONS, BAGGAGE OR MERCHANDISE
148.25
REFUNDS:
Abandoned or destroyed merchandise
158.41
Cash deposit on temporary importation bond
10.40
Duties, to whom payable
24.36
Internal-revenue tax
24.36
REFUSE MATTER, DISCHARGED FROM VESSEL IN NAVIGABLE WATERS -- PENALTY
4.66a, 4.66b
REGALIA
10.43
REGISTER OF VESSELS:
Deposit of upon entry
4.9
Foreign trade, requirement for
4.64
REGISTRATION OF ARTICLES:
Exported for alterations or repairs
10.8
Of foreign origin being taken out of the U.S.
148.1
REIMBURSABLE COMPENSATION
4.35, 101.4, 151.5(c), 151.7(c), 141.86(f), 134.52(e), 134.55, 19.5,
19.7, 24.16, 24.17
REIMPORTATION OF MERCHANDISE, DUTIABLE STATUS -- EXCEPTIONS
141.2
RELATED PERSONS -- VALUATION-DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(g)
RELEASE OF MERCHANDISE:
Foods, drugs, insecticides, etc.
12.3
From warehouse
144.38(e)
Immediate delivery, special permit for
142.21-142.29
Immediate delivery for U.S. Government
10.100-10.104
Liens, existence of
141.112
Meat and meat-food products -- Restriction
12.8, 12.9
Permits, when issued for release of cargo
4.38
Release order from carrier, form of
141.111
Release order from warehouse proprietor -- Form
141.111
Seized --
Payment of appraised value
162.44
Under bond -- Petition to court
162.47, 162.49
Warehouse entry permits, issuance of -- Form
144.38(e)
RELIEF AND RESCUE EQUIPMENT AND SUPPLIES FOR EMERGENT TEMPORARY USE
10.107, 10 N 99
RELIGIOUS PURPOSES, ARTICLES FOR
10.43, 10.52
RELIQUIDATION:
Change in rate of duty
177.10
Change of practice
177.10(c)
Clerical error, mistake of fact, inadvertance
173.4
Excessive duties or taxes paid, notice of refund of -- Form
24.36
Fraud probable
173.6
Limitation upon
173.4
Mail entries
145.22-145.24
Notice of
173.3(b)
On account of fraud
173.6
Protest
173.2(d)
Refund of duty
24.36, 176.31
Rewarehouse -- District of liquidation
159.7(b)
Under decisions of U.S. Customs Court and Court of Customs and Patent
Appeals
176.31, 152.16
Voluntary reliquidation
173.3
REMISSION OR MITIGATION OF FINES, PENALTIES AND FORFEITURES
148.18(c), 162.32, 171.1, 171.11, 171.33, 172.2
REPACKING BY IMPORTER, MERCHANDISE IN WAREHOUSE
19.8
REPAIRS:
Antiquities
10.53(d)
Articles exported for
10.8
Automobiles, vehicles, aircraft, boats, teams and saddle horses,
noncommercial, taken abroad
148.31(a), 148.32(c)
Busses, trucks, taxicabs, and their equipment taken abroad for
temporary use
123.17
Definition
10.8
Dutiable status of merchandise repaired abroad
10.8
Personal and household effects taken abroad by returning resident
148.31(b)
Railway, made in foreign country, dutiable status
123.12, 123.13
Railway, made in foreign country, report -- Penalty
123.13, 123.12(c)
Vessels, made abroad
4.14
REPAIRS TO AND EQUIPMENT FOR VESSELS
4.14
REPLACEMENTS FOR ARTICLES DECLARED BY RETURNING RESIDENTS
148.37
REPORT OF ARRIVAL:
Contiguous country, from
123.1, 123.2
Vessels, coastwise
4.81
Vessels, failure to make -- Penalty
4 N 3, 123.2
REPORTS TO U.S. ATTORNEY, WHEN REQUIRED
161.3, 162.32(b), 162.47(d), 162.65(d), 172.2, 172.23, 12.103
REPRODUCTION OF FORMS
4.99, 122.5
REQUESTS FOR CUSTOMS RECORDS AND DOCUMENTS, PROCEDURE
103.2-103.4
RESCUE AND RELIEF EQUIPMENT AND SUPPLIES FOR EMERGENT TEMPORARY USE
10.107, 10 N 99
RESIDENTS:
Definition
148.2
Exemption allowed returning
148.31-148.39, 148.52
Failure to declare
148.18
False or fraudulent claim on returning
148.19
RESIDUE CARGO
4.85, 4.86, 4.88, 4.90
RESTRAINT OF TRADE, ARTICLES IMPORTED UNDER AGREEMENTS IN -- SPECIAL
DUTIES
159.44
RESTRICTED IMPORTATIONS. (SEE PROHIBITED OR RESTRICTED
IMPORTATIONS.)
RESTRICTED MERCHANDISE, IMMEDIATE TRANSPORTATION OF
18.11
RETIREMENT DEDUCTIONS, DECEASED EMPLOYEES -- PROCEDURE OF REFUND
24.32
RETURN TO CUSTOMS CUSTODY -- DEFAULT ON BOND -- LIQUIDATED DAMAGES
141.113, 151.11, 172.21, 172.22, 172.33
RETURNING RESIDENTS, CREW MEMBERS AS
148.63
REVIEW OF PROTESTS BY DISTRICT DIRECTOR
174.21, 174.26, 174.29
REWARDS, INFORMER'S COMPENSATION -- CLAIM
161.11-161.15
REWAREHOUSE AND WITHDRAWAL FOR CONSUMPTION ENTRY
144.42
REWAREHOUSE ENTRY:
Bond -- Form
144.41(d)
Form and procedure
144.41, 144.42
Liquidation
159.7, 159.52
Reliquidation change in duty rate
159.7(b)
Transferee -- Right to withdraw
144.27
ROAD VEHICLE CERTIFICATION
Part 115
ROYALTIES -- LICENSE FEES
Trade Agreements Act of 1979, Transaction value
152.103(f)
RULINGS, ADMINISTRATIVE:
General Ruling Procedure
Change of practice
177.10(c)
Completed transactions, not subject to
177.1(a)(2)(ii)
Current (ongoing) transactions
177.1(a)(2)(i), 177.11
Definitions
177.1(d)
Effect of
177.9, 177.10
How to submit request for
177.2
Internal advice
177.11
Oral discussions
177.4
Prospective transactions
177.1(a)(1)
Publication of decisions
177.10
Requests for advice by field offices
177.11
When requests for rulings will not be issued
177.1(a)(1), 177.1(a)(2)
Government Procurement; country-of-origin determinations
Applicability
177.21
Definitions
177.22
Country of origin advisory ruling By whom a request is filed
177.24
Form and content of request
177.25
Issuance
177.28
Oral discussion of issues
177.27
Where request filed
177.26
Who may request
177.23
Final Determinations Issuance of
177.28
Publication of notice of
177.29
Review of
177.30
Reexamination of
177.31
Request of
177.23
SAFETY STANDARDS FOR BOATS AND OTHER EQUIPMENT
12.85
SAFETY STANDARDS FOR ELECTRONIC PRODUCTS
12.90, 12.91
SAFETY STANDARDS -- MOTOR VEHICLES AND EQUIPMENT
12.80
ST. LAWRENCE RIVER, VESSELS IN COASTWISE TRADE VIA
4.83
SALABLE CUSTOMS FORMS
24.14
SALE OF MERCHANDISE:
Abandoned in bonded warehouse
127.14
Abandoned or unclaimed
127.13-127.29
Advertising
127.25
Articles subject to internal-revenue taxes
127.28(e), (f), (g)
Auctioneer's commission
127.34
Catalogs
127.26
Charges, payment of
127.31, 127.32
Inspection by Department of Agriculture of seeds, drugs, etc., prior
to
127.28(a)
Inspection by Environmental Protection Agency of pesticides and
devices
127.28(b)
Merchandise previously offered for sale
127.29
Merchandise remaining unsold
127.29
Notice of -- Catalogs
127.26
Proceeds, disposition of --
Claim for surplus
127.36
Unclaimed goods
127.36(a)
Warehouse goods
127.36(b)
Seized goods --
Court decree
162.49-162.51
Inspection by other Government agency, when required
162.46(b)
Perishable or liable to waste or deteriorate in value -- Procedure
162.48, 162.50
Petition for restoration of proceeds
171.41-171.44
Proceeds, disposition of -- Expenses
162.51
State laws prohibiting
162.46(c)(2), 162.50
Transfer to other district for sale
162.46(c)(2), 162.50
Storage and other expenses, payment of
127.32, 127.31
Unclaimed and abandoned goods
127.13-127.29
Unclaimed perishable goods
127.22, 127.28(c)
Unclaimed and remaining on dock
127.28(h)
Withdrawal of goods from sale
127.14
SALT FOR CURING FISH
10.80-10.83
SALVAGE VESSELS -- RESTRICTIONS
4.97
SALVORS AND UNDERWRITERS, ENTRY BY
141.13
SAME CLASS OR KIND OF MERCHANDISE -- VALUATION-DEFINED, TRADE
AGREEMENTS ACT OF 1979
152.102(h)
SAMOA:
Customs administration of
7 N 5
Imports from
7.8
Not within Customs territory of U.S.
7 N 5
Shipments to -- Drawback of internal-revenue tax
7.8, 191.81
Unaccompanied shipments from
148.110-148.116
SAMPLES:
Appraisement on
151.10, 151.11
Commercial travelers' baggage
10.68, 10.69, 10.31, 10.36, 10 N 34
Commercial travelers' samples:
Accompanied through Canada and return
123.51
Accompanied through U.S. and return to Canada
123.52
Temporary importation bond
10.36
For reproduction -- Temporary importation bond
10.31, 10 N 34
For taking orders -- Temporary importation bond
10.31, 10 N 34
Metal-bearing ores
151.51-151.53
Official samples, transmission to Customs Court
176.11
Pesticides and devices
12.116
Prior to entry, taking of
151.4, 151.5
Request for ruling
177.2(b)(3)
Sugar
151.24, 151.27, 151.29
Viruses, serums, and toxins for treatment of domestic animals and man
12.19, 12.22
Wool and hair
151.61-151.76
Wool and hair, for importer
151.67
SAMPLING:
Agricultural and vegetable seeds
12.16
Cotton
151.81-151.85
Metal-bearing ores and metal-bearing materials
151.51-151.53
Merchandise in warehouse
151.51, 19.17(f)
Sugars, sirups, and molasses
151.21-151.31
Wool and hair
151.61-151.76
SANCTIONS:
Kongsberg
12.140-12.144
Toshiba
12.140-12.144
SCIENTIFIC OR EDUCATIONAL ARTICLES EXPORTED, RETURN OF
10.67
SCIENTIFIC SPECIMENS FOR EXHIBITION
10.47
SCULPTURE AND MODELS FOR EDUCATIONAL PURPOSES
10.43
SCULPTURE, DEFINITION
10 N 43
SCULPTURE, ORIGINAL, FREE ENTRY, EVIDENCE REQUIRED
10.48
SEA STORES:
Excessive
4.39(d)
Manifesting
4.7, 4.7a
Narcotics included in
4.39(e)
Retained on board vessel
4.7, 4 N 58
Sealing and release of
4.11
Transfer, landing
4.39, 4 N 58
Vessels proceeding foreign via domestic ports
4.87
Vessels with residue cargo for domestic ports
4.85
Wrecked or dismantled tessels
4.40
SEAL, FUR SKINS
12.60-12.63
SEALING, MEAT AND MEAT-FOOD PRODUCTS
12.8
SEALS:
Bond requirements
113.25
Car, compartment, package --
Kinds
24.13
In bond --
Penalty for breaking
18.4(h)
Removal of
18.3(d)
When required
18.4, 18.4a
In transit
123.21-123.26
On railcars
123.33
Numbering and marking of
24.13
Of stores
4.11
SEAMEN, DECLARATION OF ARTICLES UNLADEN BY, WHEN REQUIRED
148.62
SEAMEN'S ACT
4.61, 4.69
SEARCH AND SEIZURE
162.5-162.7, 162.21, 162.22
SEARCH OF PERSONS, BAGGAGE, AND MERCHANDISE
162.6
SEARCH OF BUILDINGS:
Dwelling, search rooms
162.13
On boundary line
123.71
Warrants
162.11-162.15
Application for
162.11
Requirements
162.11-162.15
Seizure without
162.21
SEARCHING AND BOARDING OF VESSELS AND VEHICLES
162.3, 162.5
SECURITIES, ETC., CARRIAGE ON VESSELS
4.61, 4 N 97
SEDITIOUS MATTER, PROHIBITED FROM ENTRY
12.40
SEEDS, AGRICULTURAL AND VEGETABLE:
Entry procedure
12.16
Prohibited entry, when
12.16
Samples and sampling
12.16
SEIZURE:
Addressee of mail articles to be notified of
145.59(b)
Aircraft
6.11
Alcoholic beverages, containers not labeled
12.38
Alcoholic beverages imported in the mails
145.54(b)
Appraisement of
162.43
Articles requiring inspection by other Government agencies,
disposition of
162.46(b)
Chattel mortgage or conditional sales contract
171.13(b)
Claim for
162.47
Compromise of claims
161.5
Contrary to law
162.21, 162.22, 161.3, 145.4
Contributions in general average
141.112(f)
Conveyances importing contrary to law
162.22
Criminal or civil action -- Reports to U.S. attorney
161.3, 162.32(b), 162.47(d), 162.65(d), 172.2, 172.23
Destruction of forfeited property, when
162.46(d), 162.50
Disposition of goods summarily forfeited
162.46
Duties on
148.18(a)
Expenses, payment of
162.51(a)
Exporting merchandise contrary to law
161.2
Forfeiture and sale of
162.45-162.48
Immoral articles, etc.
12.40, 12.41
Liens for freight and other charges
171.44
Limited under 592, Tariff Act of 1930, as amended
162.75
Mail importations contrary to law
145.51-145.59
Marihuana
162.61-162.66
Merchandise imported contrary to law
162.21-162.22
Narcotics and certain other drugs
162.61-162.66
Owner not responsible for act
171.13
Penalty, demand for payment of, articles of small value
162.31(b)
Perishable or liable to waste or deteriorate in value -- Sale of
162.48, 162.49
Persons other than Customs officers making
162.21(b)
Pre-Columbian artifacts
12.109
Receipts
162.15, 162.21(a)
Release of --
Payment of appraised value
162.44
Petitions for
162.31, 171.11, 171.22(c), 171.21, 171.33
Release of information -- pending seizures and investigations
103.13
Reports to U.S. attorney, when required
161.3, 162.32(b), 162.47(d), 162.65(d), 172.2, 172.23, 12.103
State officers, by -- Adoption of by Customs
162.21(c)
Stolen in Canada -- Return of
171.22(c)
Summary sale of
162.45, 162.46, 162.48
Switchblade knives
12.97, 12.101-12.103
Taxes on
148.18(a)
Transfer to other district for sale
162.46(c)
Vehicles used in or employed to aid in lawful importation of
merchandise
162.22
Warrant, without, when
162.11
Who may make
162.21
SEMEN, HONEYBEE
12.32
SERUMS:
For treatment of domestic animals -- Entry procedure
12.17-12.20
For treatment of man -- Entry procedure
12.21-12.23
SERVICES:
Officers, reimbursable
24.17
Overtime, charges for
24.16
SET-OFF CLAIMS
24.72
SETTLEMENT TEST, ORES AND CRUDE METALS -- ASSAYING AND SAMPLING
151.52, 151.54
SHEEPSKINS, FREE ENTRY, WHEN PERMITTED
10.77
SHIPMENTS ARRIVING ON ONE VESSEL OR VEHICLE, CONSIGNED TO ONE
CONSIGNEE -- SEPARATE ENTRIES FOR, WHEN
141.52
SHIPPER'S EXPORT DECLARATIONS:
Aircraft
122.78
Bond for, cancellation of -- Liquidation damages
113.54, 172.22, 172.33
Bond for -- Form
113.14(d)
Filing of
4.61, 4.63, 4.75, 4.84, 4 N 107
Filing of, in event of war
4.75(c)
Incomplete -- Bond
4.75, 4.84, 4 N 107
Penalties
4 N 107, 171.21, 171.31
Vessel proceeding foreign via domestic ports
4.87
SHIPPING ARTICLES
4.61, 4.69
SHIPPING COMMISSIONER, EXECUTION OF SHIPPING ARTICLES BEFORE
4.69
SHIPPING RECEIPT, ENTRY ON
141.11
SHIPS' STORES:
Landing of
4.39, 4 N 58
Manifesting
4.7, 4.7a
Retention on board
4.7
Transfer of
4.39, 4 N 58
Vessels proceeding foreign via domestic ports
4.87
Vessels with residue cargo for domestic ports
4.85
Wrecked or dismantled vessels
4.40
SHOOKS AND STAVES:
Certificate of exportation
10.5
Certificate of foreign shipper and box matter -- Form
10.6
Declaration of importer, when required
10.6
Definition
10.5(b)
Exported and returned
10.5, 10.6
Notice of intent to export
10.5
SHORTAGES:
Duty allowance
158.3
In packages
158.5, 158.6
Withdrawal for export from manufacturing warehouse
19.15
SILVER ARTICLES, FALSE MARKING OF -- PENALTY
11.13, 11 N 14
SIMILAR MERCHANDISE -- VALUATION-DEFINED, TRADE AGREEMENT ACT OF 1979
152.102(i)
Transaction value of
152.104
SIMULTANEOUS VESSEL TRANSACTIONS -- BOND
4.90
SINGLE INVOICES
141.61(f)
SIRUPS. (SEE SUGAR, SIRUPS, AND MOLASSES)
SKINS:
Fur
10.77
Seal
12.61-12.63
Wool or hair-bearing
10.77
SMELTING AND REFINING:
Warehouses
19.17
SMUGGLING
122.167, 162.22, 161.3, 162.31(b), 148.18(a)
SMUGGLING, PASSENGERS' BAGGAGE -- PENALTY
148.18
SOUND RECORDING -- RECORDATION COPYRIGHTS
133.32(f)
SPECIAL CUSTOMS INVOICE
141.83, 141.86(j)
SPECIAL SUMMARY STEEL INVOICE
141.89(b)
SPLITTING OF SHIPMENTS:
Immediate transportation at port of origin
18.11
Transportation and exportation entries
18.24
Withdrawals for transportation and exportation
144.32, 144.36, 144.37
STAINED OR PAINTED GLASS WINDOWS FOR HOUSES OF WORSHIP
10.52
STAMPING:
Cigarette papers and tubes
11.3
Liquors in casks and similar containers
11.6
Medicinal preparations
11.1
Perfumery
11.1
Tobacco products, returned domestic
11.1, 11.2
STAMPS:
Customs inspection -- Cigars, etc., imported in mails
11.1, 145.13
Postage --
Illustrations of, prohibited entry -- Exceptions
12.48
Obligations of the U.S.
12 N 31
Revenue, illustrations of, prohibited entry -- Exceptions
12.48
STANDARDS, OFFICIAL COTTON, FOR LENGTH OF STAPLE
151.81-151.85
STANDARDS, OFFICIAL, FOR GRADES OF WOOL
151.61-151.76
STAPLING OF COTTON
151.81-151.85
STATE INSPECTION AND FEES -- CLEARANCE OF VESSELS WITHHELD FOR
COMPLIANCE
4.61, 4 N 94, 4 N 100
STATE LAWS PROHIBITING SALE OF FORFEITED PROPERTY
162.46(c)(2)
STATEMENT PROCESSING
24.1, 24.25
STATES AND THEIR INSTRUMENTALITIES NOT EXEMPT FROM PAYMENT OF DUTY
141.1(e)
STATIONS, CUSTOMS
101.4
STATUARY:
Definition
10 N 43
Original -- Free entry evidence required
10.48
Sculptures, patterns, models, etc., imported by institutions
10.43
STIPULATION OF LESSEES OF BONDED WAREHOUSES
19.2(b)
STIPULATIONS
176.21
STOCKPILING, STRATEGIC AND CRITICAL MATERIALS FOR
10.100-10.104
STOLEN OR EMBEZZLED MOTOR VEHICLES, ETC., TAKEN TO MEXICO AND
RETURNED
123.72
STOLEN SEIZED PROPERTY FROM CANADA, RETURN OF
171.22(c)
STOPPING VEHICLES OR PERSONS
162.5, 162.7
STORAGE CHARGES ON GOODS IN PUBLIC STORES
19.7, 24.12
STORAGE, GOODS IN MANUFACTURING WAREHOUSES
19.13
STORAGE OF CARGO -- FORM
4.12, 4.62
STORE LIST OF VESSEL SUPPLIES WITHDRAWN
10.60
STOREKEEPERS. (SEE WAREHOUSE OFFICERS, CUSTOMS.)
STORES AND EQUIPMENT OF VESSELS, LANDING OF:
Entry, when required
4.39
Retention on board
4 N 58
Wrecked or dismantled vessels
4.40
STORES, SEA AND SHIPS':
Issuing of, while under seal
4.11
Permit or special license for unlading or lading -- Form
4.30
Sealing of, when
4.11
STRATEGIC AND CRITICAL MATERIALS, STOCKPILING
10.100-10.104
STRIP STAMPS:
Bottles and similar containers
11.7
Liquor in passengers' baggage
148.26, 148.27, 148.51, 148.64
When not required
148.26(b)
SUBPOENA FOR CUSTOMS DOCUMENTS
103.17
SUBSTITUTION OF FORMS
4.99, 122.5
SUGAR, SIRUPS, AND MOLASSES:
Allowance for moisture in raw sugar
151.23
Closets
151.30
Definitions, degree, sugar degree, total sugars
151.22
Estimated duties on raw sugar refund
151.22
Expense of unlading, weighing, sampling, etc.
151.29
Facilities for unlading bulk sugar
151.24
Molasses, Blackstrap
10.139
Molasses or sirups gauging of, discharged in storage tanks
151.28
Molasses or sirups in tank cars, certificate necessary
151.26
Review of tests of sugar, sirup, and molasses
151.31
Weighing and sampling done at time of unlading
151.27
SUITS TO RESTRAIN DISTRICT DIRECTOR FROM REFUND OF DUTIES
24 N 6
SUMMONS:
Contents of
162.1e
Defined
162.1a(c)
Enforcement of
162.1h
Service of
162.1f
SUPERVISION, CUSTOMS
161.1
SUPPLEMENTAL PETITION FOR RELIEF FROM PENALTIES OR FORFEITURES
171.33
SUPPLIES:
Sealing of railway cars
123.11
Vessels, for -- Bond
10.60-10.64
SUPPLIES WITHDRAWN FROM BONDED WAREHOUSE FOR:
Aircraft and vessels
10.59-10.65
SURETIES, LIABILITY UNDER WAREHOUSE ENTRY BOND
144.2
SURETIES ON BONDS
113.31-113.36
SURETIES ON BONDS -- ASSENT TO EXTENSION OF TIME ON BONDS
113.44
SURPLUS PROCEEDS FROM SALE -- UNCLAIMED MERCHANDISE -- DISPOSITION OF
-- CLAIM FOR
127.36
SWITCHBLADE KNIVES:
Definitions
12.95
Forfeiture
12.102
Importations allowed:
Common and special purpose knives -- utilitarian use
12.96
Permitted by statute
12.98
Notice of seizure
12.101(b)
One-armed person
12.98(c), 12.99(a)(3), 12.99(c)(2)
Procedures for permitted entry
12.99
Report to U.S. attorney
12.103
Seizure of prohibited switchblade knives:
Importations in good faith -- exportations
12.100
Inadmissible importations
12.101(a)
TABLE OF NAVIGATION FEES TO BE POSTED
4.98
TAPESTRIES, GOBELIN
10.54
TARE:
Actual -- Invoice -- Schedule
159.22
Excessive moisture and other impurities
158.13
Schedule, list of
159.22
Weighers' duties
159.22
TAXATION -- MERCHANDISE IN WAREHOUSE, EXEMPT
19 N 11
TAXES, IMPORT, WHEN TREATED AS CUSTOMS DUTIES
101.1(i)
TAXES ON SEIZED MERCHANDISE
148.18(a), 148.19, 162.41
TAXICABS:
Domestic, repaired abroad
123.17
Foreign-owned, brought in for hire
10.41, 123.14, 123.15
Taken abroad for hire, return of
123.16
Taken abroad for temporary use -- Tariff status on return
123.16
TEAS:
Baggage, in
148.23(d)
Importation procedure
12.33
TEMPORARY IMPORTATION BOND:
Amount of
10.31
Application for extension
10.37
Articles entitled to entry under
10 N 34
Cancellation of
10.39
Cash deposit in lieu of surety, refund of
10.31, 10.40
Entry --
Liquidation
10.31(h)
Substitute for another entry
10.31
Exportation of articles under -- Landing certificate, when required
10.38, 10.39
Entry -- Form and contents
10.31
Liquidated damages, when assessed
10.39
Merchandise destroyed by casualty or during experiment
10.39
Proof of purpose --
Models of women's wearing apparel
10.35
Professional artists, lecturers, and scientists, articles brought in
by
10.34
Theatrical effects
10.33
TEMPORARY IMPORTATIONS, BOND FOR FORM
113.62
TEST -- VALUES-RELATED PARTY TRANSACTIONS, TRADE AGREEMENTS ACT OF
1979
Transaction value
152.103(l)(2)
TEXTILE MACHINERY -- FOR INSTITUTIONS, CONDITIONALLY FREE
10.43, 10 N 39
TEXTILES AND TEXTILE PRODUCTS
12.130, 12.131, 146.49
THEATRICAL EFFECTS, EXPORTED AND RETURNED
10.68
THEATRICAL SCENERY, PROPERTIES, ETC., BROUGHT IN BY PROPRIETORS OR
MANAGERS OF THEATRICAL EXHIBITIONS -- TEMPORARY IMPORTATION BOND
10.31, 10 N 34, 10.33
THEFT OF MERCHANDISE IN PUBLIC STORES
158.26
THIRD PARTY RECORDER
162.1a(d), 162.1g
THREATS TO TAKE LIFE OR INFLICT BODILY HARM ON ANY PERSON IN U.S.,
ANY MATTER ON -- PROHIBITED IMPORTATION
12.40
TIME LIMIT:
Discharge of cargo
4.36
Entry of merchandise
141.5
TOBACCO AND TOBACCO PRODUCTS:
Baggage, nonresidents
148.43, 148.44
Baggage, residents
148.33
Cigar-manufacturing warehouses
19.16
Cuban leaf tobacco -- Examiners of
151.111
For consumption on vessel or aircraft
10.65
Mail importations
145.13
Packing and marking requirements
11.1, 11.2, 19.16
Transfer into cigar-manufacturing warehouse
19.16
TOBACCO SEED AND PLANTS -- EXPORT PERMIT
4.61, 4 N 99
TONNAGE OF VESSELS, VERIFICATION OF
4.61, 4.65
TONNAGE TAX:
Exemptions
4.21
Noncitizen officers of vessels
4.20
Panama Canal, vessels passing through
4.20(c)
Payment of -- Certificate -- Form
4.23
Rates -- Table
4.20
Refund of
4.24
Special -- Exemptions
4.20, 4.22
Vessels, coastwise, touching at Canadian ports
4.83
Vessels touching at foreign port while in coastwise trade
4.82
Wrong tonnage on document -- How fixed
4.20
Yachts
4.21(b)(5)
TONNAGE YEAR -- HOW COMPUTED
4.20
TOOLS OF TRADE BY NONRESIDENTS SOJOURNING TEMPORARILY IN U.S. --
TEMPORARY IMPORTATION BOND
10.31, 10 N 34, 10.36
TOOLS OF TRADE OF IMMIGRANTS OR PERSONS RETURNING FROM ABROAD, ENTRY
PROCEDURE
148.53
TOUCH AND TRADE
4.15, 4 N 28
TOWING OPERATIONS
4.92
TOXIC SUBSTANCES CONTROL ACT
12.118-12.127
TOXINS:
For treatment of domestic animals -- Entry procedure
12.17-12.20
For treatment of man -- Entry procedure
12.21-12.23
TRADE FAIRS:
Abandonment
147.46, 147.47
Compliance, provisions of Plant Quarantine Act of 1912, and Federal
Food, Drug and Cosmetic Act
147.23
Definitions
147.1
Detail of Customs officers to protect revenue -- Expenses
147.32
Disposition of articles entered for fairs -- Entry or transfer --
Destruction -- Abandonment, voluntary or mandatory -- Exportation
147.41-147.47
Entry -- Appraisement -- Procedure
147.11-147.15
Invoices -- Marking -- Bond
147.3, 147.12, 147.21, 147.22
Requirements of other laws
147.21-147.24
TRADEMARKS AND TRADE NAMES
133.21-133.24
TRADEMARKS AS SPECIAL MARKING
11.9
TRADE JOURNALS, ETC., INFORMATION TO
103.14
TRANSACTION VALUE
152.103
TRANSACTION VALUE -- IDENTICAL AND SIMILAR MERCHANDISE
152.104
TRANSFER CERTIFICATES COVERING WOOLS
10.95
TRANSFER OF CARGO AND PASSENGERS -- AMERICAN VESSELS
4.91
TRANSFEREES:
Liability for duties
144.2
Rewarehouse entry -- Procedure
144.41, 144.42
Rights and privileges, warehouse merchandise --
144.31-144.38
Withdrawals by --
For consumption
144.31, 144.38
For exportation
144.31, 144.37
TRANSIT AIR CARGO (See Aircraft)
TRANSPORTATION AND EXPORTATION:
Authority for
18 N 8
Baggage -- For examination at port of destination
18.13
For exportation in transit through U.S.
18.14, 123.31, 123.52
Bond for -- Form
113.14(i)
Cargo not sealed allowed to proceed
18.4
Carriers -- Bonds
18.1
Change of destination
18.23
Change of Entry
18.23
Common carrier not available
18.20
Diversions at port
18.5
Entries, kinds of
18.10
Entry procedure -- Form
18.20, 122.92
Examination of merchandise by Interstate Commerce Commission and
trunk line associations
18.9
Exit, procedure at port of
18.22, 122.92
Foreign manifests
123.32
Forwarding port, procedure at
18.20
Immediate transportation without appraisement
18.11, 122.92(b)
In transit through U.S.
18.20, 123.21-123.34
Irregular delivery (shortages)
18.6, 18.8
Labeling of packages in lieu of sealing
18.4, 122.92(f), 122.92(g)
Liability of carrier
18.8
Limit of time merchandise may remain in U.S
18.24, 18 N 9
Manifests, disposition of
18.2, 18.3, 122.93
Merchandise entered for, when treated as unclaimed
18.20, 18 N 9
Nonbonded goods with bonded
18.4
Receipt by bonded common carrier
18.2
Restricted and prohibited merchandise
18.21-18.23
Retention of goods on dock
18.24
Sealing of conveyances
18.4, 122.92(f)
Short shipments
18.6, 18.8
Shortages of irregualar deliveries, report of -- Penalty
18.6, 18.8
Splitting of shipments
18.24, 122.92(d)
Transportation and exportation warehouse withdrawals
144.31-144.37
Warehouse and rewarehouse withdrawals for transportation
144.22, 144.36, 159.7
Warehouse withdrawals for exportation
144.32, 144.37
Warning cards on cars, etc
18.4
Withdrawals from smelting and refining warehouse
19.20
TRANSPORTATION OF MERCHANDISE PRODUCED BY CONVICT LABOR --
Penalty
12 N 30
TRANSPORTATION OF WILD ANIMALS AND BIRDS -- RESTRICTIONS
12.27
TRANSPORTATION ORDERS -- DEFENSE PRODUCTION ACT OF 1950
4.74
TRANSSHIPMENT -- BONDED MERCHANDISE
18.3
TRANSSHIPMENT OF CARGO
4.91
TREASONABLE LITERATURE, ETC.
12.40
TRUCK SHIPMENTS TRANSITING CANADA
123.41
TRUCK SHIPMENTS TRANSITING THE U.S.
123.42
TRUCKS:
Brought in for temporary use in international traffic
10.41, 123.14
Domestic, repaired abroad
123.17
Fees, commercial trucks
24.22(c)
Foreign-owned brought in for hire
10.41, 123.14, 123.15
Taken abroad for temporary use -- Tariff status on return
123.16
Taken abroad under hire and returned
123.16
TRUNK LINE ASSOCIATIONS -- MERCHANDISE SHIPPED IN BOND, EXAMINATION
BY
18.9
UNCLAIMED AND ABANDONED MERCHANDISE:
Allowance in duties
158.41-158.45
Application to abandon
158.42, 158.43
Appraisement of
127.23
Auctioneer's commission
127.34
Cartage of
125.14
Defined
127.11
Dutiable status after 1 year
127.14
Duty deficit collectible from consignee, when
127.37
Entry of, before sale
127.14
Exportation of -- Controlled
161.2
Immediate transportation entry after 1 year from date of importation,
when permitted
127.2
Involuntarily, abandonment of
127.12
Plants and plant products
12.13
Sale of --
General procedure
127.21-127.27
Notice of -- Catalogs
127.26
Perishable
127.28(c)
Proceeds, claim for surplus
127.36
Proceeds, disposition of
127.31
Proceeds insufficient
127.37
Proceeds, surplus, payable to owner or consignee
127.36
Special items, i.e., drugs, arms, tobacco and alcoholic beverages
127.28
Storage of
127.13
Time period -- abandonment
158.43(c)(2)
Time period -- destruction
158.43(d)(2)
Transportation and exportation, merchandise entered for, when treated
as
18.20, 18 N 9
Unordered goods not accepted by consignee
141.1(f)
Warehouse entry when not permitted
127.14
Withdrawal from sale
127.14(b)
UNCLAIMED FOR UNACCOMPANIED BAGGAGE
148.7
UNDERVALUATION, ENTRY BY MEANS OF FALSE INVOICES, DOCUMENTS,
PRACTICES, ETC. -- PENALTY
148.19
UNDERWRITERS:
Certificate of, for bonded warehouse
19.2
Entry by
141.13
UNFAIR COMPETITION
12.39
UNFAIR PRACTICES IN IMPORT TRADE -- BOND
113.62
UNITED NATIONS AND ITS SPECIALIZED AGENCIES
148.87, 148.88
UNIT PRICE -- VALUATION-DEFINED, TRADE AGREEMENTS ACT OF 1979
152.102(k)
UNLADING:
Crews effects
148.62-148.67
Merchandise or baggage, from contiguous country
123.8
Vessels --
Place to be done
4 N 68
Permit or special license for -- Form
4.30
U.S.:
American goods returned consigned to -- Free entry procedure
10.103
Articles for any department, bureau, or division of
10.46, 141.102(d), 145.37, 10.100-10.104
Books, engravings and other articles, conditionally free
10.46, 145.37
Definition of -- Exemption from import taxes on products of American
fisheries
10.79
Emergency purchases abroad by armed forces
10.100-10.104
Enforcement of laws administered by agencies other than Customs
161.2
Entry and liquidation procedure
141.83(c)(8), 141.102(d), 10.100-10.104
Fisheries -- See ''Fisheries, American''
10.78, 10.79
Mail importations for offices or officials of
145.37
Shipments consigned to Government departments, bureaus, etc. -- Entry
of
141.83(c)(8), 141.102(d), 10.100-10.104
Strategical and critical materials, stockpiling
10.102
U.S. AGENCIES:
Books, engravings, etc., conditionally free
10.46, 145.37
Purebred animals for breeding purposes
10 N 64
U.S. ATTORNEYS, REPORTS TO, IN CIVIL, CRIMINAL, PENALTY, OR
FORFEITURE CASES, WHEN REQUIRED
161.3, 162.32(b), 162.47(d), 162.65(d), 172.2, 172.23
UNITED STATES, CERTAIN CLASSES OF PERSONS IN THE SERVICE OF, AND
THEIR FAMILIES -- FREE ENTRY OF PERSONAL AND HOUSEHOLD EFFECTS
148.71
U.S. DEPARTMENT OF AGRICULTURE -- MEAT AND MEAT-FOOD PRODUCTS FOR
EXPORT, INSPECTION BY
4.61, 4.72
U.S. MARITIME ADMINISTRATION:
Vessels exempt from penalties
162.22(e)
U.S. OBLIGATIONS ACCEPTED IN LIEU OF SURETIES ON BONDS
113.39
U.S., VESSELS OWNED BY -- BOND NOT REQUIRED TO UNLADE ON BONDS
4.30
VALUE:
Absence of, cannot be determined
152.107
Advances in -- Notice to importer
152.2
Articles assembled abroad and exported to the U.S. prior to July 1,
1980
10.18
Baggage
148.13(d), 148.24, 148.33
Basis upon which appraisement is made
152.101
Computed value
141.88
Cost of production -- When to be shown on invoice
141.88
Date of exportation
152.1(c)
Declarations
148.13(d)
Entered value, how shown on entry
141.61
Furnishing of information to importer
152.26
Immediate transportation entry, used on
18.11
Importer to show on entry
141.90(c)
Rewarehouse entries
144.41(e)
Seized property or penalty
162.43
Time of exportation
152.1(c)
VEGETABLE OILS -- OLIVE, PALM-KERNEL, RAPESEED, SUNFLOWER, AND SESAME
-- DENATURING -- RELEASE, REQUIREMENTS FOR
10.56
VEHICLE, ROAD, CERTIFICATION
Part 115
VEHICLES:
Automotive products -- Canadian article
10.84
Bond -- Form
113.62-113.64
Common carrier, clearance of
162.22
Compensation of Customs officer assigned to board --
Proceeding between ports
24.17(a)(7)
To protect the revenue
24.17(a)(1)
Contiguous countries, from -- Report and Manifest -- Permits --
Penalty
123.1-123.9
Departure before report or entry
4 N 13
Detention of, to secure payment of personal penalties
162.22(d)
Exportation of used
192.1 et seq.
Forfeited, petition to be filed
162.31-162.32
Forfeiture and sale of
162.45, 162.46, 162.47
Holding and proceeding against, for payment of penalty
162.22
Inspection of
162&5
Lading without special license or permit
162.22, 4 N 56, 4 N 59
Manifest --
Disposition of
4.7
Examination of
162.5
Marking of licensed cartage and lighterage
112.27
Motor vehicles -- Canadian article
10.84
Motor vehicles -- Clean Air Act -- emission standards
12.73
Motor vehicles -- safety standards
12.80
Narcotics and certain other drugs -- Unmanifested -- Unladen without
permit
162.65, 162.66
Nonresident -- Free entry
148.45
Overtime, bond -- Form
123.8(c)
Passengers, unlading of without permit -- Penalty
4 N 56
Persons and baggage, examination of
162.6, 162.7
Petitions, relief from penalties and forfeitures
171.11, 171.22(c), 171.33, 171.2
Report of arrival
123.1(b)
Safety standards -- National Traffic and Motor Vehicle Safety Act
12.80
Sealed merchandise arriving in -- Penalty
18.4
Search of
162.5, 162.7
Seized --
Appraisement of
162.43
Award or sale of
162.45-162.47
Seizure of
161.2, 162.22
Release of, on payment of appraised value
162.44
Release of, petition for
162.31, 162.32, 171.11, 171.33
Release on bond
162.47, 162.49
Remission or mitigation of forfeiture
162.31, 162.32, 171.11-171.33
Sold under chattel mortgage or conditional sale contract -- Petition
171.13(b)
Stolen in Canada -- Return of
171.22(c)
Stolen in Mexico
123.72
Subject to summary forfeiture -- Release under bond
162.47, 162.49
Taken abroad temporarily, tariff status on return
148.32
Transfers to other district for sale
162.46(c)(2)
Claim and bond to stop summary forfeiture
162.47
Seizure by State officers, adoption of, by Customs
162.21
Seizure of -- When used in or employed to aid in unlawful
importation of
merchandise
162.21, 162.22
Stopping and searching
162.5, 162.7
Unlading before report or entry
4 N 13
Unlading without special license or permit
162.22, 4 N 56, 4 N 59
Used illegally, knowledge of owner material in petition
171.13
VEHICLES, MOTOR, ETC., STOLEN OR EMBEZZLED, TAKEN TO MEXICO AND
RETURNED
123.72
VESSELS:
Alcoholic liquors on vessels not over 500 tons
4.13
Alien-owned, undocumented
4 N 9
American -- Transfer of cargo and passengers
4.91
American-built, for foreign account, clearance of
4.61(c)
Army and Navy transports, Customs supervision and search of
162.3(b)
Arrival of
4.1, 4.2
Arriving with foreign merchandise destined for foreign ports
4.88, 4.89
Arrival, reports of, Coastwise Trade
4.81
Bills of health (pratique), production of
4.9(d)
Boarding of
162.3, 4.1
Boarding or leaving without permission -- Penalty
4.1, 4 N 2
Bonds -- Forms
113.62-113.64
Bonded cargo not sealed
18.4
Bulk merchandise, unlading of, outside port of entry --
Expenses reimbursable
4.35
Cargo --
Bulk for orders -- Manifest, amendment of
4.36, 4 N 71
Certificate of inspection, verification of
4.61, 4.66
Discharge of, exceeding time limit -- Compensation of discharging
officer
4.36, 4 N 69, 24.17
Discharge of, outside port of entry -- Compensation and expenses of
discharging officer
24.17
General-order procedure
4.37
Inward, accounting for
4.61, 4.62
Recovered from sunk or wrecked vessel or as derelict
4.41, 4 N 76, 4 N 78
Unlading, time limit
4.36, 4 N 69
Clearance --
Bond -- Unmanifested narcotics
162.64(e)
Common carrier -- Penalty incurred by master or owner
162.22(c)
Foreign -- Penalty
4.61, 4 N 90, 162.22
Requirements
4.60, 4.61, 4.64
Transportation orders issued under Defense Production Act of 1950
4.74
When not required
4.60
Clearance of -- (See also Clearance of vessels.)
At other than port of entry -- Expenses
24.17, 101.4
Documentation required
4.61, 4.64
Neutrality observance
4.61, 4.73
Outward foreign manifests required
4.61, 4.63, 4.75
Requirements as to crew list
4.61, 4.68
Requirements as to seamen's act and shipping articles
4.61, 4.69
To Panama Canal
4.60(c)
To closed ports or places
4.61, 4.67
When not required
4.60
Coasting trade and fishing -- Documents required
4.80
Coastwise --
Bonded cargo, report of
4.81(b)
Clearance
4.81, 4.83, 4.84
Entitled to engage in
4.80
Entry and clearance -- Penalty
4 N 116
Entry of
4.81, 4.83, 4.84
Intercoastal movements
4.86
Passengers on foreign vessels taken on board and landed in the U.S.
4.80a
Report of arrival
4.81
St. Lawrence River, via
4.83
Touching at foreign port
4.82, 4.90
Common carriers, clearance may be refused
162.22
Compensation of Customs officers assigned to board --
Proceeding between ports
24.17
To protect the revenue
4.36, 24.17
Contiguous country, from -- Report and manifest -- Permits -- Penalty
123.1-123.8
Convention -- Fisheries
4.96
Crew-Articles landed or taken ashore
148.62-148.66
Crew assisting in unlawful importation of merchandise -- Penalty
148.67, 162.22
Crew list
4.61, 4.68
Crew list with entry of
4 N 19
Crews, articles acquired by
4.7, 4.72, 148.62-148.66
Definition
4.0
Departure --
Before report or entry -- Penalty
4.6
Time of, definition
4.3
Derelict --
Report of arrival
4.2
Who may report
4.2
Detention of, to secure penalty
162.22
Discrepancies in cargo correction -- Penalty
4.12, 4 N 24, 4.62
Discriminating countries, from -- Restrictions
4.17
Dismantled in American port, hulls and fittings
4.40
Distress -- Landing cargo at other than port of destination
4.32
Diversion of cargo from port of destination
4.33
Diversion of, while en route
4.91
Diverted after clearance, with supplies withdrawn from warehouse
10.63
Drawback -- Material for original construction and equipment
191.4
Dunnage
4.39(c)
Engaged in several movements or transactions simultaneously
4.90
Enrolled or licensed for coasting trade and mackeral fisheries --
Restrictions
4.15(d)
Entitled to engage in coastwise trade
4.80
Entry and clearance of --
On board -- Application -- Bond -- Form
4.16
Records
4.95
Entry and unlading of, where to be made
4 N 68
Entry at customhouse, when not required
4 N 5
Entry of --
American
4.9
At other than port of entry -- Expenses
24.17, 101.4
Foreign
4.9
On forged, altered, or false documents -- Penalty
4 N 10
When not required
4 N 5
When required
4.3
Who may make
4 N 10
Equipment purchased abroad for American
4.14
Examination of
162.3, 162.5
Export declarations -- Vessel proceeding foreign via domestic ports
4.87
Fees, commercial vessel
24.22(b)
Fees, entry and clearance -- When exempt from
4 N 7, 4 N 8, 4 N 91
Fees for recording documents
4.98
Fees, private vessels
24.22(e)
Ferry boats, entry requirements
4 N 7
Fisheries of U.S. -- Limited to American
4.96
Fishing, enrolled and licensed for, touching and trading at foreign
places -- Permit -- Form
4.15
Foreign trade --
Register or frontier enrollment and license required
4.64
Touching at intermediate foreign port while proceeding via domestic
ports
4.89
Forfeiture and sale of
162.45-162.47
Formal entry -- Oath -- Form
4.9
Frontier enrollment and license, under -- Touching at foreign port
4.82, 4.90
Government owned
4.5
Great Lakes, trade between ports
4.83
Holding and proceeding against, for payment of penalty
162.22(d)
Hovering, definition
4 N 3
Hudson River, proceeding to sea via
4.83(b)
Importation restrictions -- Vessels of less than 30 net tons
4.100
Inspection of
162.3, 162.5
Lading or unlading without special license or permit
4.30
Letters on, disposition of
162.4
Licenses --
Less than 30 net tons
4.100
Yachts, cruising licenses
4.94
Light money, table
4.20
Light money, yachts
4.94
Livestock-carrying -- Exportation of animals -- Inspection
4.61, 4.71
Mail, carriage of
4.61
Manifest --
Examination of
162.3, 162.5
Incorrect
4.12, 4 N 90
Inward foreign -- Contents -- Form
4.7
Outward foreign
4.61, 4.63, 4.75
Refusal of master to produce -- Penalty
4 N 15
Vessel proceeding foreign via domestic ports
4.87
Marihuana --
Cargo or passenger's baggage
162.65
Unladen without a permit -- Penalty
162.66
Unmanifested -- Penalty
162.65
Maritime Administration, exempted from penalties
162.22(e)
Measuring, expenses of, reimbursable
24.17
Meat inspection certificate required before clearance of -- Master's
oath
4.61, 4.72
Merchandise and baggage on vessels not required to enter, report of
4.2
Narcotics and certain other drugs, etc. --
Cargo or passenger's baggage
162.65
Clearance
162.65(e)
Sea stores
4.39
Unladen without permit
162.66
Unmanifested -- Penalties
162.65
Navigation fees --
Payment of, before clearance
4 N 100
Table of
4.98
No clearance without issuance of certificate of free pratique
4.70
Noncontiguous territory; report of arrival, entry, clearance or
permission to depart to
4.84
Nonconvention -- Fisheries
4.96
Oil discharged into coastal navigable waters -- Penalty
4.66a, 4.66b
Overage of cargo -- Form
4.12, 4.62
Overtime -- Boarding, entry or clearance in connection with -- Forms
-- Bond
4.10
Panama Canal, transiting, report of
4.4
Passenger list, to be submitted by master
4.50
Passengers --
Requirements
4.50
Unlading of without permit -- Penalty
4 N 56
Passengers and baggage, list of
4.7
Permit or special license to unlade or lade -- Form
4.30
Persons and baggage, examination of
162.6
Petitions, relief from penalties and forfeitures
162.31, 162.32, 171.1-171.44
Pleasure yachts, when required to be licensed
4.94
Pratique (bills of health), when required
4.9(d)
Preliminary entry of vessels -- Certification -- Form
4.8
Prematurely discharged or overcarried cargo, disposition of
4.34
Proceeding foreign via domestic ports
4.87
Reexamination and search
162.6
Refuse matter discharged or deposited in navigable waters -- Penalty
4.66a, 4.66b
Repairs to American, abroad
4.14
Report of arrival, failure to report -- Penalty
4 N 3
Residue cargo
4.85, 4.86, 4.88
St Lawrence River via
4.83
Salvage -- Restrictions as to
4.97
Sea, and ships' stores
4.39, 4.87
Sealed
4.11, 18.3, 18.4, 18.4a, 123.24, 123.33
Sea or medical stores -- Narcotic drugs
4.39, 162.65, 162.66
Search of -- Baggage and persons
162.6, 162.7, 4.1
Securities, etc., carriage of
4.61, 4 N 97
Seized --
Appraisement of
162.43
Award or sale of
162.45-162.47
Release of, on payment of appraised value
162.44
Release of -- Petition for
162.31, 162.32, 171.11, 171.33
Release on bond
162.47, 162.49(b)
Remission or mitigation of forfeiture
162.31, 162.32, 171.11-171.44
Claim and bond to stop summary forfeiture
162.47
Seizure by State officers, adoption of, by Customs
162.21
Seizure of --
When used in or employed to aid in unlawful importation of
merchandise
162.21, 162.22
When used in unlawful exportation of articles
161.2(b)
Shippers' export declarations
4.75
Shortage of cargo -- Form
4.12, 4.62
Sold under chattel mortgage or conditional sale contract -- Petition
171.13(b)
Special license issued under Anti-Smuggling Act to vessels of less
than 30 net tons
4.100
Special license to unlade or lade -- Form
4.30
Stores and equipment, landing of retention on board -- Entry, when
required
4.39, 4 N 58
Stores, sea and ships', sealing of, when
4.11
Subject to summary forfeiture -- Release under bond
162.47, 162.49
Supervision of, while in port
4.1
Supplies and equipment for --
Foreign Trade Zone, Removal
146.69
Withdrawn from bonded warehouse, Customs custody, internal-revenue
bonded warehouse, etc.
10.59-10.64
Tonnage tax -- Exemptions
4.20-4.22
Towing operations
4.92
Transfer to other districts for sale
162.46
Transiting Panama Canal -- baggage
148.3
Transports, Government, manifest of passengers and baggage -- Form
4.5
Transshipment of cargo due to casualty
4.31
Trial trips -- Clearance not required
4 N 93
Undelivered cargo at foreign destination, returned, disposition of
4.34
Unlading --
Articles by seaman or officer
148.61-148.67
Elsewhere than at port of entry
4.35
Prior to report or entry -- Penalty
4.6, 4 N 13
Where to be made
4 N 68
Without special license or permit -- Penalty
4 N 56, 4 N 59
Unlading or transshipment at other than port of entry to casualty
4.31
Unmanifested narcotics, marihuana, and certain other drugs
162.65
U.S. Government owned, bond not required to unlade or lade
4.30(j)
U.S. Government, supplies withdrawn for
10.59, 10 N 56
U.S. ports on Great Lakes and other ports in U.S., trading between
4.83
Verification of nationality and tonnage
4.61, 4.65
Voyage --
Inward foreign, when completed
4 N 121
Outward foreign, when begun
4 N 121
War, supplies for, withdrawn from warehouse
10 N 56
Whale fisheries, privileges and exemptions
4.96
Withdrawal of supplies and equipment from
10.59
Foreign Trade Zone
146.69
Warehouse
144.35
Wrecked -- American waters, in and outside
4.40, 4.41
Manifest for an entry of cargo
4.41
Underwriters or salvor of cargo deemed consignee
141.13
Yachts
4.94
VIRGIN ISLANDS:
Flights to and from
122.41-122.44
Foreign country, when not (under sec. 466, T.A. 1930)
4 N 26
Imports from
7.8
Not ''ports of entry''
101.1(l)
Shipments to -- Drawback
7.8, 191.81, 191.131
Unaccompanied shipments from
148.110-148.116
Vessels arriving at or from -- Examination of persons, baggage, or
merchandise
162.6
VIRUSES, SERUMS, AND TOXINS:
For treatment of domestic animals -- Entry procedures
12.17-12.20
For treatment of man -- Entry procedure
12.21-12.23
Mail importations
12.17-12.23, 145.57
VOUCHERS, BILLS OF SALE, OR INVOICES; CERTIFICATION
24.34
WAKE ISLAND:
Articles shipped to -- Drawback
7.8
Customs administration of
7 N 5
Imports from
7.8
Not within Customs territory of U.S.
7 N 5
WAREHOUSE ENTRY:
Allowance of duties on
144.3
Arrival as condition for
141.63
Bond -- Form
144.13, 113.14
Estimated duties on
144.12
Form and procedure
144.11-144.28
Liquidation of
159.7, 159.9
Transferee --
Liability for duties
144.2
Rights and obligations of
144.21-144.31
Transferor -- Liability for duties
144.2, 144.21
Unclaimed merchandise
127.14
WAREHOUSE PROPRIETOR'S BOND -- FORM
113.14(a)
WAREHOUSE WITHDRAWALS:
Consumption
144.38
Making withdrawal
144.31-144.38
Exportation
144.37
Liquidation -- When -- Bulletin
159.9
Permit to transfer and withdraw merchandise
144.39
Transportation and exportation -- Splitting of shipments
144.36(b), 144.37(b)(a)
Transportation
144.36
Vessels and aircraft supplies
144.35
WAREHOUSES:
Abandonment of merchandise -- Duty allowance
158.43, 158.44, 158.41
Bonded --
Alterations or Relocation
19.3
Amount of bond
113.13
Application to bond -- Annual Fee
19.2, 19.5
Articles exported from, and returned
10.3(d)
Bins for storage of grain
19.1
Bonded stores, definition
19.1
Bonds
19.2
Buildings or enclosures as
19.1
Charges after sale of merchandise in, payment of
127.31-127.37
Suspensions; discontinuance
19.3
Classes of, description
19.1
Cleaning, sorting, and repacking -- Established for
19.1
Damage or loss of merchandise
158.11-158.30
Destruction of merchandise in
158.41-158.45
Discontinuance of
19.3
Disposition of merchandise in --
After expiration of warehouse period
127.13, 127.14
Duty paid, undelivered
127.14
Elevators for storage of grain
19.1
Examination packages, delivery of
19.10
Examining, repacking, sampling, transferring merchandise by importers
19.8
Expenses of labor and storage, merchandise liable for
19.7
Fires, lights, and locks
19.4
Fraudulent handling of merchandise in
19 N 7
Importer to designate on entry -- the bonded warehouse
144.11(b)
Importer's private, definition
19.1
Liability for duty on merchandise in
144.2, 144.3
Liens for freight
19.6
Locks, Customs, required
19.4
Manipulated merchandise -- Dutiable weight, etc.
159.21, 159.22
Merchandise in, under change of law
152.12, 152.16, 152.17
New bond, when necessary
19.2
Offices for warehouse officer
19.4
Protection requirements
19.1
Public -- For merchandise
19.1
Public store, definition
19.1
Release of merchandise
19.6, 144.38(e)
Renewal of bond
19.2
Recordkeeping, storage
19.12
Sanitary requirements
19.4
Stables for storage of animals
19.1
Stipulation of lessee
19.2
Storage and labor charges
19.7, 24.12
Storage tanks for petroleum products
151.45
Suspended status, nonbonded, storage permitted
19.3
Transfer of merchandise from discontinued
19.3
Yards or sheds for bulky articles
19.1
Cigar manufacturing --
Constructive manipulation warehouses
19.1
Manufacturing
19.13-19.15
Application for establishing
19.13(b)
Bond -- Form
19.13, 113.11
Buildings or parts of, designated as
19.13
Byproducts, withdrawal of
19.15
Containers or coverings of materials
19.15
Entry of goods into -- Form -- Bond
19.14
Export procedure
19.15
Exportation of products required
19.15
Formula of manufacture
19.13, 19 N 17
Free material, application to receive -- Form
19.14
Manufacturer's statement
19.15
Marking of products
19.13
Puerto Rico, liquors withdrawn for shipment to
7.1, 19.15(i)
Rectifying liquors
7 N 2
Shortages, etc., in transportation -- Charge against carrier
19.15(m)
Storage of goods
19.13
Transfer of domestic spirits and wines to
19.14(d)
Transfer of dutiable and taxable goods
19 N 4
Waste, withdrawal of
19.15
Warehouse officer to verify manufacturer's statement
19.15(j)
Withdrawals
19.15, 19 N 18
Smelting and refining
19.17-19.25
Assaying of metal-bearing ores and metals
151.51-151.55
Bond, renewal of
19.17
Bond charges and credits, basis for
19.15, 19 N 18
Credit for dutiable metals lost
19.25
Different establishments, done in
19.21
Discontinuance
19.17
Entry procedure
19.17
Establishment of -- Application -- Bond
19.17, 113.12
Manufacturer's statements
19.19
Metal refined from crude metal (imported and produced from imported
materials)
19.22
Moisture allowance in ores and metals
151.52, 151.54
Premises, change in list of
19.17
Records, manufacturer's, required
19.19
Sampling procedures
19.17, 151.52
Segregation of bonded metal-bearing ores
19.17
Theoretical transfer
19.24
Transfer of credits on bonds
19.24
Wastage, allowance for
19.18, 19.19
Withdrawal credits
19.25
Withdrawals for consumption
19.18
Withdrawals for exportation, credit for
19.20, 19.23
Withdrawals for transfer
19.24, 19.25, 19.20
Storage-manipulation --
Application to manipulate
19.11
Duties, how assessed on withdrawal
19 N 15
Entry for
19.11
Repacking after manipulation
19.11
Requirements
19.11
Transfer of merchandise
19.11
Withdrawal from
19.11
WARRANTS, SEARCH, PROCURING AND SERVING OF
162.11-162.15
WASTAGE -- SMELTING AND REFINING
19.18, 19.19
WATCHES AND WATCH MOVEMENTS FROM INSULAR POSSESSIONS
10.181
WAX DISKS AS MASTER RECORDS FOR SOUND RECORDS FOR EXPORT
10.90, 10 N 81
WEIGHING:
Expenses of
141.86(f)
Sugar, sirup, and molasses
151.27, 151.29
Tare, determination of
159.22
Warehoused goods, for exportation or transportation
144.37(e)
Wool and hair
151.68, 151.69
WHALE FISHERIES, VESSELS IN, PRIVILEGES AND EXEMPTIONS
4.96(h)
WHALES -- IMPORTATION AND EXPORTATION RESTRICTIONS
12.30
WHEAT ENTERED AS UNFIT FOR HUMAN CONSUMPTION
10.106
WILD ANIMALS:
Exported for exhibition, return of
10.66, 10 N 62
Importation procedure
10.76, 12.26-12.28
Scientific or educational purposes, for
10.75
WINDOWS, STAINED OR PAINTED GLASS -- HOUSES OF WORSHIP, FOR
10.52, 10 N 47
WINES (BULK IMPORTATIONS), IN CASKS AND SIMILAR CONTAINERS
11.6
WITHDRAWAL OF MERCHANDISE FROM SALE
127.14
WITHDRAWALS, CONDITIONALLY FREE, BOND FOR -- FORM
113.62
WITHDRAWALS FOR TRANSPORTATION AND EXPORTATION CONVERTED TO
WITHDRAWAL FOR CONSUMPTION
144.37
WITHDRAWALS FROM WAREHOUSE:
Bonded manufacturing
19.15
Consumption --
Computation of duties
141.104
Form and procedure
144.31-144.38
Transferee, when by
144.21-144.28
Exportation
144.37
Manipulated merchandise
19.11
Period
127.14, 144.5
Petroleum products
151.45
Smelting and refining
19.18, 19.25
Transportation, for --
Before liquidation
144.36
Before liquidation without deposit in warehouse
144.36
Entry -- Form
144.36(c)
Procedure at destination
144.36(g)
Procedure, forwarding
144.36(f)
Samples withdrawn, duties on
144.36(e)
Vessel supplies -- Form
10.60-10.64
Weighing, gauging, and measuring merchandise for exportation or
transportation
144.37(e)
WITHDRAWALS FROM WAREHOUSE OR CUSTOMS CUSTODY -- TOBACCO PRODUCTS FOR
CONSUMPTION ON VESSELS -- BLANKET WITHDRAWALS -- INVENTORIES
10.65
WITHDRAWAL OF SUPPLIES AND EQUIPMENT FOR VESSELS
10.59
WOOD CUTS, DEFINITION
10 N 43
WOOL AND HAIR:
Clean content --
Determination of by laboratory testing
151.70, 151.71
Determination of by nonlaboratory method
151.72
Expenses of retests
151.71(d), 151.73(c), 151.74
Notice to importer required
151.71(b)
Commercial test, clean content by
151.73
Definitions of clean pound, clean yield, general sample and sampling
unit
151.61
Duties, collection postponed, when
151.66
Duties, how determined
151.65
Duties on samples
151.66
Entry of
151.63, 151.64
Grading
151.76
Invoice requirements
151.62
Losses, commercial cleaning wool and hair
151.61(b)
Notice of higher rate of duty
151.76(b)
Notice of percentage clean yield and grade of wool or hair filed with
entry
151.64
Official standards for grade
151.76(a)
Retest of
151.71(c), 151.73, 151.74
Samples drawn by importer, weighed and recorded
151.67
Sampling procedure
151.68
Standards for grades
151.76
Weighing
151.61, 151.62, 151.63, 151.68
WOOL, CARPET, AND CAMEL'S HAIR -- BOND -- FORM
113.68
WOOL PRODUCTS, LABELING OF
11.12
WOOL -- OR HAIR-BEARING SKINS
10.77
WOOLS -- CONSUMPTION ENTRY, CONDITIONALLY FREE
10.91-10.97
Consumption entry, conditionally free -- Bond required -- Form
10.92
Entered or withdrawn conditionally free --
Abstract of records
10.94
Noils -- Waste
10.94, 10.97
Records of manufacture
10.93-10.95
Penalty for wrong use of
10 N 87
Warehoused and withdrawn conditionally free
Bond required -- Form
10.92
Entry requirements
10.91
WORKS OF ART:
Antiquities
10.53
Baggage, in
148.23
Exhibition, articles for -- Bond
10.49
Gobelin and other hand-woven tapestries
10.54
Professional artists, temporary importations by
10.34
Stained or painted glass windows
10.52
Statuary and casts of sculpture
10.48
Transfer of imported -- For exhibition
10.49
WORKS OF ART, DRAWINGS, ETC., BROUGHT BY PROFESSIONAL ARTISTS,
LECTURERS, OR SCIENTISTS -- TEMPORARY IMPORTATION BOND
10.31, 10 N 34, 10.34
WRECKED OR ABANDONED AT SEA -- ENTRY OF MERCHANDISE
4.40, 4.41, 141.13
WRECKED VESSELS, DISPOSITION OF CARGO AND STORES
4.40
YACHTS:
Cargo and passengers, restrictions in carriage of
4.94(a)
Foreign --
Cruising licenses may be issued
4.94
Tonnage tax and other charges, when exempt
4.94
Pleasure, when required to be licensed
4.94
When exempt from foreign clearances
4.60(b)(1)
When not required to make entry
4 N 5, 4.94(a)
ZOOLOGICAL COLLECTIONS OF WILD ANIMALS AND BIRDS
10.75
19 CFR 192.4 19 CFR (4-1-92 Edition)
19 CFR 192.4 List of CFR Sections Affected
19 CFR 192.4 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations which
were made by documents published in the Federal Register since January
1, 1986, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters and parts as
well as sections for revisions.
For the period before January 1, 1986, see the ''List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven
separate volumes.
19 CFR 192.4 1986
19 CFR
51 FR
Page
Chapter I
4.93 (b) (1) and (2) amended 10190
(b)(1) amended 34589
4.94 (b) amended 6905, 24323
4.98 (i) added; interim 21155
6 Authority citation revised 8489
6.1a Added; interim 21155
6.7 (h)(5) amended 8489
6.10 Amended 8489
6.11 Amended 8489
6.12a Added; interim 4162
Revised 32450
6.14 (a) and (c)(5) amended; (b), (c)(5), and (d) revised 11005
(e) heading and (f)(1) (iii) and (xi) revised; (e) redesignated as
(e)(1); (e)(2) added; eff. 4-30-86 11006
(g) amended 27837
6.25 (c) (1) and (2) amended; (c)(3) removed; (c) (4) and (5)
redesignated as (c) (3) and (4); eff. 4-30-86 11006
10.7 (a) amended 22515
10.38 Revision of 50 FR 9799 withdrawn 15763
10.39 (e) (2) and (3) amendments of 50 FR 9799 withdrawn 15763
10.41a (c) introductory text, (1), (2), and (3) amended 22515
10.41b (c) revised 4164
10.74 (c) amended 22515
10.76 (d) amended 22515
10.131 Amended 22515
10.173 (a) (1) and (2) and (b) amended; (c) revised 20816
10.175 (c)(3) amended; (c)(4) revised 20816
10.177 (a) amended 22515
10.198 (a)(1), (c)(1) heading and text, and (2) amended 20817
12.73 (b)(5)(iv) revised 42997
12.80 (b)(1)(vi) revised 42997
12.85 (c)(5) revised 42997
12.104 -- 12.104i Undesignated center heading added; final 6907
12.104 Added; final 6907
(b) corrected 15316
(c)(7)(ii) corrected 17332
12.104a -- 12.104c Added; final 6908
12.104d -- 12.104g Added; final 6909
12.104h Added; final 6909
12.104i Added; final 6910
12.130 (a) and (f) introductory text revised 8315
18.2 (a)(1) heading revised; (a)(1) text amended; (a)(4) added;
eff. 5-12-86 5063
18.8 (e)(1) corrected 10825
24 IRS interest rate 24323
Authority citation amended 43190
24.3 (e) revised 34959
24.3a Added 34958
24.13 (c) and (f) amended; eff. 5-12-86 5063
(c) and (f) corrected 11013
24.17 (f) amended 22515
24.22 Added; interim 21153
24.23 Added; interim 43190
101.3 (b) amended; eff. 4-21-86 9780
(b) table amended 12844,
28070, 30335, 35353
101.4 (c) amended; eff. 5-1-86 11014
(c) table amended 11014
101.6 Change of hours 16158
103 Authority citation revised 40792
103.18 Added 40792
111 Authority citation removed; section authority citations removed
21155
Heading revised 30340
Nomenclature change 30346
111.0 Revised 30340
111.1 (c) through (g) redesignated as (d) through (h); (b), new (d),
and (f) revised; new (c) added 30340
111.2 Revised 30340
111.4 Redesignated as 111.5 and (a) amended; new 111.4 added 30340
111.5 Removed; new 111.5 redesignated from 111.4 and (a) amended
30340
111.11 -- 111.19 (Subpart B) Heading amended 30340
111.11 (a)(4) amended; (b) and (c) revised; (d) added 30340
111.12 (a) amended 30341
111.13 (a), (d), and (e) amended; (c) revised 30341
111.19 Revised 30341
111.21 Amended 30341
111.22 (b) introductory text and (2) amended; (e) added 30341
111.23 Heading, (a), (b) introductory text, and (d) revised; (e)
through (g) added 30342
(e)(2)(v) corrected 36221
111.24 Heading and text amended 30342
111.25 Heading and text amended 30342
111.26 Heading and text amended 30342
111.27 Heading and text amended 30342
111.28 (b) revised; (c) added 30342
(c) corrected 31760
(b) clarification and compliance date 37002
111.29 (a) revised 30343
111.30 Heading, (b), and (d) revised; (c) amended; (e) added 30343
111.35 Amended 30343
111.37 Revised 30343
111.43 Revised 30344
111.45 Added 30344
111.51 -- 111.81 (Subpart D) Heading revised 30344
111.50 Added 30344
111.51 Heading and text amended 30344
111.52 Revised 30344
111.53 Revised 30344
111.54 Amended 30344
111.57 (b) revised 30344
111.58 Amended; nomenclature change 30344
111.59 (a) amended; (b) revised 30344
111.60 Nomenclature change 30345
111.61 Amended 30345
111.64 (a) amended 30345
111.65 Amended 30345
111.66 Amended 30345
111.67 (a) and (d) revised; (e) added 30345
111.74 Revised 30345
111.75 Revised 30345
111.76 (a) and (b) amended 30345
111.80 Revised 30345
111.81 Added 30345
111.96 (Subpart E) Added; interim 21155
111.91 -- 111.96 (Subpart E) Heading revised 30345
111.91 Added 30345
111.92 Added 30345
111.93 Added 30346
111.94 Added 30346
111.95 Added 30346
Corrected 31760
111.96 Revised 30346
(c) revised 39747
112 Authority citation revised; section authority citations removed
5063, 22515
112.12 (b)(3) amended; eff. 5-12-86 5063
112.15 Removed 22515
113.32 (a) and (c) revised 42998
113.63 (f)(3) and (4) amended; (f)(5) added 34959
113.65 (a)(2) and (3) amended; (a)(4) added 34959
113.73 (a) (1) and (2) revised; (d) added; eff. 5-12-86 5063
115 Added 16161
123 Authority citation revised; section authority citations removed
21155, 22515
123.1a Added; interim 21156
123.72 Revised 22515
134 Interpretive rule 23045
134.46 Policy statement 24814
134.55 (b)(1) amended 22515
141 Policy statement 7783
141.39 (a) revised 42999
141.89 (a) amended 16014
141.111 (d) revised; eff. 5-12-86 5063
142 Policy statement 23736
142.3a Added 19167
143.21 (l) added 26246
143.29 Added 26246
144 Authority citation revised; section authority citations removed
5064, 22516
144.5 Revised 22516
144.32 (c) amended 22516
144.36 (g) revised; eff. 5-12-86 5064
(a) amended 22516
144.37 (g) added; eff. 5-12-86 5064
145.1a Added; interim 21156
145.4 (c) amended 22516
146 Revised 5049
146.8 Corrected 11012
146.71 Corrected 11012
(d) heading corrected 11012
148.12 Nomenclature changes 22516
148.17 Nomenclature changes 22516
148.23 (c)(1) heading and text and (2) heading and text amended 22516
148.31 Nomenclature changes 22516
148.32 Nomenclature changes 22516
148.33 Nomenclature changes 22516
148.34 Nomenclature changes 22516
148.35 Nomenclature changes 22516
148.36 Nomenclature changes 22516
148.37 Nomenclature changes 22516
148.38 Nomenclature changes 22516
148.51 Nomenclature changes 22516
148.101 Nomenclature changes 22516
148.104 Nomenclature changes 22516
148.111 Nomenclature changes 22516
148.113 Nomenclature changes 22516
152 Policy statement 7783
162 Authority citation revised 8489
162.65 (b), (d) and (e) revised 8489
162.72 (b)(3)(ii) revised 8490
162.74 (a)(1) amended; (f) revised 23050
162.75 (d)(3) (1) and (2) redesignated as (d)(3) (i) and (ii) 22516
171 Authority citation revised; section authority citations removed
30346
171.12 (b) amended; (d) redesignated as (e); new (d) added 30346
(b) corrected 45761
171 Appendix C correctly added 32208
172.33 (c)(1) amended 22516
175 Petition granted 27019
Interpretive rule 39368
177 Guidelines 30346
178 Authority citation revised 16014
178.2 Table amended (OMB number) 4722, 6910
Table amended (OMB number); eff. 5-12-86 5064
Table amended (OMB numbers) 16015,
16161, 20817, 23051, 30346
191.2 (h) and (p) amended 22516
191.62 (a) (1) and (2) revised 22516
191.65 Revised 22516
191.66 Revised 22517
191.82 (e) revised 22517
191.84 (c) revised 22517
191.162 Amended; eff. 5-12-86 5064
191.163 (c) and (d) revised; eff. 5-12-86 5064
191.164 (b) and (c) revised; eff. 5-12-86 5064
191.165 (b) and (c) revised; eff. 5-12-86 5064
(b) correctly designated 11013
19 CFR 192.4 1987
19 CFR
52 FR
Page
Chapter I
4.2 (a) revised; footnote 3 removed 48196
4.2a Added 48196
4.41 (a) amended 20066
4.75 Revised 255
4.93 (b) (1) and (2) amended 3603
4.98 (j) added; interim 10211
(j) addition comment time extended 20593
6.3a (a) introductory text, (1), and (2) revised 24292
6.7 (b)(3)(ii) amended 20066
(b)(3)(ii) corrected 26142
6.12 (g) amended 20066
6.14 (f) revised; interim 10048
6.16 Amended 20066
10.6 Revised 20066
10.9 (g) and (h) removed; (i) through (l) redesignated as (g)
through (j) 20066
10.10 Section and footnote 8 removed 20066
10.18 Revised 24445
10.19 Removed 24445
10.20 Removed 24445
10.35 (b) and (d) removed; (c) redesignated as (b) 20066
10.50 Section and footnote 45 removed 20066
10.53 (a) and (b) and footnotes 48 and 50 removed; (c) through (i)
redesignated as (a) through (g); new (b), (c), and (e)(6) amended 20066
10.54 (b) and footnote 51 and (a) designation removed 20066
10.56 (f) amended 20066
10.58 (a) revised; footnote 55 removed 20066
10.64a Removed 20066
10.66 (a)(2) and footnotes 61 and 62 removed; (a) (3) and (4)
redesignated as (a) (2) and (3); (b) amended 20066
10.70 (a) and footnotes 64 and 65 removed; (b) and (c) redesignated
as (a) and (b); heading revised; new (a) amended 20066
10.71 (f) amended 20066
(f) corrected 26142
10.72 Section and footnote 66 removed 20067
10.73 Section and footnote 67 removed 20067
10.74 Section revised; footnote 68 removed 20067
10.78 (a) revised 20067
10.79 Removed 20067
10.81 (b) amended 20067
10.82 Removed 20067
10.83 (a) revised 20067
10.90 (a), (b), and (d) and footnote 81 removed; (c), (e), (f), and
(g) redesignated as (a), (b), (c), and (d); new (d) amended 20067
10.98 (e) amended 20067
10.101 (b) and (c) heading and text amended 20067
10.106 Section and note removed 20067
10.108 (b) and footnote 100 removed; (a) designation removed 20067
10.110 Section and footnote 103 removed 20067
12.39 (d) added 39221
12.104g Notice of import restrictions 34614
18.2 (a)(2)(ii) and (c)(1) amended 20067
18.13 (b) revised 20067
19.16 Removed 20067
24 IRS interest rate 255, 10561
Authority citation revised 10201
24.1 (a)(7) added 5081
24.24 Added; interim 10201
(b)(1) table, (c)(6)(i), and (e)(3)(ii) corrected 10970
Addition comment time extended 20593
(b)(1) table revised; interim 26297
54.5 (a) amended 20067
54.6 (a) revised; (d) and footnote 1 amended 20067
101.3 (b) table amended 15496,
22300, 35063, 36758
101.4 (c) table amended 7125,
35063, 36758
101.5 Revised 16374
Effective date note corrected 18322
103.12 (g) revised; (h) and (i) added; interim 43192
113.64 (e) added 37135
Technical correction 38042
113.67 Revised; eff. 4-27-87 9787
123.4 (b) amended 20068
(b) corrected 26142
123.52 (e) and (f) amended 20068
123.64 (b), (c), and (d)(2) amended 20068
123.65 (d)(2) amended 20068
127 Authority citation revised 15497
127.22 Revised 15497
133 Authority citation revised 9474
133.31 (a) and (b) revised; (c) removed; (d) redesignated as (c);
eff. 4-24-87 9474
133.32 Revised; eff. 4-24-87 9474
133.33 (a)(1) revised; (a) introductory text republished; eff.
4-24-87 9475
133.34 (b) revised; eff. 4-24-87 9475
133.37 Revised; eff. 4-24-87 9475
133.41 Removed; eff. 4-24-87 9475
133.42 Revised; eff. 4-24-87 9475
(c) corrected 10668
133.43 Revised; eff. 4-24-87 9475
133.44 Revised; eff. 4-24-87 9476
133.45 Removed; eff. 4-24-87 9476
133.47 Added; eff. 4-24-87 9476
133.51 (b)(3) amended; eff. 4-24-87 9476
134 Interpretive rule; eff. 6-11-87 7825
141.11 (a)(4) amended; (a)(5) removed 20068
141.61 (a)(2), (e)(1)(i)(A), and (f)(1)(iv) and (2)(i) amended 20068
141.63 (c) added 24155
141.68 (h) amended 20068
(h) corrected 26142
141.88 Revised 24445
141.89 (b)(2) amended; eff. 4-30-87 10222
141.111 (b)(1) and (c) removed 20068
143.23 Introductory text amended 20068
Introductory text corrected 26142
143.24 Heading and text amended 20068
Heading and text corrected 26142
143.25 Amended 20068
Corrected 26142
144.42 (b) (1), (2), and (3) amended 20068
145.4 (c) amended 20068
(c) corrected 26142
145.12 (b)(1), (c), and (e)(1) amended 20068
(b)(1), (c) and (e)(1) corrected 26142
146.22 (e) added; interim 10211
(e) corrected 10970
(e) addition comment time extended 20593
148.13 (d) revised 24445
148.24 (a) amended 24445
148.101 Introductory text, Example 1 text, and Example 2 text
corrected; Example 1 table and Example 2 table correctly revised 12149
Amended; Examples 1 and 2 footnotes amended 24446
151 Authority citation revised; section authority citations removed
9787
151.10 Revised; eff. 4-27-87 9787
151.13 Added; eff. 4-27-87 9788
151.14 Added; eff. 4-27-87 9790
151.31 Removed; eff. 4-27-87 9790
151.42 (a)(1)(i) and (b) introductory text revised; (a)(1)(ii)
removed; (a)(1) (iii) and (iv) redesignated as (a)(1) (ii) and (iii)
and republished; (a)(3) added; eff. 4-27-87 9790
151.43 Removed; eff. 4-27-87 9790
151.45 (a) amended; eff. 4-27-87 9790
151.47 Revised; eff. 4-27-87 9790
151.54 Amended; eff. 4-27-87 9791
152.1 (a) and (b) removed; (c) amended; (d) added 24446
152.20 Removed 24446
152.21 Removed 24446
152.22 Removed 24446
152.23 Amended 24446
152.24 Removed 24446
152.31 -- 152.43 (Subpart D) Removed 24446
172.2 Revised 12151
172.12 (b) revised 12152
172.23 Amended 12152
172.33 (a)(1) and (c)(2)(ii) revised 12152
175 Petition denial contested 37442
Interpretative rule 37443
Petition denial contest and interpretative rule corrected 38835
177 Interpretative rule 11216
177.9 (b)(3) amended 24446
178.2 Table amended (OMB numbers); eff. 4-27-87 9791
Table amended (OMB numbers); interim 10048, 10211
Table amended (OMB numbers); eff. 4-30-87 10222
Table amendment (OMB numbers) comment time extended 20593
19 CFR 192.4 1988
19 CFR
53 FR
Page
Chapter I
4 Technical correction 48367
Authority citation revised 51246
4.2 Technical correction 1103
(a) revised 46083
4.2a Technical correction 1103
Revised 46083
4.7a (c)(2)(iii) added 43200
4.22 Amended 9316
4.30 (l) and (m) amended; eff. 4-21-88 9314
4.94 (b) amended 6144
(d) amended; interim 51246
6 Removed; eff. 4-21-88 9292
7 Interpretative rule 12143
Authority citation revised 51246
7.8 (a) and (b) amended; interim 51246
10 Authority citation amended 28379
Authority citation revised 51246, 51765
10.1 (a) introductory text, (b) and (d), (f), (g), (h)(1), (iv),
(5)(i), and (j)(2) amended; (e) revised; interim 51246
10.3 (a), (c) (1), (3) and (f) amended; (b) table revised; (c)(4)
footnote 3 removed; interim 51246
10.5 (h) revised; interim 51247
10.8 (a), (e), and (i) through (l) texts and table amended; (e)
footnote 1 removed; interim 51247
10.8a (a), (b) and (c) amended; interim 51247
10.9 (a), (e), (g) through (j) amended; (e) footnote 1 removed;
interim 51247
10.11 Amended; interim 51247
10.12 Amended; interim 51247
10.13 Heading revised; (b) amended; interim 51247
10.14 (a) and (b) amended; interim 51247
10.15 (d) amended; interim 51247
10.16 (c) and (f) amended; interim 51248
10.18 Amended; interim 51248
10.24 (a) introductory text, (1) and footnote 1, (2), (d), and (e)
amended; interim 51248
10.31 (a) (1), (2), (3)(i) and (b), (e), (f) and (g) amended;
interim 51248
10.34 Amended; interim 51248
10.35 (a) and (b) amended; interim 51248
10.36 (a), (b) and concluding text amended; interim 51248
10.36a (a) revised; (d) amended 51248
10.37 Amended; interim 51249
10.38 (a) and (g) amended; interim 51249
10.39 (a), (d) (1) and (3), (e), and (f) amended; interim 51249
10.40 (b) amended; interim 51249
10.41 (c) amended; eff. 4-21-88 9315
Undesignated center heading amended; footnote 37 removed; interim
51249
10.41a Footnote 38a removed 51249
10.41b (b) introductory text, (1) and (3), (c)(1) introductory text,
(i) and (iv) and (2) amended; interim 51249
10.43 Amended; interim 51249
10.46 Amended; interim 51249
10.47 Text amended; footnote 42 removed; interim 51249
10.48 (a) and (e) amended; interim 51249
10.49 (a), (c) and (d) amended; interim 51249
10.52 Amended; interim 51250
10.53 (a) through (c) and (f) and (g) amended; interim 51250
10.54 Amended; interim 51250
10.56 (a) amended; interim 51250
10.57 Amended; interim 51250
10.58 (a) amended; interim 51250
10.59 (f) table amended 28379
Heading, (c), (e), and (f) amended; footnote 57 removed; interim
51250
10.63 Footnote 58 removed; interim 51250
10.65 (a) footnote 59 and (c)(2) footnote 60 removed; interim 51250
10.66 (a) and (c) amended; interim 51250
10.67 (a) and (c) amended; footnote 63 removed; interim 51250
10.70 (a) amended; interim 51250
10.71 (e) amended; interim 51250
10.74 Amended; interim 51250
10.75 Amended; interim 51250
10.76 (a) and (b) amended; footnote 70 removed; interim 51250
10.77 Section and footnote 71 removed; interim 51250
10.78 (b) amended; footnote 72 removed; interim 51250
10.80 Revised; footnote 74 removed; interim 51251
10.84 (a), (b)(4), (c), and (d) amended; interim 51251
Revised; interim 51765
10.90 (a) amended; interim 51251
10.91 -- 10.97 Removed; interim 51251
10.98 (a) amended; footnote 89 removed; interim 51251
10.99 (a) introductory text amended; footnotes 90, 91, and 92
removed; interim 51251
10.100 Amended; interim 51251
10.102 (a), (b) introductory text, (1), (2), (3), (c), and (d)
amended; interim 51251
10.103 (a) and (b) amended; interim 51251
10.104 Amended; interim 51251
10.107 (a) introductory text, footnote 99 removed; interim 51252
10.108 Amended; interim 51252
10.121 (a) and (b) amended; interim 51252
10.132 Removed; interim 51252
10.133 Amended; interim 51252
10.134 Amended; interim 51252
10.139 (a) and (b) amended; interim 51252
10.172 Amended; interim 51252
10.179 (a) introductory text amended; interim 51252
10.180 Amended; interim 51252
10.181 (a) amended; interim 51252
10.182 Removed; interim 51252
10.183 (b), (c) (1) and (2), and (d)(2) amended; interim 51252
10.191 (b)(2) (iv), (v), (vi), and (vii) amended; interim 51252
10.192 Amended; interim 51252
10.301 -- 10.311 Undesignated center heading added; interim 51766
10.301 Added; interim 51766
10.302 Added; interim 51766
10.303 -- 10.305 Added; interim 51767
10.306 -- 10.311 Added; interim 51768
11 Authority citation revised 51252
11.3 Amended; interim 51253
11.6 Footnote 3 removed; interim 51253
11.9 (a) and (b) amended; interim 51253
11.13 (a) revised; footnote 14 removed; interim 51253
12 Authority citation revised 51253
12.7 (b) footnote 6 removed; interim 51253
12.8 (a) footnote 7 redesignated as text; footnote 8 removed;
interim 51253
12.16 (a) footnote 9 removed; interim 51253
12.17 Footnote 10 removed; interim 51253
12.24 (a) footnote 11 removed; interim 51253
12.26 (b) footnotes 13 and 13a and (d) footnote 13b removed; interim
51253
12.27 Revised 51253
12.29 (a) through (d) amended; footnotes 16, 16b, and 17b removed;
interim 51253
12.30 Revised; interim 51253
12.31 Footnote 18 removed; interim 51253
12.32 Footnote 19 removed; interim 51253
12.33 Footnote 20 removed; interim 51253
12.34 Footnote 21 removed; interim 51253
12.36 Footnote 23 removed; interim 51253
12.37 Footnote 24 removed; interim 51253
12.38 Footnote 25 removed; interim 51253
12.42 Footnote 29 removed; interim 51253
12.45 Footnote 30 removed; interim 51253
12.48 Footnote 31 removed; interim 51253
12.60 Footnotes 36 and 37 removed; interim 51253
12.61 Footnotes 38, 39 and 40 removed; interim 51253
12.62 Footnote 41 removed; interim 51254
12.73 Revised 26240
12.104b Table amended 38287
12.130 (a) introductory text revised; (c) amended; interim 51254
18 Authority citation revised 51254
18.1 (a) and (b) footnotes 1 and 2 removed; (b) amended; interim
51254
18.2 (c)(2) amended; eff. 4-21-88 9315
18.3 Footnote 3 removed; interim 51254
18.4a Footnotes 3a, 3b, and 3c removed 51254
18.10 Footnote 4 removed; section amended; interim 51254
18.11 (a), (c) and (e) footnotes 5, 6 and 7 removed; interim 51254
18.20 Footnote 8 removed; interim 51254
18.25 -- 18.27 Undesignated center heading footnote 10 removed;
interim 51254
19 Authority citation revised 51254
19.1 Footnotes 1 through 6 removed; interim 51254
19.3 (e)(3) amended 40219
19.11 Footnotes 14 and 15 removed; interim 51254
19.13 (a) and (d) footnotes 16 and 17 removed; interim 51254
19.15 (a) and (f) footnotes 18 and 19 removed; interim 51254
19.17 (a) amended and footnote 22 removed; interim 51254
19.18 (a) amended; interim 51254
19.19 (a) amended; (b) footnote 23 removed; interim 51254
19.23 Footnote 24 removed; interim 51254
19.48 (a)(3) revised 40219
24 IRS interest rate 615, 9110, 36785
Authority citation revised 51254, 51769
24.12 (d) amended; eff. 4-21-88 9315
24.16 Footnotes 3, 4, 5, and 5a removed; (b) amended; interim 51254
24.17 (a)(8) amended; footnote 5aa removed; interim 51254
24.23 (b)(5) added; interim 51769
24.36 Heading footnote 6 and (d) footnote 7 removed; interim 51254
54 Authority citation revised 51254
54.5 (a) introductory text amended; (a) (1) through (3) revised;
interim 51254
54.6 Introductory text and (d) amended; (a) footnote 1 removed;
concluding text added; interim 51255
101 Authority citation revised 51255
101.3 (b) table amended; eff. 4-18-88 8747, 24060
101.4 (c) table amended 24060
103 Authority citation revised 51255
103.11 (b)(2) (i) and (xii) amended; interim 51255
103.12 Introductory text republished; (g) revised; (h) and (i)
added 12937
111 User fee due date 4134 ,44186
Authority citation revised 51255
111.11 (d) amended; interim 51255
112 Authority citation revised 40220
112.30 (a)(5) revised 40220
113 Technical correction 48368
Authority citation revised 51255
113.62 (i) redesignated as (j); new (i) added; new (j)(1) amended
29230
(a) introductory text amended 45902
113.63 (f) and (g) redesignated as (g) and (h); new (f) added 29230
(h)(1) amended 45902
113.64 (d) redesignated as (e); new (d) added 29230
(d) and (e) correctly redesignated as (e) and (f) 44186
(a) and (c) amended 45902
113.65 (a)(3) and (b) amended 45902
113.66 (a) introductory text republished; (a)(2) revised; (c)
amended 45902
(b) introductory text, (1) and (2) amended; interim 51255
113.67 (b)(2)(i) amended 45902
113.68 (b) amended 45902
113.69 Amended 45902
113.70 Amended 45902
113.71 (b) amended 45902
113.72 Amended 45902
113.73 (a)(2) amended 45902
113 Appendix A added 29230
114 Authority citation revised 51255
122 Added; eff. 4-21-88 9292
Authority citation revised 10371, 51255
122.1 (m) added 10371
122.14 (b) and (j)(1)(vi) redesignated as (b)(1) and (j)(1)(vii);
new (b)(2) and (j)(1)(vi) added; (c) and new (j)(1)(vii) revised; (d)
and (k) introductory text amended 29231
122.24 (b) amended; interim 51272
122.33 Revised 10371
122.39 Added 10372
122.48 (d) amended; interim 51255
123 Authority citation revised 51255
123.0 Amended; eff. 4-21-88 9315
127 Authority citation revised 51255
127.33 Amended; interim 51255
132 Authority citation revised 51255
132.6 Amended; interim 51255
132.13 (a)(2) heading and text revised 19897
134 Interpretative rule effectiveness 20836
Authority citation revised 51255
134.0 Amended; interim 51255
134.22 (b) revised; interim 51255
134.23 (a) and (b) amended; interim 51256
134.24 (b) amended; interim 51256
134.33 Amended; interim 51256
134.43 (a) revised; (b) amended; interim 51256
141.4 (a) and (b) revised; (c) added; interim 51256
141.53 (c) amended; interim 51256
141.61 (e)(1)(i)(A) and (B)(1), (ii)(A) and (C), (e)(2) introductory
text, (3) and (5) amended; interim 51256
141.82 (d) amended; interim 51256
141.83 (d)(5) amended; interim 51256
141.89 (a) and (b) revised; interim 51256
141.90 (b) amended; interim 51262
141.112 (a)(1), (b) and (d) amended; (a)(4) added 4962
141.113 (a)(5) and (g) amended; interim 51262
142.17 (b)(5) amended; interim 51262
142.17a (a)(2) amended; interim 51262
143.21 (a), (c), (d), (f) and (h) amended; interim 51262
143.23 (d) amended; interim 51262
143.25 Amended; interim 51263
143.29 (b) amended; interim 51263
144 Authority citation revised 51263
144.15 (a)(2) amended; interim 51263
145 Authority citation revised 51265
145.12 (e)(1) amended; interim 51263
145.34 (a) amended; interim 51263
145.35 Amended; interim 51263
145.36 Amended; interim 51263
145.37 (b) amended; interim 51263
145.43 Amended; interim 51263
146 Final determination 52411
Authority citation revised 51263
146.1 (b)(5) amended; interim 51263
146.67 (e) amended; interim 51263
146.70 (b) amended; interim 51263
146.82 (a)(3) revised 40220
147 Authority citation revised 51263
147.2 (a)(2) and (b) amended; interim 51263
147.45 Amended; interim 51263
148 Authority citation revised 51263
148.2 (b) amended 51263
148.5 Amended; interim 51263
148.6 (a) amended; interim 51264
148.8 Introductory text and (a) amended; interim 51264
148.13 (c) (1) and (2) amended; (c)(3) revised; interim 51264
148.23 (a)(1) amended; (a) (2) and (3) revised; (a)(4) removed;
(c) introductory text and (2) amended; interim 51264
148.26 (b) amended; interim 51265
148.31 Amended; interim 51264
148.33 (a) amended; interim 51264
148.37 (b) amended; interim 51264
148.39 (a) and (b) amended; interim 51264
148.41 Amended; interim 51264
148.42 (a) amended; interim 51264
148.43 (a) amended; interim 51265
148.44 (a) amended; interim 51265
148.45 (a) amended; interim 51265
148.46 (a) amended; interim 51265
148.51 (a) (1) and (2) amended; interim 51265
148.52 (a) amended; interim 51265
148.53 (a) and (b) amended; interim 51265
148.54 (a) amended; interim 51265
148.63 (a) introductory text amended; interim 51265
148.64 (a) and (b)(2) amended; interim 51265
148.65 (a) amended; interim 51265
148.66 (a), (b)(2), and (c) amended; interim 51265
148.71 Introductory text amended; interim 51265
148.73 (b) amended; interim 51265
148.74 (a) introductory text, and (b)(1) amended; (b) introductory
text and (c) revised 51266
148.75 (a), (b) and (c) amended; interim 51266
148.77 (a), (b) (1) and (2), and (c)(1) amended; interim 51266
148.82 (b) (1), (2), (4) and (5) amended; interim 51266
148.85 (a), (b) and (c) amended; interim 51266
148.86 Amended; interim 51266
148.87 (a) amended; interim 51266
148.88 (c) amended; interim 51266
148.90 (a) (1), (2), and (3), (c), (d)(1)(i) and (3) and (e) amended;
interim 51266
148.101 Amended; interim 51266
148.102 (a) amended; (c) added; interim 51769
148.105 (a) amended; interim 51267
148.111 (a) and (b) amended; interim 51267
148.113 (a)(1) amended; interim 51267
148.115 (a) (1), (2) introductory text and (iv), (d) and (e) amended;
interim 51267
151 Authority citation revised 51267
151.13 (a) revised; nomenclature change; interim 51267
151.14 Table revised; interim 51268
151.21 Introductory text amended; (a) revised; interim 51268
151.22 Amended; interim 51268
151.28 (a) amended; interim 51268
151.41 Amended; interim 51268
151.42 (b) amended; interim 51268
151.44 (a) amended; interim 51268
151.46 Revised; interim 51268
151.47 Amended; interim 51269
151.51 (a) and (b) amended; interim 51269
151.55 Amended; interim 51269
151.61 (a) revised; (b) amended; (c) and (d) redesignated as (d)
and (e); new (c) added; interim 51269
151.62 Introductory text amended; interim 51269
151.63 Revised; interim 51269
151.64 (b) amended; interim 51269
151.65 Amended; interim 51269
151.68 (a) and (b) amended; interim 51269
151.76 (a) amended; interim 51269
151.81 Amended; interim 51269
151.82 Revised; interim 51269
151.91 Amended; interim 51269
151.101 -- 151.104 (Subpart H) Removed; interim 51269
152 Authority citation revised 51269
152.1 (d) amended; interim 51269
152.11 Amended; interim 51269
152.13 (b) (1) and (2), (c) introductory text, (1), (2) and (3), and
(d) amended; interim 51270
152.101 (a) amended; interim 51270
158 Authority citation revised 51270
158.12 (a) amended; interim 51270
158.13 (b) amended; (c) and authority citation removed; interim
51270
159 Authority citation revised 51270
159.4 (a) and (b) introductory text amended; interim 51270
159.7 (a) (1) and (4) amended; interim 51270
159.22 (c) amended; interim 51270
159.43 Amended; interim 51270
162.72 (b)(3)(ii) and (c) amended; eff. 4-21-88 9315
162.75 (d)(3) revised 28195
171 Authority citation revised 51271
171.44 Amended 4963
171 Appendixes A and B amended; interim 51271
176.21 Amended 30984
177 Interpretative rule, effective date pending 49117
Authority citation revised 51271
177.1 (d)(5) amended; interim 51271
177.2 (b)(2)(ii)(A) amended; interim 51271
177.9 (b)(2) amended; interim 51271
178.2 Table amended (OMB number) 29231, 43200
191 Authority citation revised 51271
191.133 (b) revised; interim 51271
19 CFR 192.4 1989
19 CFR
54 FR
Page
Chapter I
Chapter I Regulation at 53 FR 51246 comment time extended 47348
4 Interpretative rule 3438
Authority citation revised 6881, 6883
Authority citation amended 33189
4.7a (c)(2)(iii) revised 20381
4.22 Authority citation revised; text amended 6884
Amended 15172, 33189
4.93 (b) (1) and (2) amended 19560, 19561, 33188
(b)(1) amended 19561
4.94 Comment time extended 9429
7.8 Comment time extended 9429
10 Authority citation revised 6881
Interim regulations at 53 FR 51246-51268 comment time extended 9429
10.59 (f) amended 971-973, 33190
10.84 Comment time extended 10322
10.99 Revised 28413
10.301 Comment time extended 10322
10.302 Comment time extended 10322
10.303 Comment time extended 10322
10.304 Comment time extended 10322
10.305 Comment time extended 10322
10.306 Comment time extended 10322
10.307 Comment time extended 10322
10.308 Comment time extended 10322
10.309 Comment time extended 10322
10.310 Comment time extended 10322
10.311 Comment time extended 10322
11.3 Comment time extended 9429
11.6 Comment time extended 9429
11.9 Comment time extended 9429
11.13 Comment time extended 9429
12 Authority citation revised 6881
Interim regulations at 53 FR 51253-51254 comment time extended 9429
12.104g Notice of import restrictions 10618
12.140 -- 12.144 Undesignated center heading and sections added;
interim 4781
18 Authority citation revised 6882
18.1 Comment time extended 9429
18.3 Comment time extended 9429
18.4 (a)(1) amended 11944
18.10 Comment time extended 9429
18.11 Comment time extended 9429
18.20 Comment time extended 9429
18.25 -- 18.27 Comment time extended 9429
19 Authority citation revised 6882
19.1 Comment time extended 9429
19.11 Comment time extended 9429
19.13 Comment time extended 9429
19.15 Comment time extended 9429
19.17 Comment time extended 9429
19.18 Comment time extended 9429
19.19 Comment time extended 9429
19.23 Comment time extended 9429
24 Authority citation revised 6882
IRS interest rate; eff. 4-1-89 11374
IRS interest rate 48591
Technical correction 52506-52632
24.1 (a) introductory text republished; (a)(8) added 50496
24.13 (b) amended 11945
24.16 Comment time extended 9429
24.17 Comment time extended 9429
24.23 Comment time extended 10322
24.25 Added 50497
24.36 Comment time extended 9429
54 Authority citation revised 6882
54.5 Comment time extended 9429
54.6 Comment time extended 9429
101 Authority citation revised 6882
Technical corrected 31012
101.3 (b) table amended 1685
(b) table amended 15631, 26731, 26957, 49078
101.4 (c) amended 49079
103 Authority citation revised 6882
103.11 Comment time extended 9429
111 Authority citation revised 6882
User fee due date 47203
111.11 Comment time extended 9429
113 Authority citation revised 6882
Appendix A revised 10536
113.63 (h)(1) correctly designated 33672
113.66 Comment time extended 9429
114 Authority citation revised 6882
122 Authority citation revised 6882, 47763
Authority citation corrected 6988
122.24 (b) amended 14214
122.25 Revised 5429
(a) amended 6884
(b) introductory text and (c)(6) corrected 6988
122.48 Comment time extended 9429
122.171 -- 122.176 (Subpart R) Added; interim 47763
Technical correction 50307
123 Authority citation revised 6882
123.33 Removed 11945
127 Authority citation revised 6882
127.33 Comment time extended 9429
128 Added 19566
132 Authority citation revised 6882
Technical correction 52506
132.1 (d) revised 50498
132.6 Comment time extended 9429
132.11 (b) revised 50498
132.11a (a) revised; (c) added 50498
132.14 (a) (1), (2), (3), (4) (i) introductory text and (ii)
introductory text amended 50498
134 Authority citation revised 6882
Interpretative rule effectiveness postponed 24168
Country of origin marking guidance document 29540
134.0 Comment time extended 9429
134.22 Comment time extended 9429
134.23 Comment time extended 9429
134.24 Comment time extended 9429
134.33 Comment time extended 9429
134.43 Comment time extended 9429
(c) added 39524
141 Technical correction 52506
141.4 Comment time extended 9429
141.53 Comment time extended 9429
141.61 Comment time extended 9429
141.62 (b)(2)(ii) amended 50498
141.68 (b) and (d) amended 50498
141.82 Comment time extended 9429
(d) amended 36026
141.83 Comment time extended 9429
141.89 Comment time extended 9429
141.90 Comment time extended 9429
141.101 Introductory text revised 50498
141.102 (b) revised 28414
141.113 Comment time extended 9429
142 Technical correction 52506
142.13 (c) (1) and (2) revised 50498
142.17 Comment time extended 9429
142.17a Comment time extended 9429
142.21 Comment time extended 9429
(e) revised 50499
142.22 (b)(1) revised 50499
143 Technical correction 52506
143.21 (l) removed 19568
(a), (b), (c), (f), and (g) amended 36026
143.22 Amended 36026
143.23 Comment time extended 9429
(d) amended 36026
143.25 Comment time extended 9429
143.28 Amended 50499
143.29 Comment time extended 9429
Removed 19568
Introductory text and (b) amended 36026
144.15 Comment time extended 9429
145 Authority citation revised 6882
145.12 Comment time extended 9429
(a) (2), (3), (b), and (c) amended 36026
145.34 Comment time extended 9429
145.35 Comment time extended 9429
Amended 36026
145.36 Comment time extended 9429
145.37 Comment time extended 9429
145.41 Amended 36026
145.43 Comment time extended 9429
146 Authority citation revised 6882
146.1 Comment time extended 9429
146.67 Comment time extended 9429
146.70 Comment time extended 9429
147.2 Comment time extended 9429
147.45 Comment time extended 9429
148 Authority citation revised 6882
Interim regulations at 53 FR 51263-51267 comment time extended 9429
148.22 Authority citation added 5077
(a) revised 5077
148.23 (c) (1) and (2) amended 36026
148.102 Comment time extended 10322
151 Authority citation revised 6882
Interim regulations at 53 FR 51267-51269 comment time extended 9429
152 Technical correction 5197
Authority citation revised 6882
152.1 Comment time extended 9429
152.11 Comment time extended 9429
152.13 Comment time extended 9429
152.101 Comment time extended 9429
158.12 Comment time extended 9429
158.13 Comment time extended 9429
159.4 Comment time extended 9429
159.7 Comment time extended 9429
159.9 (a) and (d) revised 52933
159.10 (c)(3) amended 52933
159.11 (a) amended 52933
159.12 (g) amended 52933
159.22 Comment time extended 9429
159.43 Comment time extended 9429
162 Authority citation amended 37602
162.8 Authority citation added 5077
Added; interim 5077
162.22 (b) revised 37602
162.31 (a) amended 37602
171 Authority citation amended 37603
171.12 (b) revised 37603
(b) corrected 41364
171.51 -- 171.55 (Subpart F) Added 37603
171.51 (a), (b)(5), and (6)(i) corrected 41364
171.52 (b) corrected 41364
171.55 (b) corrected 43424
171 Appendixes A and B amendments comment time extended 9429
Appendix B amended 36962
175 Interpretative rule 37096
177 Authority citation revised 6882, 31515
Technical correction 32742
177.0 Amended 31515
Technical correction 32810
177.1 Comment time extended 9429
(a)(1), (b), (d) (1) and (2) amended 31515
177.2 Comment time extended 9429
(a), (b)(2)(ii) (A), and (b) amended; (b)(2)(ii) (B) and (C) revised
31515
177.3 Revised 31515
177.4 (b) and (d) amended 31515
177.5 Amended 31516
177.8 (a) (1) and (3) amended; (a)(2) revised 31516
177.9 Comment time extended 9429
(a) and (d)(2) concluding text revised; (d)(3) and (e) added 31516
177.10 (b) amended 31517
177.11 (b)(1) revised 31517
177.12 Added 31517
178.2 Table amended (OMB number) 5431
Table amended (OMB numbers) 15404,
19568, 28414
191 Authority citation revised 6883
191.133 Comment time extended 9429
192 Added 15403
192.2 Table of contents corrected 21345
19 CFR 192.4 1990
19 CFR
55 FR
Page
Chapter I
4 Regulation at 53 FR 51246 confirmed 40166
Authority citation amended 49515
4.22 Amended 29841
4.93 (b)(1) and (2) amended 29840
(b)(1) amended 49515
4.94 Regulation at 53 FR 51246 confirmed 40166
7 Authority citation revised 40166
7.8 Regulation at 53 FR 51246 confirmed 40166
10 Authority citation amended 37703
Authority citation revised 40166
10.1 Regulation at 53 FR 51246 confirmed 40166
10.3 Regulation at 53 FR 51246 confirmed 40166
10.5 Regulation at 53 FR 51247 confirmed 40166
10.8 Regulation at 53 FR 51247 confirmed 40166
10.8a Regulation at 53 FR 51247 confirmed 40166
10.9 Regulation at 53 FR 51247 confirmed 40166
10.11 Regulation at 53 FR 51247 confirmed 40166
10.12 Regulation at 53 FR 51247 confirmed 40166
10.13 Regulation at 53 FR 51247 confirmed 40166
10.14 Regulation at 53 FR 51247 confirmed 40166
10.15 Regulation at 53 FR 51247 confirmed 40166
10.16 Regulation at 53 FR 51248 confirmed 40166
10.18 Regulation at 53 FR 51248 confirmed 40166
10.24 Regulation at 53 FR 51248 confirmed 40166
10.31 Regulation at 53 FR 51248 confirmed 40166
10.34 Regulation at 53 FR 51248 confirmed 40166
10.35 Regulation at 53 FR 51248 confirmed 40166
10.36 Regulation at 53 FR 51248 confirmed 40166
10.36a Regulation at 53 FR 51248 confirmed 40166
10.37 Regulation at 53 FR 51249 confirmed 40166
10.38 Regulation at 53 FR 51249 confirmed 40166
10.39 Regulation at 53 FR 51249 confirmed 40166
10.40 Regulation at 53 FR 51249 confirmed 40166
10.41a Regulation at 53 FR 51249 confirmed 40166
10.41b Regulation at 53 FR 51249 confirmed 40166
10.43 Regulation at 53 FR 51249 confirmed 40166
10.46 Regulation at 53 FR 51249 confirmed 40166
10.47 Removed 40166
10.48 Regulation at 53 FR 51249 confirmed 40166
10.49 Regulation at 53 FR 51249 confirmed 40166
10.52 Regulation at 53 FR 51250 confirmed 40166
10.53 Regulation at 53 FR 51250 confirmed; (a), (b), (c), (d), (f)
and (g) amended 40166
10.54 Regulation at 53 FR 51250 confirmed 40166
10.56 Regulation at 53 FR 51250 confirmed 40166
10.57 Regulation at 53 FR 51250 confirmed 40166
10.58 Regulation at 53 FR 51250 confirmed 40166
10.59 (f) amended 29842
Regulation at 53 FR 51250 confirmed 40166
10.63 Regulation at 53 FR 51250 confirmed 40166
10.65 Regulation at 53 FR 51250 confirmed 40166
10.66 Regulation at 53 FR 51250 confirmed 40166
10.67 Regulation at 53 FR 51250 confirmed 40166
10.70 Regulation at 53 FR 51250 confirmed 40166
10.71 Regulation at 53 FR 51250 confirmed 40166
10.74 Regulation at 53 FR 51250 confirmed 40166
10.75 Regulation at 53 FR 51250 confirmed 40166
10.76 Regulation at 53 FR 51250 confirmed; (a) and (b) amended 40166
10.77 Regulation at 53 FR 51250 confirmed 40166
10.78 Regulation at 53 FR 51250 confirmed 40166
10.80 Regulation at 53 FR 51251 confirmed 40166
10.84 Regulation at 53 FR 51251 confirmed 40166
10.90 Regulation at 53 FR 51251 confirmed; (a) amended 40166
10.91 -- 10.97 Regulation at 53 FR 51251 confirmed 40166
10.98 Regulation at 53 FR 51251 confirmed 40166
10.99 Regulation at 53 FR 51251 confirmed 40166
10.100 Regulation at 53 FR 51251 confirmed 40166
10.102 Regulation at 53 FR 51251 confirmed 40166
10.103 Regulation at 53 FR 51251 confirmed 40166
10.104 Regulation at 53 FR 51251 confirmed 40166
10.107 Regulation at 53 FR 51252 confirmed 40166
10.108 Regulation at 53 FR 51252 confirmed 40166
10.121 Regulation at 53 FR 51252 confirmed; (a) amended 40166
10.132 Regulation at 53 FR 51252 confirmed 40166
10.133 Regulation at 53 FR 51252 confirmed 40166
10.134 Regulation at 53 FR 51252 confirmed 40166
10.139 Regulation at 53 FR 51252 confirmed 40166
10.172 Regulation at 53 FR 51252 confirmed 40166
10.179 Regulation at 53 FR 51252 confirmed 40166
10.180 Regulation at 53 FR 51252 confirmed 40166
10.181 Regulation at 53 FR 51252 confirmed 40166
10.182 Regulation at 53 FR 51252 confirmed 40166
10.183 Regulation at 53 FR 51252 confirmed 40166
10.191 Regulation at 53 FR 51252 confirmed 40166
10.192 Regulation at 53 FR 51252 confirmed 40166
10.321-10.323 Undesignated center heading added; interim 37703
10.321 Added; interim 37703
10.322 Added; interim 37703
10.323 Added; interim 37703
(d) correctly removed 42556
11 Regulation at 53 FR 51253 confirmed 40166
11.3 Regulation at 53 FR 51253 confirmed 40166
11.6 Regulation at 53 FR 51253 confirmed 40166
11.9 (a) amended 28190
Regulation at 53 FR 51253 confirmed 40166
11.13 Regulation at 53 FR 51253 confirmed 40166
12 Authority citation amended 1810, 28192, 37705
Regulation at 53 FR 51253 confirmed 40166
12.7 Regulation at 53 FR 51253 confirmed 40166
12.8 Regulation at 53 FR 51253 confirmed 40166
12.16 Regulation at 53 FR 51253 confirmed 40166
12.17 Regulation at 53 FR 51253 confirmed 40166
12.24 Regulation at 53 FR 51253 confirmed 40166
12.26 Regulation at 53 FR 51253 confirmed 40166
12.27 Regulation at 53 FR 51253 confirmed 40166
12.29 Regulation at 53 FR 51253 confirmed 40166
12.30 Regulation at 53 FR 51253 confirmed 40166
12.31 Regulation at 53 FR 51253 confirmed 40166
12.32 Regulation at 53 FR 51253 confirmed 40166
12.33 Regulation at 53 FR 51253 confirmed 40166
12.34 Regulation at 53 FR 51253 confirmed 40166
12.36 Regulation at 53 FR 51253 confirmed 40166
12.37 Regulation at 53 FR 51253 confirmed 40166
12.38 Regulation at 53 FR 51253 confirmed 40166
12.42 Regulation at 53 FR 51253 confirmed 40166
12.45 Regulation at 53 FR 51253 confirmed 40166
12.48 Regulation at 53 FR 51253 confirmed 40166
12.60 Regulation at 53 FR 51253 confirmed 40166
12.61 Regulation at 53 FR 51253 confirmed 40166
12.62 Regulation at 53 FR 51254 confirmed 40166
12.95 (a) revised 28192
12.96 (b) amended 28192
12.97 Revised 28192
12.98 Introductory text and (c) revised 28192
12.100 (b) amended 28192
12.101 (a) amended 28192
12.103 Amended 28192
12.104b Amended 4996
12.104g Amended 19030
(b) revised 1810
12.130 Regulation at 53 FR 51254 confirmed 40166
12.140 -- 12.143 Undesignated center heading added; final 37705
12.140 Added; final 37705
12.141 Added; final 37706
12.142 Added; final 37706
12.143 Added; final 37706
17.606 Effective date corrected 42562
18 Regulation at 53 FR 51254 confirmed 40166
18.1 Regulation at 53 FR 51254 confirmed 40166
18.3 Regulation at 53 FR 51254 confirmed 40166
18.4a Regulation at 53 FR 51254 confirmed 40166
18.10 Regulation at 53 FR 51254 confirmed 40166
18.11 Regulation at 53 FR 51254 confirmed 40166
18.20 Regulation at 53 FR 51254 confirmed 40166
18.25 -- 18.27 Regulation at 53 FR 51254 confirmed 40166
19 Regulation at 53 FR 51254 confirmed 40166
19.1 Regulation at 53 FR 51254 confirmed 40166
19.11 Regulation at 53 FR 51254 confirmed 40166
19.13 Regulation at 53 FR 51254 confirmed 40166
19.15 Regulation at 53 FR 51254 confirmed 40166
19.17 Regulation at 53 FR 51254 confirmed; (a) amended 40166
19.18 Regulation at 53 FR 51254 confirmed 40166
19.19 Regulation at 53 FR 51254 confirmed 40166
19.23 Regulation at 53 FR 51254 confirmed 40166
24 IRS interest rate 25093, 38983
Regulation at 53 FR 51254 confirmed 40166
24.16 Regulation at 53 FR 51254 confirmed 40166
24.17 Regulation at 53 FR 51254 confirmed 40166
24.23 (b)(1) through (4) amended 40166
24.36 Regulation at 53 FR 51254 confirmed 40166
54 Regulation at 53 FR 51254 confirmed 40166
54.5 Regulation at 53 FR 51254 confirmed 40166
54.6 Regulation at 53 FR 51255 confirmed 40166
101 Regulation at 53 FR 51255 confirmed 40166
101.3 (b) amended 29014, 37707
103 Regulation at 53 FR 51255 confirmed 40166
103.11 Regulation at 53 FR 51255 confirmed 40166
111 Regulation at 53 FR 51255 confirmed 40166
User fee due date 45603
111.11 Regulation at 53 FR 51255 confirmed 40166
111.22 (d) amended; (e) revised 49884
111.23 (f) removed; (g) redesignated as (f); (a)(1), (e) and new
(f) revised 49884
113 Regulation at 53 FR 51255 confirmed 40166
113.62 (j) redesignated as (k); new (j) added 49884
113.66 Regulation at 53 FR 51255 confirmed 40166
114 Regulation at 53 FR 51255 confirmed 40166
122 Regulation at 53 FR 51255 confirmed 40166
Authority citation revised 42557
122.14 Removed 42557
122.48 Regulation at 53 FR 51255 confirmed 40166
122.181 -- 122.188 (Subpart S) Added 42557
123 Regulation at 53 FR 51255 confirmed 40166
127 Regulation at 53 FR 51255 confirmed 40166
127.33 Regulation at 53 FR 51255 confirmed 40166
132 Regulation at 53 FR 51255 confirmed 40166
132.6 Regulation at 53 FR 51255 confirmed and amended 40166
133 Authority citation revised 52041
133.21 (c)(3) removed 52041
134 Regulation at 53 FR 51255 confirmed 40166
Interpretative rule 7303
134.0 Regulation at 53 FR 51255 confirmed 40166
134.2 Amended 28190
134.3 (a) amended 28190
134.4 Amended 28191
134.22 Regulation at 53 FR 51255 confirmed 40166
134.23 Regulation at 53 FR 51256 confirmed 40166
134.24 Regulation at 53 FR 51256 confirmed 40166
134.33 Regulation at 53 FR 51256 confirmed 40166
134.43 (d) added 38317
Regulation at 53 FR 51256 confirmed; (a) and (b) amended 40166
134.53 (a)(2) amended 28191
134.54 (c) amended 28191
141.4 Regulation at 53 FR 51256 confirmed; (a) amended; (b) revised
40166
141.11 (a)(5) added 47052
141.53 Regulation at 53 FR 51256 confirmed 40166
141.61 Regulation at 53 FR 51256 confirmed 40166
141.69 (b) revised 17597
141.82 Regulation at 53 FR 51256 confirmed 40166
141.83 Regulation at 53 FR 51256 confirmed 40166
141.89 Regulation at 53 FR 51256 confirmed 40166
141.90 Regulation at 53 FR 51262 confirmed 40166
141.111 (c) added 47052
141.113 Regulation at 53 FR 51262 confirmed 40166
142.3 (a)(6) added 49884
142.6 (a) introductory text republished; (a)(5) added 12343
(a)(4) amended 40167
142.17 Regulation at 53 FR 51262 confirmed 40166
142.17a Regulation at 53 FR 51262 confirmed 40166
143 Heading revised 49884
143.0 Amended 49884
143.1 -- 143.8 (Subpart A) Revised 49884
143.21 Regulation at 53 FR 51262 confirmed 40166
143.25 Regulation at 53 FR 51263 confirmed 40166
143.29 Regulation at 53 FR 51263 confirmed 40166
143.31 -- 143.39 (Subpart D) Added 49886
144 Regulation at 53 FR 51263 confirmed 40166
144.15 Regulation at 53 FR 51263 confirmed 40166
145 Regulation at 53 FR 51263 confirmed 40166
145.12 Regulation at 53 FR 51263 confirmed 40166
145.34 Regulation at 53 FR 51263 confirmed 40166
145.35 Regulation at 53 FR 51263 confirmed 40166
145.36 Regulation at 53 FR 51263 confirmed 40166
145.37 Regulation at 53 FR 51263 confirmed 40166
145.43 Regulation at 53 FR 51263 confirmed 40166
146 Interpretative rule 14966
Regulation at 53 FR 51263 confirmed 40166
146.1 Regulation at 53 FR 51263 confirmed 40166
146.67 Regulation at 53 FR 51263 confirmed 40166
146.70 Regulation at 53 FR 51263 confirmed 40166
147 Regulation at 53 FR 51263 confirmed 40166
147.2 Regulation at 53 FR 51263 confirmed 40166
147.45 Regulation at 53 FR 51263 confirmed 40166
148 Regulation at 53 FR 51263 confirmed 40166
148.2 Regulation at 53 FR 51263 confirmed 40166
148.5 Regulation at 53 FR 51263 confirmed 40166
148.6 Regulation at 53 FR 51264 confirmed 40166
148.8 Regulation at 53 FR 51264 confirmed 40166
148.13 Regulation at 53 FR 51264 confirmed 40166
148.22 Regulation at 54 FR 5077 confirmed 28755
148.23 Regulation at 53 FR 51264 confirmed 40166
148.26 Regulation at 53 FR 51264 confirmed 40166
148.31 Regulation at 53 FR 51264 confirmed 40166
148.33 Regulation at 53 FR 51264 confirmed 40166
148.37 Regulation at 53 FR 51264 confirmed 40166
148.39 Regulation at 53 FR 51264 confirmed 40166
148.41 Regulation at 53 FR 51264 confirmed 40166
148.42 Regulation at 53 FR 51264 confirmed 40166
148.43 Regulation at 53 FR 51264 confirmed 40166
148.44 Regulation at 53 FR 51265 confirmed 40166
148.45 Regulation at 53 FR 51265 confirmed 40166
148.46 Regulation at 53 FR 51265 confirmed 40166
148.51 Regulation at 53 FR 51265 confirmed 40166
148.52 Regulation at 53 FR 51265 confirmed 40166
148.53 Regulation at 53 FR 51265 confirmed 40166
148.54 Regulation at 53 FR 51265 confirmed 40166
148.63 Regulation at 53 FR 51265 confirmed 40166
148.64 Regulation at 53 FR 51265 confirmed 40166
148.65 Regulation at 53 FR 51265 confirmed 40166
148.66 Regulation at 53 FR 51265 confirmed 40166
148.71 Regulation at 53 FR 51265 confirmed 40166
148.73 Regulation at 53 FR 51265 confirmed 40166
148.74 Regulation at 53 FR 51265 confirmed 40166
148.75 Regulation at 53 FR 51266 confirmed 40166
148.77 Regulation at 53 FR 51266 confirmed 40166
148.82 Regulation at 53 FR 51266 confirmed 40166
148.85 Regulation at 53 FR 51266 confirmed 40166
148.86 Regulation at 53 FR 51266 confirmed 40166
148.87 Regulation at 53 FR 51266 confirmed 40166
148.88 Regulation at 53 FR 51266 confirmed 40166
148.90 Regulation at 53 FR 51266 confirmed 40166
148.101 Regulation at 53 FR 51266 confirmed 40166
148.105 Regulation at 53 FR 51267 confirmed 40166
148.111 Regulation at 53 FR 51267 confirmed 40166
148.113 Regulation at 53 FR 51267 confirmed 40166
148.115 Regulation at 53 FR 51267 confirmed 40166
151 Authority citation amended 40167
151.13 Regulation at 53 FR 51267 confirmed; (a)(1) table, (2) and
(g)(1) amended; (a)(2) table revised 40166, 40167
151.14 Revised 40167
151.21 Regulation at 53 FR 51268 confirmed 40166
151.22 Regulation at 53 FR 51268 confirmed 40166
151.28 Regulation at 53 FR 51268 confirmed 40166
151.41 Regulation at 53 FR 51268 confirmed 40166
151.42 Regulation at 53 FR 51268 confirmed 40166
151.44 Regulation at 53 FR 51268 confirmed 40166
151.46 Revised 40167
151.47 Regulation at 53 FR 51269 confirmed 40166
151.51 Regulation at 53 FR 51269 confirmed 40166
151.55 Regulation at 53 FR 51269 confirmed 40166
151.61 Regulation at 53 FR 51269 confirmed 40166
151.63 Regulation at 53 FR 51269 confirmed 40166
151.64 Regulation at 53 FR 51269 confirmed 40166
151.65 Regulation at 53 FR 51269 confirmed 40166
151.68 Regulation at 53 FR 51269 confirmed 40166
151.76 Regulation at 53 FR 51269 confirmed 40166
151.81 Regulation at 53 FR 51269 confirmed 40166
151.82 Regulation at 53 FR 51269 confirmed 40166
151.91 Regulation at 53 FR 51269 confirmed 40166
151.101 -- 151.104 (Subpart H) Regulation at 53 FR 51269 confirmed
40166
152 Interpretative rule 22894
Regulation at 53 FR 51269 confirmed 40166
152.1 Regulation at 53 FR 51269 confirmed 40166
152.11 Regulation at 53 FR 51269 confirmed 40166
152.13 Regulation at 53 FR 51270 confirmed 40166
152.101 Regulation at 53 FR 51270 confirmed 40166
158 Authority citation revised 40167
158.12 Regulation at 53 FR 51270 confirmed 40166
158.13 Revised 40167
158.45 (d) amended 28191
159 Regulation at 53 FR 51270 confirmed 40166
Authority citation revised 49888
159.4 Regulation at 53 FR 51270 confirmed 40166
159.7 Regulation at 53 FR 51270 confirmed; (a)(1) amended 40166,
40168
159.9 (c)(1) amended 49888
159.22 Regulation at 53 FR 51270 confirmed 40166
159.43 Regulation at 53 FR 51270 confirmed 40166
159.46 (a) amended 28191
162.5 Amended 17597
162.7 Amended 17597
162.8 Regulation at 54 FR 5077 confirmed 28755
162.70 (b)(1) amended 17597
171 Authority citation revised 17597
Regulation at 53 FR 51271 confirmed 40166
Appendixes A and B Regulation at 53 FR 51271 confirmed 40166
Appendix C revised 10056
177 Regulation at 53 FR 51271 confirmed 40166
177.1 Regulation at 53 FR 51271 confirmed 40166
177.2 Regulation at 53 FR 51271 confirmed 40166
177.9 Regulation at 53 FR 51271 confirmed 40166
178.2 Table amended (OMB numbers) 12344, 17597, 37707
191 Regulation at 53 FR 51271 confirmed 40166
191.3 (b) and (c) removed; (d) redesignated as (b) 17598
191.133 Regulation at 53 FR 51271 confirmed 40166
192.2 (c) revised 37708
Technical correction 39353
19 CFR 192.4 1991
19 CFR
56 FR
Page
Chapter I
4 Authority citation amended 4175
Position statement 14467
Interpretation 51168
4.14 (b)(2)(ii)(A) amended 46114
4.22 Amended 34149
Amended 56007
4.38 (a) revised 22330
(a) corrected 27559
4.72 (a) amended 46114
4.75 (c) amended 32085
4.80b (b) amended 46114
Correctly designated 47268
4.93 (b)(1) amended 7805
(b)(1) and (2) amended 12345, 13395
4.94 (b) amended 4175
10 Authority citation amended 40779
10.8 (c) introductory text amended 46114
10.37 Amended 46114
10.38 (f) amended 46114
10.39 (e) amended 40779
Corrected 48823
10.179 (a)(2) removed; (a)(3) and (4) redesignated as (a)(2) and (3)
49845
12.104g (b) amended 15182
18.7 (c) amended 46114
18.8 (d) amended 40779
24 Authority citation amended 21446
IRS interest rate 37838
24.13a (g) amended 46114
24.17 (a)(12) through (14) added; interim 15038
(a)(12) corrected 25721
Regulations at 56 FR 15038 and 25721 confirmed 63648
24.22 (d)(5) revised; (j) added; interim 15038
Regulation at 56 FR 15038 confirmed 63648
24.23 Revised; interim 15039
(a)(3), (5) and (b)(1)(i)(B) corrected 25721
Regulations at 56 FR 15039 and 25721 confirmed 63648
24.24 (a), (e)(1)(ii), (2)(ii), (3)(iii) and (4)(ii) revised; (e)(5)
added 21446
24.32 (b) amended 46114
24.70 (c) amended 46114
101.3 (b) amended 22642, 57487
(b) corrected 24684
(a) amended 46114
101.4 (c) amended 22642
103.0 Amended 46114
103.5 (b)(1) and (d)(1) amended 46114
103.8 (a)(3) amended 46114
103.14 (d)(1)(iii) and (iv) amended 46114
(d)(2)(iii) amended 46115
111 User fee due date 55072
111.19 (d) amended 46115
111.30 (d) amended 46115
111.92 Amended 46115
113.14 Amended 46115
113.15 Amended 46115
113.38 (c)(1) and (5) amended 46115
113.39 (a) introductory text and (b) amended 46115
122.27 (c) added 32086
122.76 Amended 46115
122.161 Revised 32086
122.171 -- 122.176 (Subpart R) Revised; eff. 4-24-91 12347
122.173 (b) amended 46115
122.176 (a) amended 46115
125 Authority citation revised; sectional authority citations
removed 40779
125.42 Amended 40779
133.1 (a) amended 46115
133.2 Introductory text amended 46115
133.3 (a)(1) and (2) amended 46115
133.4 (b) amended 46115
133.5 (c) amended 46115
133.6 Introductory text and (a) amended 46115
133.7 (a) introductory text, (1) and (b) amended 46115
133.11 Amended 46115
133.12 Introductory text amended 46115
133.15 Amended 46115
133.32 Introductory text amended 46115
133.35 (a) introductory text amended 46115
133.36 Introductory text amended 46115
133.37 (b) amended 46115
133.47 Amended 46115
141.12 (b)(1), (e)(1) and (2) amended 42527
141.68 (f) revised 42527
145.4 (c) amended 42527
145.37 (a) amended 46115
146.65 (b)(2) amended 46372
146.81 (b) amended 46115
146.83 (a) amended 46115
148.1 (b) revised 19260
148.55 (a) amended 46115
148.105 (a) amended 46115
151.42 (a)(3) amended 46115
161 Authority citation revised 5349
161.2 (a)(2) and (4) amended 46115
161.11 -- 161.16 (Subpart B) Revised 5349
162 Authority citation amended 25364
162.45 (a) introductory text and (3) amended 25364
162.47 (a) and (b) amended 25364
162.74 (c), (d)(3), (4)(i) and (e)(1) amended 46115
171.15 (a)(4) amended 46115
171.21 Revised 40779
Corrected 48823
171.33 (b)(1) and (d) heading revised 40780
(b)(1) and (d) corrected 48823
172.22 (e) added 40780
(e) corrected 48823
172.33 (b)(1) revised 40780
177 Interpretive rule 46372
177.22 (b) introductory text amended 46115
178.2 Table amended (OMB numbers); eff. 4-24-91 12349
Table amended 32087
191.10 (e)(1)(i) amended 46115
191.21 (c) and (d) amended 46115
191.27 (c) amended 46115
19 CFR 192.4 1992
19 CFR
57 FR
Page
Chapter I
10.59 (f) amended 4936
10.84 Regulation at 53 FR 51765 confirmed; (a)(1) amended 2453
10.175 (d)(3) amended; (e) added; interim 2018
10.301 Regulation at 53 FR 51766 confirmed 2453
10.302 Regulation at 53 FR 51766 confirmed 2453
10.303 Revised 2453
10.304 Regulation at 53 FR 51767 confirmed 2453
10.305 Revised 2453
(a)(1)(i), (ii) and (b)(3)(ii) Example 2 corrected; (a)(3)(i)
correctly designated 4793
10.306 Regulation at 53 FR 51768 confirmed 2453
10.307 Regulation at 53 FR 51768 confirmed 2453
(a) through (d) revised 2455
10.308 Regulation at 53 FR 51768 confirmed 2453
10.309 Regulation at 53 FR 51768 confirmed 2453
10.310 Regulation at 53 FR 51768 confirmed 2453
(b) amended 2455
10.311 Regulation at 53 FR 51768 confirmed 2453
12.39a Policy statement 8725
12.104g (b) table amended 9975
24.24 (b)(5), (6), (7) and (c)(8) added; interim 609
(b)(1) table revised; interim 2457
101.3 (b) amended 610, 4718
101.4 (c) amended 4718
141.102 Heading revised 10989
148.102 Regulation at 53 FR 51769 confirmed 2453
151.12 Removed 10989
178.2 Amended (OMB numbers) 2456
19
Customs Duties
PARTS 1 TO 199
Revised as of April 1, 1992
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF APRIL 1, 1992
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
Washington, DC 20402-9328
19 CFR 192.4 Table of Contents
Page
Explanation v
Title 19:
Chapter I -- United States Customs Service, Department of the
Treasury
Finding Aids:
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
Redesignation Tables
Chapter I Subject Index
List of CFR Sections Affected
19 CFR 192.4 Explanation
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16 as of January 1
Title 17 through Title 27 as of April 1
Title 28 through Title 41 as of July 1
Title 42 through Title 50 as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, April 1, 1992), consult the ''List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ''Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal
agencies to display an OMB control number with their information
collection request. Many agencies have begun publishing numerous OMB
control numbers as amendments to existing regulations in the CFR. These
OMB numbers are placed as close as possible to the applicable
recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected,
1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes.
For the period beginning January 1, 1986, a ''List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ''Title 3 -- The President'' is carried
within that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ''Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES AND SALES
For a summary, legal interpretation, or other explanation of any
regulation in this volume, contact the issuing agency. Inquiries
concerning editing procedures and reference assistance with respect to
the Code of Federal Regulations may be addressed to the Director, Office
of the Federal Register, National Archives and Records Administration,
Washington, DC 20408 (telephone 202-523-3517). All mail order sales are
handled exclusively by the Superintendent of Documents, Attn: New
Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. Charge orders may
be telephoned to the Government Printing Office order desk at
202-783-3238.
Martha L. Girard,
Director,
Office of the Federal Register.
April 1, 1992.
19 CFR 192.4 THIS TITLE
Title 19 -- Customs Duties is composed of two volumes. The first
volume, parts 1 to 199 contains the regulations in Chapter I -- United
States Customs Service, Department of the Treasury. The second volume,
part 200 to end contains the regulations in Chapter II -- United States
International Trade Commission and Chapter III -- International Trade
Administration, Department of Commerce. The contents of these volumes
represent all current regulations issued under this title of the CFR as
of April 1, 1992.
Redesignation Tables and a Subject Index to Chapter I -- U.S.
Customs Service appears in the Finding Aids section of the first volume.
For this volume, Gertrude E. Belton was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Richard L. Claypoole, assisted by Alomha S. Morris.
19 CFR 0.0 19 CFR Ch. I (4-1-92 Edition)
19 CFR 0.0 United States Customs Service, Treasury
19 CFR 0.0 Title 19 -- Customs Duties
19 CFR 0.0 (This book contains part 200 to End)
Part
chapter ii -- United States International Trade Commission 200
chapter iii -- International Trade Administration, Department of
Commerce 353
Cross References: Regulations of the Department of Agriculture: See
Titles 7 and 9.
Internal Revenue Service, Department of the Treasury: See Internal
Revenue Service, 26 CFR Chapter I.
Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury:
27 CFR Chapter I.
Drug Enforcement Administration, Department of Justice: See Food and
Drugs, 21 CFR Chapter II.
Coast Guard, Department of Transportation: See 33 CFR Chapter I and
46 CFR Chapter I.
Department of Defense procurement: See Federal Acquisition
Regulations System, 48 CFR Chapter 2.
Department of State: See Foreign Relations, 22 CFR Chapter I.
Export clearance and destination control: See Commerce and Foreign
Trade, 15 CFR part 386.
Food and Drug Administration, Department of Health and Human
Services: See Food and Drugs, 21 CFR Chapter I.
Foreign excess property: See Commerce and Foreign Trade, 15 CFR part
302.
Foreign trade statistics: See Commerce and Foreign Trade, 15 CFR
part 30.
Foreign-Trade Zones Board: See Commerce and Foreign Trade, 15 CFR
Chapter IV.
Immigration and Naturalization Service, Department of Justice: See
Aliens and Nationality, 8 CFR Chapter I.
Importation of wildlife and plants: See Wildlife and Fisheries, 50
CFR Chapter I, Subchapter B.
Postal Service (International Mail): See United States Postal
Service, 39 CFR Chapter I, Subchapter B.
Public Health Service, Department of Health and Human Services: See
Public Health, 42 CFR Chapter I.
Other regulations issued by the Department of the Treasury appear in
12 CFR Chapter I; and Title 31.
19 CFR 0.0 19 CFR Ch. II (4-1-92 Edition)
19 CFR 0.0 United States International Trade Commission
19 CFR 0.0 CHAPTER II -- UNITED STATES INTERNATIONAL
19 CFR 0.0 TRADE COMMISSION
Part
Page
200 Employee responsibilities and conduct
19 CFR 0.0
19 CFR 0.0 SUBCHAPTER A -- GENERAL
201 Rules of general application
19 CFR 0.0
19 CFR 0.0 SUBCHAPTER B -- NONADJUDICATIVE INVESTIGATIONS
202 Investigations of costs of production
204 Investigations of effects of imports on agricultural programs
205 Investigations to determine the probable economic effect on the
economy of the United States of proposed modifications of duties or of
any barrier to (or other distortion of) international trade or of taking
retaliatory actions to obtain the elimination of unjustifiable or
unreasonable foreign acts or policies which restrict U.S. commerce
206 Investigations relating to import injury to industries, market
disruption, and review of relief actions
207 Investigations of whether injury to domestic industries results
from imports sold at less than fair value or from subsidized exports to
the United States
19 CFR 0.0
19 CFR 0.0 SUBCHAPTER C -- INVESTIGATIONS OF UNFAIR PRACTICES IN
IMPORT TRADE
210 Adjudicative procedures
211 Enforcement procedures
212 Implementation of the Equal Access to Justice Act
213 Trade remedy assistance
19 CFR 0.0
19 CFR 0.0 19 CFR Ch. II (4-1-92 Edition)
19 CFR 0.0 United States International Trade Commission
19 CFR 0.0 PART 200 -- EMPLOYEE RESPONSIBILITIES AND CONDUCT
19 CFR 0.0 Subpart A -- General Provisions
Sec.
200.735-101 Purpose.
200.735-102 Definitions.
200.735-103 Counseling service.
200.735-104 Disciplinary and other remedial action.
19 CFR 0.0 Subpart B -- Provisions Governing Ethical and Other Conduct
and Responsibilities of Employees
200.735-104a Proscribed actions.
200.735-105 Gifts, entertainment and favors.
200.735-106 Outside employment and other activities.
200.735-107 Financial interests.
200.735-108 Use of Government property.
200.735-109 Misuse of information.
200.735-110 Indebtedness.
200.735-111 Gambling, betting, and lotteries.
200.735-112 General conduct prejudicial to the Government.
200.735-113 Miscellaneous statutory provisions.
19 CFR 0.0 Subpart C -- Provisions Governing Statements of Employment
and Financial Interests
200.735-114 Employees required to submit statements.
200.735-114a Employees not required to submit statements.
200.735-114b Employee complaints on filing requirements.
200.735-114c Voluntary submission by employees.
200.735-115 Forms -- Interests not to be reported.
200.735-116 Time and place for submission of employees' statements.
200.735-117 Supplementary statements.
200.735-118 Interests of employees' relatives.
200.735-119 Information not known by employees.
200.735-120 Information prohibited.
200.735-121 Confidentiality of employees' statements.
200.735-122 Special Government employees.
200.735-123 Effect of employees' and special Government employees'
statements on other requirements.
19 CFR 0.0 Subpart D -- Provisions for Administrative Enforcement of
Postemployment Conflict of Interest Restrictions
200.735-124 General.
200.735-125 Exemption from restrictions.
200.735-126 Administrative enforcement proceedings.
Authority: E.O. 11222, 30 FR 6469, 3 CFR, 1965 Supp.; 5 CFR 735.101
et seq., 5 CFR 2638.101 et seq., unless otherwise noted.
Source: 31 FR 2593, Feb. 10, 1966, unless otherwise noted.
19 CFR 0.0 Subpart A -- General Provisions
19 CFR 200.735-101 Purpose.
The purpose of the regulations in this part is to maintain the
highest standards of honesty, integrity, impartiality, and conduct on
the part of all employees of the U.S. International Trade Commission and
to maintain public confidence that the business of the Commission is
being conducted in accordance with such standards.
(31 FR 2593, Feb. 10, 1966, as amended at 46 FR 17542, Mar. 19, 1981)
19 CFR 200.735-102 Definitions.
In this part:
(a) Commission means the U.S. International Trade Commission.
(b) Commissioner means a Commissioner of the U.S. International Trade
Commission.
(c) Employee means a Commissioner, employee, or special Government
employee of the Commission.
(d) Executive order means Executive Order 11222 of May 8, 1965.
(e) Person means an individual, a corporation, a company, an
association, a firm, a partnership, a society, a joint stock company, or
any other organization or institution.
(f) Special Government employee means a special Government employee
as defined in section 202 of Title 18 of the United States Code who is
employed by the Commission.
(31 FR 2593, Feb. 10, 1966, as amended at 44 FR 23823, Apr. 23, 1979;
46 FR 17542, Mar. 19, 1981; 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-103 Counseling service.
(a) The Chairman shall appoint a Designated Agency Ethics Official
(DAEO) who serves as liaison to the Office of Government Ethics and who
is responsible for carrying out the Commission's ethics program. The
program shall be designed to implement titles II, IV, and V of the
Ethics in Government Act of 1978, Executive Order No. 11222, the
regulations in this part, and other statutes and regulations applicable
to agency ethics matters. The DAEO will be a senior Commission employee
with experience demonstrating the ability to review financial disclosure
reports and counsel employees with regard to resolving conflicts of
interest, review the financial disclosures of Presidential nominees to
the Commission prior to confirmation hearings, counsel employees with
regard to ethics standards, assist supervisors in implementing the
Commission's ethics program, and periodically evaluate the ethics
program.
(b) The Chairman shall select an Alternate Agency Ethics Official who
will serve as Deputy DAEO to whom any of the DAEO's statutory and
regulatory duties may be delegated.
(c) The DAEO shall coordinate and manage the agency's ethics program.
The DAEO duties shall consist of:
(1) Liaison with the Office of Government Ethics;
(2) Review of financial disclosure reports, including reports filed
by Presidential nominees to the Commission;
(3) Initiation and maintenance of ethics education and training
programs;
(4) Monitoring administrative actions and sanctions; and
(5) Implementation of the specific program elements listed in Office
of Government Ethics regulations, 5 CFR 738.203(b).
(46 FR 17542, Mar. 19, 1981, as amended at 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-104 Disciplinary and other remedial action.
(a) An employee who violates any of the regulations in this part may
be disciplined. The disciplinary action may be in addition to any other
penalty prescribed by law for the violation. In addition to, or in lieu
of, disciplinary action, remedial action to end conflicts or appearance
of conflicts of interest may include, but is not limited to:
(1) Changes in assigned duties;
(2) Divestment by the employee of his conflicting interest; or
(3) Disqualification for a particular assignment.
(b) Remedial action, whether disciplinary or otherwise, shall be
effected in accordance with any applicable laws, Executive orders, and
regulations.
19 CFR 200.735-104 Subpart B -- Provisions Governing Ethical and Other Conduct and Responsibilities of Employees
19 CFR 200.735-104a Proscribed actions.
An employee shall avoid any action, whether or not specifically
prohibited by this subpart, which might result in, or create the
appearance of:
(a) Using public office for private gain;
(b) Giving preferential treatment to any person;
(c) Impeding Government efficiency or economy;
(d) Losing complete independence or impartiality;
(e) Making a Government decision outside official channels; or
(f) Affecting adversely the confidence of the public in the integrity
of the Government.
(32 FR 16210, Nov. 28, 1967)
19 CFR 200.735-105 Gifts, entertainment, and favors.
(a) Except as provided in paragraph (b) of this section, no employee
may solicit or accept, directly or indirectly, any gift, gratuity,
favor, entertainment, loan, or any other thing of monetary value from
any person who:
(1) Has, or is seeking to obtain, contractual or other business or
financial relations with the Commission;
(2) Conducts operations or activities that are being investigated by
the Commission; or
(3) Has interests that may be substantially affected by the
performance or nonperformance of the employee's official duty.
(b) The prohibitions set forth under paragraph (a) of this section
shall not apply to:
(1) Solicitations or acceptances based on obvious family or personal
relationships (such as those between parents, children, or spouse of the
employee and the employee) when the circumstances make it clear that it
is those relationships rather than the business of the persons concerned
which are the motivating factors;
(2) The acceptance of food and refreshments of nominal value on
infrequent occasions in the ordinary course of a luncheon or dinner
meeting or other meeting or on a field trip, and of ground
transportation of nominal value in the course of a field trip, where an
employee may properly be in attendance.
(3) The acceptance of loans from banks or other financial
institutions on customary terms to finance proper and usual activities
of employees, such as home mortgage loans; and
(4) The acceptance of unsolicited advertising or promotional
material, such as pens, pencils, note pads, calendars, and other items
of nominal value.
(c) An employee shall not solicit a contribution from another
employee for a gift to an official superior, make a donation as a gift
to an official superior, or accept a gift from an employee receiving
less pay than himself (5 U.S.C. 7351). However, this paragraph does not
prohibit a voluntary gift of nominal value or donation in a nominal
amount made on a special occasion such as marriage, illness, or
retirement.
(d) An employee shall not accept a gift, present, decoration, or
other thing from a foreign government unless authorized by Congress as
provided by the Constitution and in 5 U.S.C. 7342.
(e) Neither this section nor 200.735-106 precludes an employee from
receipt of bona fide reimbursement, unless prohibited by law, for
expenses of travel and such other necessary subsistence as is compatible
with this part for which no Government payment or reimbursement is made.
However, this paragraph does not allow an employee to be reimbursed, or
payment to be made on his behalf, for excessive personal living
expenses, gifts, entertainment or other personal benefits, nor does it
allow an employee to be reimbursed by a person for travel on official
business under agency orders when reimbursement is proscribed by
Decision B-128527 of the Comptroller General dated March 7, 1967.
(32 FR 16210, Nov. 28, 1967, as amended at 46 FR 41036, Aug. 14,
1981)
19 CFR 200.735-106 Outside employment and other activities.
(a) An employee may engage in outside employment or other outside
activity not incompatible with the full and proper discharge of the
duties and responsibilities of his Government employment: Provided,
That no Commissioner shall actively engage in any other business,
vocation, or employment than that of serving as a Commissioner (19
U.S.C. 1330(c)). Incompatible activities include but are not limited to:
(1) Acceptance of a fee, compensation, gift, payment of expense, or
any other thing of monetary value in circumstances in which acceptance
may result in, or create the appearance of, conflicts of interest; or
(2) Outside employment tending to impair the employee's capacity to
perform his Government duties and responsibilities in an acceptable
manner.
(b) An employee (except a special Government employee) shall not
receive any salary or anything of monetary value from a private source
as compensation for his services to the Government (18 U.S.C. 209).
(c) Employees are encouraged to engaged in teaching, lecturing, and
writing that is not prohibited by law, the Executive order, or this
part. However, an employee shall not, either for or without
compensation, engage in teaching, lecturing, or writing, including
teaching, lecturing, or writing for the purpose of the special
preparation of a person or class of persons for an examination of the
Civil Service Commission or Board of Examiners for the Foreign Service,
that is dependent on information obtained as a result of his Government
employment, except when that information has been made available to the
general public or will be made available on request, or when the
Commission gives authorization for the use of nonpublic information
(other than information received in confidence) on the basis that the
use is in the public interest and would not be in violation of law. In
addition, Commissioners shall not receive compensation or anything of
monetary value for any consultation, lecture, discussion, writing, or
appearance the subject matter of which is devoted substantially to the
responsibilities, programs, or operations of the Commission, or which
draws substantially on official data or ideas which have not become part
of the body of public information.
(d) This section does not preclude an employee from:
(1) Participation in the activities of national or State political
parties not proscribed by law.
(2) Participation in the affairs of, or acceptance of, an award for a
meritorious public contribution or achievement given by a charitable,
religious, professional, social, fraternal, nonprofit educational and
recreational, public service, or civic organization.
(33 FR 8447, June 7, 1968)
19 CFR 200.735-107 Financial interests.
(a) An employee shall not:
(1) Have a direct or indirect financial interest that conflicts
substantially, or appears to conflict substantially, with his Government
duties or responsibilities; or
(2) Engage in, directly or indirectly, a financial transaction as a
result of, or primarily relying on, information obtained through his
Government employment.
(b) This section does not preclude an employee from having a
financial interest or engaging in financial transactions to the same
extent as a private citizen not employed by the Government so long as it
is not prohibited by law, the Executive order, or this part.
(c) Pursuant to the authority contained in 18 U.S.C. 208(b), the
following types of financial interests are considered too remote or
inconsequential to affect a Commission employee's integrity or services
and do not constitute a conflict of interest under 18 U.S.C. 208(a):
(1) In widely-held, diversified mutual funds or regulated investment
companies, regardless of their value; and
(2) In state or local government bonds, or other noncorporate bonds,
regardless of their value.
(31 FR 2593, Feb. 10, 1966, as amended at 44 FR 23823, Apr. 23, 1979)
19 CFR 200.735-108 Use of Government property.
An employee shall not directly or indirectly use, or allow the use
of, Government property of any kind, including property leased to the
Government, for other than officially approved activities. An employee
has a positive duty to protect and conserve Government property,
including equipment, supplies, and other property issued to him.
19 CFR 200.735-109 Misuse of information.
For the purpose of furthering a private interest, an employee shall
not, except as provided in 200.735-106(c), directly or indirectly use,
or allow the use of, official information obtained through or in
connection with his Government employment which has not been made
available to the general public.
19 CFR 200.735-110 Indebtedness.
An employee shall pay each just financial obligation in a proper and
timely manner, especially one imposed by law such as Federal, State or
local taxes. For the purpose of this section a ''just financial
obligation'' means one acknowledged by the employee or reduced to
judgment by a court, and ''in a proper and timely manner'' means in a
manner which the Commission determines does not, under the
circumstances, reflect adversely on the Government as his employer. In
the event of a dispute between an employee and an alleged creditor, the
Commission shall make no determination of the validity or amount of the
disputed debt.
19 CFR 200.735-111 Gambling, betting, and lotteries.
An employee shall not participate, while on Government-owned or
leased property or while on duty for the Government, in any gambling
activity including the operation of a gambling device, in conducting a
lottery or pool, in a game for money or property, or in selling or
purchasing a numbers slip or ticket. However, this section does not
preclude activities:
(a) Necessitated by an employee's law enforcement duties; or
(b) Under section 3 of Executive Order 10927 and similar
Commission-approved activities.
19 CFR 200.735-112 General conduct prejudicial to the Government.
An employee shall not engage in criminal, infamous, dishonest,
immoral, or notoriously disgraceful conduct, or other conduct
prejudicial to the Government.
19 CFR 200.735-113 Miscellaneous statutory provisions.
Each employee shall familiarize himself with each statute that
relates to his ethical and other conduct as a Government employee,
including the following statutes:
(a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72
Stat. B12, the ''Code of Ethics for Government Service.''
(b) Chapter 11 of Title 18, United States Code, relating to bribery,
graft, and conflicts of interest.
(c) The prohibition against lobbying with appropriated funds (18
U.S.C. 1913).
(d) The prohibitions against disloyalty and striking (5 U.S.C. 7311,
18 U.S.C. 1918).
(e) The prohibition against the employment of a member of a Communist
organization (50 U.S.C. 784).
(f) The prohibitions against (1) the disclosure of classified
information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of
confidential information (18 U.S.C. 1905).
(g) The provision relating to the habitual use of intoxicants to
excess (5 U.S.C. 7352).
(h) The prohibition against the misuse of a Government vehicle (31
U.S.C. 638a(c)).
(i) The prohibition against the misuse of the franking privilege (18
U.S.C. 1719).
(j) The prohibition against the use of deceit in an examination or
personnel action in connection with Government employment (18 U.S.C.
1917).
(k) The prohibition against fraud or false statements in a Government
matter (18 U.S.C. 1001).
(l) The prohibition against mutilating or destroying a public record
(18 U.S.C. 2071).
(m) The prohibition against counterfeiting and forging transportation
requests (18 U.S.C. 508).
(n) The prohibitions against (1) embezzlement of Government money or
property (18 U.S.C. 641); (2) failing to account for public money (18
U.S.C. 643); and (3) embezzlement of the money or property of another
person in the possession of an employee by reason of his employment (18
U.S.C. 654).
(o) The prohibition against unauthorized use of documents relating to
claims from or by the Government (18 U.S.C. 285).
(p) The prohibitions against political activities in subchapter III
of chapter 73 of title 5, United States Code and 18 U.S.C. 602, 603,
607, and 608.
(q) The prohibition against an employee acting as an agent of a
foreign principal registered under the Foreign Agents Registration Act
(18 U.S.C. 219).
(31 FR 2593, Feb. 10, 1966, as amended at 32 FR 16210, Nov. 28, 1967)
19 CFR 200.735-113 Subpart C -- Provisions Governing Statements of Employment and Financial Interests
19 CFR 200.735-114 Employees required to submit statements.
Except as provided in 200.735-114a, the following employees shall
submit confidential statements of employment and financial interests:
(a)(1) Employees in grade GS-13 or above under section 5332 of title
5, United States Code, or in comparable or higher positions not subject
to that section, other than those employees who are required to file
public financial disclosure reports by title II of the Ethics in
Government Act of 1978.
(2) The Director of Personnel shall list all such positions, shall
include the listing in the chapter of the Commission's Policy Manual
pertaining to the filing of confidential statements of employment and
financial interests, and shall furnish copies thereof to the Deputy DAEO
and to affected employees.
(3) The Director of Personnel shall update the listing required by
paragraph (a)(2) of this section and shall take all other steps required
by paragraph (a)(2) as of January 1 and July 1 of each year.
(b)(1) Employees classified below GS-13 under section 5332 of title
5, United States Code, or at a comparable pay level under other
authority, other than those employees who are required to file public
financial disclosure reports by title II of the Ethics in Government Act
of 1978, who are: (i) Responsible for making a decision or taking an
action in regard to Commission contracting or procurement, (ii)
responsible for conducting investigative and research activities where
the decision to be made or action to be taken could have an economic
impact on any non-Federal enterprise, or (iii) responsible for
exercising the authority of any supervisory or investigative employee in
the absence of such employee.
(2) The Director of Personnel, upon obtaining the advice of the
General Counsel, shall be responsible for determining which positions
below GS-13 meet the criteria of paragraph (b)(1) of this section. The
Director of Personnel shall justify his or her determination in writing
and shall submit it to the Office of Personnel Management for its
approval. Upon obtaining the approval of the Office of Personnel
Management, the Director of Personnel shall include the listing of these
positions in the chapter of the Commission's Policy Manual pertaining to
the filing of confidential statements of employment and financial
interests and shall furnish copies thereof to the Deputy DAEO and to
affected employees.
(3) The Director of Personnel shall evaluate the determination under
paragraph (b)(2) of this section as of January 1 and July 1 of each
year. When organizational changes or personnel actions indicate that
positions should be either added to or taken from the list of positions
which the Director of Personnel has determined meet the criteria of
paragraph (b)(1) of this section, the Director of Personnel shall make a
new determination under paragraph (b)(2) of this section and shall take
all other steps required by paragraph (b)(2) immediately upon the
implementation of said organizational changes or personnel actions.
(46 FR 17543, Mar. 19, 1981, as amended at 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-114a Employees not required to submit statements.
(a) Employees in positions that meet the criteria in paragraphs
(b)(1) or (c)(1) of 200.735-114 of this subpart may be exempted from
the reporting requirement of 200.735-114 if the Director of Personnel,
upon obtaining the advice of the General Counsel, determines that:
(1) The duties of a position are such that the likelihood of the
incumbent's involvement in a conflict-of-interest situation is remote;
(2) The duties of a position are at such a level of responsibility
that the submission of a statement of employment and financial interests
is not necessary because of the degree of supervision and review over
the incumbent or the inconsequential effect on the integrity of the
Government.
(b) All determinations made pursuant to paragraph (a) shall be
documented in a writing which shall be annexed to the listings required
by paragraphs (b)(2) and (c)(2) of 200.735-114 of this subpart. The
factual bases and reasons for determinations under paragraphs (a)(1) and
(a)(2) of this section shall be specified by the Director of Personnel
in said writing. Said writing shall refer to the position only and
shall not include the name, or other identifying particular, of the
incumbent occupying the position.
(c) A statement of employment and financial interests from
commissioners is not required by this subpart. Such employees are
subject to separate reporting requirements under section 401 of
Executive Order 11222 (3 CFR 306 (1964-1965 Comp.)).
(42 FR 59958, Nov. 23, 1977)
19 CFR 200.735-114b Employee complaints on filing requirements.
Any employee who believes that his position has been improperly
included under the reporting requirements of 200.735-114 may obtain a
review thereof through the Commission's grievance procedures.
(42 FR 59958, Nov. 23, 1977)
19 CFR 200.735-114c Voluntary submission by employees.
Any employee not required to submit a statement of employment and
financial interests under the criteria established by 200.735-114 may
submit such a statement to the Deputy Counselor in the manner specified
in 200.735-116 if he or she so desires.
(42 FR 59958, Nov. 23, 1977)
19 CFR 200.735-115 Forms -- Interests not to be reported.
(a) Statements required to be submitted by the provisions of this
subpart shall be prepared on forms (the format of which is prescribed by
the Office of Government Ethics, Office of Personnel Management)
available from the Deputy DAEO.
(b) Employees, GS-15 and below, who are required to file a statement
of employment and financial interests under 200.735-114 of this part,
need not report to the Deputy DAEO those financial interests specified
in 200.735-107(c) (1) and (2) of this part. Commissioners and
Commission employees, GS-16 and above, are required to report the
financial interests specified in 200.735-107(c) (1) and (2) of this
part under section 202(a) of the Ethics in Government Act of 1978.
(44 FR 23823, Apr. 23, 1979, as amended at 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-116 Time and place for submission of employees'
statements.
(a) An employee required to submit such a statement shall submit it
not later than:
(1) Ninety days after the effective date of the regulations in this
part, if employed on or before that effective date; or
(2) Thirty days after his entrance on duty, but not earlier than
ninety days after the effective date, if appointed after the effective
date.
(b) Each such statement shall be submitted to the Office of the
General Counsel of the Commission and shall be marked ''Submitted in
Confidence to the Deputy DAEO.'': Provided, That the statement of the
Deputy DAEO shall be submitted directly to the DAEO.
(31 FR 2593, Feb. 10, 1966, as amended at 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-117 Supplementary statements.
Changes in, or additions to, the information contained in an
employee's statement of employment and financial interests shall be
reported in a supplementary statement as of June 30 each year. If no
changes or additions occur, a negative report is required.
Notwithstanding the filing of the annual report under this section, each
employee shall at all times avoid acquiring a financial interest that
could result, or taking an action that would result, in a violation of
the conflicts of interest provisions of section 208 of title 18, United
States Code, or the regulations in this part.
(32 FR 16211, Nov. 28, 1967)
19 CFR 200.735-118 Interests of employees' relatives.
The interest of a spouse, minor child or other member of an
employee's immediate household is considered to be an interest of the
employee. For the purpose of this section, ''member of an employee's
immediate household'' means those blood relations who are residents of
the employee's household.
19 CFR 200.735-119 Information not known by employees.
If any information required to be included in a statement of
employment and financial interests or supplementary statement, including
holdings placed in trust, is not known to the employee but is known to
another person, the employee shall request that other person to submit
information on his behalf.
19 CFR 200.735-120 Information prohibited.
An employee is not required to submit in a statement of employment
and financial interests or supplementary statement any information
relating to the employee's connection with, or interest in, a
professional society or a charitable, religious, social, fraternal,
recreational, public service, civic, or political organization or
similar organization not conducted as a business enterprise. For the
purpose of this section, educational and other institutions doing
research and development or related work involving grants of money from,
or contracts with, the Government are deemed ''business enterprises''
and are required to be included in an employee's statement of employment
and financial interests.
19 CFR 200.735-121 Confidentiality of employees' statements.
Each statement of employment and financial interests, and each
supplementary statement, shall be held in confidence. To ensure this
confidentiality, the Deputy DAEO is authorized to review and retain the
statements. He shall be responsible for maintaining the statements in
confidence and shall not allow access to, or allow information to be
disclosed from, a statement except to carry out the purpose of this
part. The Deputy DAEO may not disclose information from the statement
except as the Civil Service Commission or the Chairman of the Tariff
Commission may determine for good cause shown.
(32 FR 16211, Nov. 28, 1967, as amended at 56 FR 36726, Aug. 1, 1991)
19 CFR 200.735-122 Special Government employees.
(a) Except as provided in paragraph (b) of this section, each special
Government employee shall submit a statement of employment and financial
interests which reports:
(1) All of his employment; and
(2) The financial interests of the special Government employee which
the Commission determines are relevant in the light of the duties he is
to perform.
(b) The Commission may waive the requirement in paragraph (a) of this
section for the submission of a statement of employment and financial
interests in the case of a special Government employee who is not a
consultant or an expert when the Commission finds that the duties of the
position held by that special Government employee are of a nature and at
such a level of responsibility that the submission of the statement by
the incumbent is not necessary to protect the integrity of the
Government. For the purpose of this paragraph, ''consultant'' and
''expert'' have the meanings given those terms by Chapter 304 of the
Federal Personnel Manual.
(c) A statement of employment and financial interests required to be
submitted under this section shall be submitted as provided for
employees in 200.735-116. Each special Government employee shall keep
his statement current throughout his employment with the Commission by
the submission of supplementary statements.
(31 FR 2593, Feb. 10, 1966, as amended at 32 FR 16211, Nov. 28, 1967)
19 CFR 200.735-123 Effect of employees' and special Government
employees' statements on other requirements.
The statements of employment and financial interests and
supplementary statements required of employees and special Government
employees are in addition to, and not in substitution for, or in
derogation of, any similar requirement imposed by law, order, or
regulation. The submission of a statement or supplementary statement by
an employee or special Government employee does not permit him or any
other person to participate in a matter which his or the other person's
participation in is prohibited by law, order, or regulation.
19 CFR 200.735-123 Subpart D -- Provisions for Administrative
Enforcement of Postemployment Conflict of Interest Restrictions
Authority: Ethics in Government Act of 1978, Pub. L. 95-521, 92
Stat. 1864 (18 U.S.C. 207), as amended by Pub. L. 96-28, 93 Stat. 76
(1979); 45 FR 7402, (1979) (5 CFR part 737).
Source: 45 FR 31988, May 15, 1980, unless otherwise noted.
19 CFR 200.735-124 General.
The procedures in this subpart are established pursuant to subsection
207(j) of title 18, United States Code, for the administrative
enforcement of the restrictions on postemployment activities in Title V
of the Ethics in Government Act of 1978 (18 U.S.C. 207 (a), (b), and
(c)) and implementing regulations published by the Office of Government
Ethics (5 CFR part 737). Subsections 207 (a), (b), and (c) of Title 18,
United States Code, prohibit certain forms of representational activity
or communications by former Commission employees.
19 CFR 200.735-125 Exemption from restrictions.
(a) Scientific and technological information solicited by the
Commission. Communications of a former Commission employee solely for
the purpose of furnishing scientific or technological information
solicited by the Commission in the course of its statutory
investigations are exempted from the restrictions on postemployment
practices.
(b) Exemption for persons with special qualifications in a technical
discipline -- (1) Applicability. A former Commission employee may be
exempted from the restrictions on postemployment practices if the
Chairman, in consultation with the Director, Office of Government Ethics
(the Director), executes a certification published in the Federal
Register that the former Commission employee has outstanding
qualifications in a scientific, technological, or other technical
discipline; that the former Commission employee is acting with respect
to a particular matter which requires such qualifications; and that the
national interest would be served by the former Commission employee's
participation.
(2) Certification authority. Certification shall be by the Chairman,
or in the absence thereof, by the acting head of the Commission.
Consultation with the Director shall precede any certification. The
exemption is effective upon the execution of the certification. The
Secretary shall immediately transmit the certification to the Federal
Register for publication.
(c) Testimony and statement under oath are subject to penalty of
perjury -- (1) Applicability. A former Commission employee may testify
before any court, board, commission, or legislative body with respect to
matters of fact within the personal knowledge of the former Commission
employee. This provision does not, however, allow a former Commission
employee, otherwise barred under 18 U.S.C. 207 (a), (b), or (c), to
testify on behalf of another as an expert witness except (i) to the
extent that the former employee may testify from personal knowledge as
to occurrences which are relevant to the issues in the proceeding,
including those in which the Commission employee participated, utilizing
his or her expertise, or (ii) in any proceeding where it is determined
that another expert in the field cannot practically be obtained, that it
is impracticable for the facts or opinions on the same subject to be
obtained by other means, and that the former Commission employee's
testimony is required in the interest of justice.
(2) Statements under penalty of perjury. A former Commission
employee may make any statements required to be made under penalty of
perjury, such as those required in registration statements for
securities, tax returns, or security clearances. The exception does
not, however, permit a former employee to submit pleadings,
applications, or other documents in a representational capacity on
behalf of another merely because the attorney or other representative
must sign the documents under oath or penalty of perjury.
19 CFR 200.735-126 Administrative enforcement proceedings.
The following are basic guidelines for administrative enforcement of
restrictions on postemployment activities:
(a) Initiation of administrative disciplinary hearing. (1) On
receipt of information regarding a possible violation of 18 U.S.C. 207,
and after determining that such information does not appear to be
frivolous, the Chairman shall expeditiously provide such information,
along with any comments or agency regulations, to the Director and to
the Criminal Division, Department of Justice. Any investigation or
administrative action will be coordinated with the Department of Justice
to avoid prejudicing criminal proceedings, unless the Department of
Justice informs the Commission that it does not intend to initiate
criminal prosecution.
(2) Whenever the Chairman has determined after appropriate review
that there is reasonable cause to believe that a former Commission
employee has violated 18 U.S.C. 207 (a), (b), or (c) or implementing
regulations of the Office of Government Ethics (5 CFR part 737), he or
she shall initiate an administrative disciplinary proceeding by
providing the former Commission employee with notice as defined in
paragraph (b).
(3) The Chairman shall take all necessary steps to protect the
privacy of former employees prior to a determination of sufficient cause
to initiate an administrative disciplinary hearing.
(b) Notice. (1) The Chairman shall provide the former Commission
employee with notice of an administrative disciplinary proceeding and an
opportunity for a hearing.
(2) Notice to the former Commission employee must include --
(i) A statement of allegations and the basis thereof in detail
sufficient to enable the former Commission employee to prepare an
adequate defense;
(ii) Notification of the right to a hearing;
(iii) An explanation of the method by which a hearing may be
requested; and
(iv) A copy of this subpart.
(c) Examiner. (1) The presiding official at proceedings under this
subpart shall be an individual to whom the Chairman has delegated
authority to make a recommended determination (hereinafter referred to
as examiner).
(2) An examiner shall be an experienced government attorney of high
moral character and sound judgment.
(3) An examiner shall be impartial. No individual who has
participated in any manner in the decision to initiate the proceedings
may serve as an examiner in those proceedings.
(d) Scheduling of hearing. In setting a hearing date, the examiner
shall give due regard to the former Commission employee's need for --
(1) Adequate time to prepare a defense properly, and
(2) An expeditious resolution of allegations that may be damaging to
his or her reputation.
(e) Hearing rights. A hearing shall include, at a minimum, the
following rights:
(1) To be represented by counsel,
(2) To introduce and examine witnesses and to submit physical
evidence,
(3) To confront and cross-examine adverse witnesses,
(4) To present oral argument; and
(5) To obtain a transcript or recording of the proceeding on request.
(f) Burden of proof. In any hearing under this subpart the
Commission has the burden of proof and must establish a violation by
clear and convincing evidence. The case of the Commission shall be
presented by the Office of the General Counsel.
(g) Recommended determination. (1) The examiner shall make a
recommended determination exclusively on matters of record in the
proceeding and shall set forth therein all findings of fact and
conclusions of law relevant to the matters at issue. The recommended
determination shall be delivered to the parties.
(2) Within ten (10) days of the date of receipt of the recommended
determination either party may submit to the Chairman exceptions to the
recommended determination and alternative findings of fact and
conclusions of law.
(h) Final administrative decision. (1) Within forty (40) days of the
date of the recommended determination, the Chairman shall make a final
administrative decision based solely on the record of the proceedings.
(2) In the event that no hearing is requested, the Chairman shall
make a final administrative decision within forty (40) days of the date
notice is provided to the former employee and the record of the
proceedings shall consist of the statement of allegations as defined in
paragraph (b)(2)(i) and whatever written response the former employee
shall provide.
(3) The Chairman shall specify in the final administrative decision
the findings of fact and conclusions of law that differ from the
recommended determination of the hearing examiner.
(i) Administrative sanctions. The Chairman may take appropriate
action in the case of any individual who is found in violation of 18
U.S.C. 207(a), (b), or (c) or implementing regulations of the Office of
Government Ethics (5 CFR part 737) after a final administrative decision
by ----
(1) Prohibiting the individual from making, on behalf of any other
person (except the United States), any formal or informal appearance
before, or, with the intent to influence, any oral or written
communication to, the Commission on any matter of business for a period
not to exceed five (5) years. This prohibition may be enforced by
directing Commission employees to refuse to participate in any such
appearance or to accept any such communication;
(2) Taking other appropriate disciplinary action.
(j) Judicial review. Any person found to have participated in a
violation of 18 U.S.C. 207(a), (b), or (c) or these regulations may seek
judicial review of the administrative determination. Review shall be
before the appropriate United States district court.
19 CFR 200.735-126 SUBCHAPTER A -- GENERAL
19 CFR 200.735-126 Pt. 201
19 CFR 200.735-126 PART 201 -- RULES OF GENERAL APPLICATION
Sec.
201.0 Seal.
201.1 Applicability of part.
19 CFR 200.735-126 Subpart A -- Miscellaneous
201.2 Definitions.
201.3 Commission offices, mailing address, and hours.
201.3a Missing children information.
201.4 Performance of functions.
201.5 Attendance fees and mileage.
201.6 Confidential business information.
19 CFR 200.735-126 Subpart B -- Initiation and Conduct of
Investigations
201.7 Investigative authority and initiation of investigations.
201.8 Filing of documents.
201.9 Methods employed in obtaining information.
201.10 Public notices.
201.11 Appearance in an investigation as a party.
201.12 Requests.
201.13 Conduct of nonadjudicative hearings.
201.14 Computation of time, additional hearings, postponements,
continuances, and extensions of time.
201.15 Attorneys or agents.
201.16 Service of process and other documents.
19 CFR 200.735-126 Subpart C -- Availability of Information to the
Public Pursuant to 5 U.S.C. 552
201.17 Procedures for requesting access to records.
201.18 Denial of requests, appeals from denial.
201.19 Notification regarding requests for confidential business
information.
201.20 Fees.
201.21 Availability of specific records.
19 CFR 200.735-126 Subpart D -- Safeguarding Individual Privacy
Pursuant to 5 U.S.C. 552a
201.22 Purpose and scope.
201.23 Definitions.
201.24 Procedures for requests pertaining to individual records in a
records system.
201.25 Times, places, and requirements for identification of
individuals making requests.
201.26 Disclosure of requested information to individuals.
201.27 Special procedures: Medical records.
201.28 Request for correction or amendment of record.
201.29 Commission review of request for correction or amendment to
record.
201.30 Commission disclosure of record to person other than the
individual to whom it pertains.
201.31 Fees.
201.32 Specific exemptions.
19 CFR 200.735-126 Subpart E -- Opening Commission Meetings to Public
Observation Pursuant to 5 U.S.C. 552b
201.33 Purpose and scope.
201.34 Definitions.
201.35 Notices to the public.
201.36 Closing a portion or portions of a meeting or a series of
meetings.
201.37 Changing the time, place, subject matter, or determination to
open or close a meeting following a public notice.
201.38 Requests by interested persons that the Commission close a
portion of a Commission meeting.
201.39 General Counsel's certification of Commission action in
closing a meeting or a series of meetings.
201.40 Records-retention requirements.
201.41 Public inspection and copying of records; applicable fees.
19 CFR 200.735-126 Subpart F -- National Security Information
201.42 Purpose and scope.
201.43 Program.
201.44 Procedures.
19 CFR 200.735-126 Subpart G -- Enforcement of Nondiscrimination on the
Basis of Handicap in Programs or Activities Conducted by the U.S.
International Trade Commission
201.101 Purpose.
201.102 Application.
201.103 Definitions.
201.104 -- 201.109 (Reserved)
201.110 Self-evaluation.
201.111 Notice.
201.112 -- 201.129 (Reserved)
201.130 General prohibitions against discrimination.
201.131 -- 201.139 (Reserved)
201.140 Employment.
201.141 -- 201.148 (Reserved)
201.149 Program accessibility: Discrimination prohibited.
201.150 Program accessibility: Existing facilities.
201.151 Program accessibility: New construction and alterations.
201.152 -- 201.159 (Reserved)
201.160 Communications.
201.161 -- 201.169 (Reserved)
201.170 Compliance procedures.
201.171 -- 201.999 (Reserved)
Authority: Sec. 335 of the Tariff Act of 1930 (19 U.S.C. 1335), and
sec. 603 of the Trade Act of 1974 (19 U.S.C. 2482), unless otherwise
noted.
Source: 27 FR 12118, Dec. 7, 1962, unless otherwise noted.
Editorial Note: Nomenclature changes to this part appear at 52 FR
48994, Dec. 29, 1987.
19 CFR 201.0 Seal.
(a) Pursuant to section 331(g) of the Tariff Act of 1930, as amended
(19 U.S.C. 1331(g)), the United States International Trade Commission
has adopted an official seal, the depiction of which follows:
insert Illus. 1A
(b) Custody and certification obligations. The Secretary shall have
custody of the seal of the United States International Trade Commission
and he, or the Acting Secretary, may execute under seal any
certification required to authenticate any books, records, papers, or
other documents as true copies of official records of the United States
International Trade Commission.
(Sec. 331(g), Tariff Act of 1930, as amended (19 U.S.C. 1331(g)))
(40 FR 53384, Nov. 18, 1975; 40 FR 55838, Dec. 2, 1975)
19 CFR 201.1 Applicability of part.
This part relates generally to functions and activities of the
Commission under various statutes and other legal authority. Rules
having special application appear separately in parts 202 through 207,
inclusive, of this chapter. In case of inconsistency between a rule of
general application and a rule of special application, the latter is
controlling.
(27 FR 12118, Dec. 7, 1962, as amended at 44 FR 76476, Dec. 26, 1979)
19 CFR 201.1 Subpart A -- Miscellaneous
19 CFR 201.2 Definitions.
As used in this chapter --
(a) Commission means the United States International Trade
Commission;
(b) Tariff Act means the Tariff Act of 1930, 19 U.S.C. 1202-1677j;
(c) Trade Expansion Act means the Trade Expansion Act of 1962, 19
U.S.C. 1801-1991;
(d) Trade Act means the Trade Act of 1974, 19 U.S.C. 2101-2487;
(e) Trade Agreements Act means the Trade Agreements Act of 1979,
Public Law 96-39, 93 Stat. 144;
(f) Rule means a section of the Commission Rules of Practice and
Procedure (19 CFR chapter II);
(g) Secretary means the Secretary of the Commission.
(h) Except for adjudicative investigations under subchapter C of this
chapter, party means any person who has filed a complaint or petition on
the basis of which an investigation has been instituted, or any person
whose entry of appearance has been accepted pursuant to 201.11 (a) or
(c). Mere participation in an investigation without an accepted entry
of appearance does not confer party status.
(i) Person means an individual, partnership, corporation,
association, or public or private organization.
(56 FR 11922, Mar. 21, 1991)
19 CFR 201.3 Commission offices, mailing address, and hours.
(a) Offices. The Commission's offices are located in the United
States International Trade Commission Building on 500 E Street SW.,
Washington, DC.
(b) Mailing address. All communications to the Commission should be
addressed to the ''Secretary, U.S. International Trade Commission, 500 E
Street SW., Washington, DC 20436.''
(c) Hours. The hours of the Commission are from 8:45 a.m. to 5:15
p.m., eastern standard or daylight savings time, whichever is in effect
in Washington, DC.
(45 FR 80276, Dec. 4, 1980)
19 CFR 201.3a Missing children information.
(a) Pursuant to 39 U.S.C. 3220, penalty mail sent by the Commission
may be used to assist in the location and recovery of missing children.
This section establishes procedures for such use and is applicable on a
Commission-wide basis. The Program and Planning Branch, Office of
Management Services, 202-724-1234, shall be the point of contact for
matters related to the implementation of this section.
(b) Missing children information shall be inserted in or affixed to
such mailings of Commission monthly calendars, notices, press releases,
and other documents as the Commission may direct. Such missing children
information shall be obtained exclusively from the National Center for
Missing and Exploited Children.
(c) The procedure established in subsection (b) above will result in
missing childern information being inserted in an estimated 25 percent
of the Commission's penalty mail and will cost an estimated $1,500 for
the first year of implementation. The Director of Administration shall
make such changes in the procedure as he deems appropriate to maximize
the use of missing children information in the Commission's mail.
(51 FR 25195, July 11, 1986)
19 CFR 201.4 Performance of functions.
(a) Conduct of business. A majority of the members of the Commission
constitutes a quorum. The Commission may meet and exercise its powers
at any place, and may, by one or more of its members, or by such agents
as it may designate, prosecute any inquiry necessary to its duties in
any part of the United States or in any foreign country.
(b) Alteration or waiver of rules. Rules in this chapter may be
amended, waived, suspended, or revoked by the Commission only. A rule
may be waived or suspended only when in the judgment of the Commission
there is good and sufficient reason therefor, provided the rule is not a
matter of procedure required by law.
(c) Authority to make decisions. Authority to interpret the
Commission's rules and the laws applying to the Commission, and to make
findings, determinations, or other decisions not relating to matters of
internal management, is retained in the Commission itself and is not
delegated.
(d) Presentation of matter that may come within the purview of other
laws. Whenever any party or person, including the Commission staff, has
reason to believe that (1) a matter under investigation pursuant to
section 337 of the Tariff Act of 1930, or (2) a matter under an
investigation pursuant to section 201 of the Trade Act of 1974 (19
U.S.C. 2251), which is causing increased imports may come within the
purview of another remedial provision of law not the basis of such
investigation, including but not limited to the antidumping provisions
(19 U.S.C. 1673) or the countervailing duty provisions (19 U.S.C. 1303,
1671 et seq.) of the Tariff Act of 1930, then the party or person may
file a suggestion of notification with the Commission that the
appropriate agency be notified of such matter or circumstances, together
with such information as the party or person has available. The
Commission Secretary shall promptly thereafter publish notice of the
filing of such suggestion and information, and make them available for
inspection and copying to the extent permitted by law. Any person may
comment on the suggestion within 10 days after the publication of said
notice. Thereafter, the Commission shall determine whether notification
is appropriate under the law and, if so, shall notify the appropriate
agency of such matters or circumstances. The Commission may at any time
make such notification in the absence of a suggestion under this rule
when the Commission has reason to believe, on the basis of information
before it, that notification is appropriate under law.
(27 FR 12118, Dec. 7, 1962, as amended at 45 FR 80276, Dec. 4, 1980)
19 CFR 201.5 Attendance fees and mileage.
(a) Deponents and witnesses. Any person compelled to appear in
person to depose or testify in response to a subpoena shall be paid the
same fees and mileage as are paid witnesses in the courts of the United
States: Provided, that salaried employees of the United States summoned
to depose or testify as to matters related to their public employment,
irrespective of at whose instance they are summoned, shall be paid in
accordance with applicable Government regulations.
(b) Responsibility. The fees and mileage referred to in this section
shall be paid by the party at whose instance deponents or witnesses
appear: Provided, that when it is the Commission, one or more
Commissioners, or one of its employees at whose instance deponents or
witnesses appear, such fees and mileage shall be paid by the Commission.
(41 FR 17710, Apr. 27, 1976)
19 CFR 201.6 Confidential business information.
(a) Definition. Confidential business information is information
which concerns or relates to the trade secrets, processes, operations,
style of works, or apparatus, or to the production, sales, shipments,
purchases, transfers, identification of customers, inventories, or
amount or source of any income, profits, losses, or expenditures of any
person, firm, partnership, corporation, or other organization, or other
information of commercial value, the disclosure of which is likely to
have the effect of either impairing the Commission's ability to obtain
such information as is necessary to perform its statutory functions, or
causing substantial harm to the competitive position of the person,
firm, partnership, corporation, or other organization from which the
information was obtained, unless the Commission is required by law to
disclose such information. The term ''confidential business
information'' includes ''proprietary information'' within the meaning of
section 777(b) of the Tariff Act of 1930 (19 U.S.C. 1677f(b)).
(b) Procedure for submitting business information in confidence. (1)
A request for confidential treatment of business information shall be
addressed to the Secretary, United States International Trade
Commission, 500 E Street SW., Washington, DC 20436, and shall indicate
clearly on the envelope that it is a request for confidential treatment.
(2) In the absence of good cause shown, any request relating to
material to be submitted during the course of a hearing shall be
submitted at least three (3) working days prior to the commencement of
such hearing.
(3) With each submission of, or offer to submit, business information
which a submitter desires to be treated as confidential under paragraph
(a)(2) of this section, the submitter shall provide the following, which
may be disclosed to the public:
(i) A written description of the nature of the subject information;
(ii) A justification for the request for its confidential treatment;
(iii) A certification in writing under oath that substantially
identical information is not available to the public;
(iv) A copy of the document (A) clearly marked on its cover as to the
pages on which confidential information can be found, and (B) with
information for which confidential treatment is requested clearly
identified by means of brackets (except when submission of such document
is withheld in accord with paragraph (b)(4) of this section); and
(v) A nonconfidential copy of the documents as required by 201.8(d).
(4) The submission of the documents itemized in paragraph (b)(3) of
this section will provide the basis for rulings on the confidentiality
of submissions, including rulings on the confidentiality of submissions
offered to the Commission which have not yet been placed under the
possession, control, or custody of the Commission. The submitter has
the option of providing the business information for which confidential
treatment is sought at the time the documents itemized in paragraph
(b)(3) of this section are provided or of withholding them until a
ruling on their confidentiality has been issued.
(c) Identification of business information submitted in confidence.
Business information which a submitter desires to be treated as
confidential shall be clearly labeled ''confidential business
information'' when submitted, and shall be segregated from other
material being submitted.
(d) Approval or denial of requests for confidential treatment.
Approval or denial of requests shall be made only by the Secretary or
Acting Secretary. A denial shall be in writing, shall specify the
reason therefor, and shall advise the submitter of the right to appeal
to the Commission.
(e) Appeals from denial of confidential treatment. (1) For good
cause shown, the Commission may grant an appeal from a denial by the
Secretary of a request for confidential treatment of a submission. Any
appeal filed shall be addressed to the Chairman, United States
International Trade Commission, 500 E Street SW., Washington, DC 20436,
and shall clearly indicate that it is a confidential submission appeal.
An appeal may be made within twenty (20) days of a denial or whenever
the approval or denial has not been forthcoming within ten (10) days
(excepting Saturdays, Sundays, and Federal legal holidays) of the
receipt of a confidential treatment request, unless an extension notice
in writing with the reasons therefor has been provided the person
requesting confidential treatment.
(2) An appeal will be decided within twenty (20) days of its receipt
(excepting Saturdays, Sundays, and Federal legal holidays) unless an
extension notice in writing with the reasons therefor, has been provided
the person making the appeal.
(3) The justification submitted to the Commission in connection with
an appeal shall be limited to that presented to the Secretary with the
original or amended request. When the Secretary or Acting Secretary has
denied a request on the ground that the submitter failed to provide
adequate justification, any such additional justification shall be
submitted to the Secretary for his consideration as part of an amended
request. For purposes of paragraph (e)(1) of this section, the twenty
(20) day period for filing an appeal shall be tolled on the filing of an
amended request and a new twenty (20) day period shall begin once the
Secretary or Acting Secretary has denied the amended request, or the
approval or denial has not been forthcoming within ten (10) days of the
filing of the amended request. A denial of a request by the Secretary
on the ground of inadequate justification shall not obligate a requester
to furnish additional justification and shall not preclude a requester
from filing an appeal with the Commission based on the justification
earlier submitted to the Secretary.
(f) Appeals from approval of confidential treatment. An appeal from
an approval of a request for confidential treatment of a submission
shall be made to the Secretary, United States International Trade
Commission, 500 E Street SW., Washington, DC 20436, shall comply with
201.17 through 201.19 of the Commission's rules of practice and
procedure implementing the Freedom of Information Act, and shall show
that a copy thereof has been served upon the submitter.
(g) Granting confidential status to business information. Any
business information submitted in confidence and determined to be
entitled to confidential treatment shall be maintained in confidence by
the Commission and not disclosed except as required by law. In the
event that any business information submitted to the Commission is not
entitled to confidential treatment, the submitter will be permitted to
withdraw the tender unless it is the subject of a request under the
Freedom of Information Act or of judicial discovery proceedings.
(h) Scope of provisions. The provisions of 201.6(b) and 201.6 (d)
through (g) shall not apply to adjudicative investigations under
Subchapter C, Part 210, of the Commission's rules of practice and
procedure.
(41 FR 28951, July 14, 1976, as amended at 49 FR 32571, Aug. 15,
1984; 54 FR 13678, Apr. 5, 1989)
19 CFR 201.6 Subpart B -- Initiation and Conduct of Investigations
19 CFR 201.7 Investigative authority and initiation of investigations.
(a) Investigative authority. In order to expedite the performance of
its functions, the Commission may engage in investigative activities
preliminary to and in aid of any authorized investigation, consolidate
proceedings before it, and determine the scope and manner of its
proceedings;
(b) Initiation of investigations. Investigations may be initiated by
the Commission on the Commission's own motion, upon request of the
President or the Special Representative for Trade Negotiations, upon
resolution of the Committee on Ways and Means of the House of
Representatives or the Committee on Finance of the Senate, upon
resolution of either branch of Congress, or upon application, petition,
complaint, or request of private parties, as required or provided for in
the pertinent statute, Presidential proclamation, Executive Order, or in
this chapter.
(44 FR 76476, Dec. 26, 1979)
19 CFR 201.8 Filing of documents.
(a) Where to file; date of filing. Documents shall be filed at the
office of the Secretary of the Commission in Washington, DC. Such
documents, if properly filed, will be deemed to be filed on the date on
which they are actually received in the Commission.
(b) Conformity with rules. Each document filed with the Commission
for the purpose of initiating any investigation shall be considered
properly filed if it conforms with the pertinent rules prescribed in
this chapter. Substantial compliance with the pertinent rules may be
accepted by the Commission provided good and sufficient reason is stated
in the document for inability to comply fully with the pertinent rules.
(c) Specifications for documents. Each document filed under this
chapter shall be clear and legible.
(d) Number of copies. A signed original (or a copy designated as an
original) and fourteen (14) copies of each document shall be filed. All
submissions shall be on letter-sized paper (8 1/2 inches by 11 inches),
except copies of documents prepared for another agency or a court (e.g.
patent file wrappers or pleadings papers). The original and at least
one copy of all submissions shall be printed on one side only and shall
be unbound (although they may be stapled or held together by means of a
clip). In the event that confidential treatment of the document is
requested under 201.6, at least four (4) additional copies shall be
filed, in which the confidential business information shall have been
deleted and which shall have been conspicuously marked
''nonconfidential'' or ''public inspection.'' The name of the person
signing the original shall be typewritten or otherwise reproduced on
each copy.
(e) Identification of party filing document. Each document filed
with the Commission for the purpose of initiating any investigation
shall show on the first page thereof the name, address, and telephone
number of the party or parties by whom or on whose behalf the document
is filed and shall be signed by the party filing the document or by a
duly authorized officer, attorney, or agent of such party. (Also, any
attorney or agent filing the document shall give his address and
telephone number.) The signature of the person signing such a document
constitutes a certification that he had read the document, that to the
best of his knowledge and belief the statements contained therein are
true, and that the person signing the document was duly authorized to
sign it.
(41 FR 17710, Apr. 27, 1976, as amended at 49 FR 32571, Aug. 15,
1984; 56 FR 11922, Mar. 21, 1991)
19 CFR 201.9 Methods employed in obtaining information.
In obtaining information necessary to carry out its functions and
duties, the Commission may employ any means authorized by law. In
general, the Commission obtains pertinent information from its own
files, from other agencies of the Government, through questionnaires and
correspondence, through field work by members of the Commission's staff,
and from testimony and other information presented at the hearings.
(27 FR 12118, Dec. 7, 1962, as amended at 44 FR 76476, Dec. 26, 1979)
19 CFR 201.10 Public notices.
Formal notice of the receipt of documents properly filed, of the
institution of investigations, of public hearings, and, as required or
appropriate, of other formal actions of the Commission, will be given by
publication in the Federal Register. In addition to such formal notice,
a copy of each notice will be posted at the Office of the Secretary of
the Commission in Washington, DC, and copies will be sent to press
associations, to trade and similar organizations of producers and
importers, and to others known to the Commission to have an interest in
the subject matter. An announcement regarding the notice will be
furnished to the Treasury Department for publication in Treasury
Decisions and to the Department of Commerce for publication in
International Commerce.
(45 FR 80276, Dec. 4, 1980)
19 CFR 201.11 Appearance in an investigation as a party.
(a) Who may appear as a party. Any person may apply to appear in an
investigation as a party, either in person or by representative, by
filing an entry of appearance with the Secretary. Each entry of
appearance shall state briefly the nature of the person's reason for
participating in the investigation and state the person's intent to file
briefs with the Commission regarding the subject matter of the
investigation. The Secretary shall promptly determine whether the
person submitting the entry of appearance has a proper reason for
participating in the investigation. If it is found that a person does
not have a proper reason for participating in the investigation, that
person shall be so notified by the Secretary and shall not be entitled
to appear in the investigation as a party. A person found to have a
proper reason for participating in the investigation shall be permitted
to appear in the investigation as a party, and acceptance of such
person's entry of appearance shall be signified by the Secretary's
inclusion of such person on the service list established pursuant to
paragraph (d) of this section.
(b) Time for filing. Each entry of appearance shall be filed with
the Secretary not later than twenty-one (21) days after publication of
the Commission's notice of investigation in the Federal Register. In
the case of investigations conducted under subpart B of part 207 of this
chapter, each entry of appearance shall be filed with the Secretary not
later than seven (7) days after publication of the Commission's notice
of investigation in the Federal Register.
(c) Late filing. Any entry of appearance filed with the Secretary
after the filing date established in paragraph (b) of this section shall
be referred to the Chairman, or other person designated to conduct the
investigation, who shall promptly determine whether to accept such entry
for good cause shown by the person desiring to file the notice. The
Secretary shall promptly notify the submitter of a decision to deny the
entry, or if the entry is accepted, include such person on the service
list established pursuant to paragraph (d) of this section.
(d) Service list. Upon the expiration of the time for filing notices
of appearance established in paragraph (b) of this section, the
Secretary shall prepare a service list. The service list shall contain
the names and addresses of all persons, or their representatives, who
are parties to the investigation pursuant to 201.2(h) and paragraph (a)
of this section. Upon the acceptance of a late entry of appearance
pursuant to paragraph (c) of this section, the Secretary shall amend the
service list to include the name and address of the person whose notice
has been accepted and shall promptly forward such notice to all parties
to the investigation.
(56 FR 11922, Mar. 21, 1991)
19 CFR 201.12 Requests.
Any party to a nonadjudicative investigation may request the
Commission to take particular action with respect to that investigation.
Such requests shall be by letter adressed to the Secretary, shall be
placed by him in the record, and shall be served on all other parties.
The Commission shall take such action or make such response as it deems
appropriate.
(47 FR 6189, Feb. 10, 1982)
19 CFR 201.13 Conduct of nonadjudicative hearings.
(a) In general. Public hearings are held by the Commission when
required by law or, if not required by law, when in the judgment of the
Commission there is good and sufficient reason therefor. Public
hearings will be held at the time and place specified in notices issued
under 201.10. Public hearings are ordinarily held in the Hearing Room
of the International Trade Commission Building, in Washington, DC, but
may be held elsewhere at the Commission's discretion.
(b) Presiding officials -- (1) Who presides. Public hearings or
conferences in nonadjudicative investigations will be conducted by the
Commission or by one or more Commissioners. When the Commission deems
it necessary, such hearings will be conducted by one or more designated
employees. In all cases the transcript of the testimony at a hearing
will be presented for the consideration of the Commission.
(2) Powers and duties. The Commission, one or more of the
Commissioners, or one or more designated employees shall have all the
powers to conduct fair and impartial hearings, to take necessary action
to avoid delay in the disposition of proceedings, including the
prescription of time allocated to testimony, argument, and questioning,
to regulate the course of hearings and the conduct of the parties and
their counsel therein, and to maintain order.
(c) Participation in a hearing -- (1) Who may participate. A party
may participate in the hearing, either in person or by representative.
A nonparty who has testimony or arguments that may aid the Commission's
deliberations may also participate, under such conditions as may be
established by the presiding officials at the hearing.
(2) Notices of participation. Notices of participation in a hearing
shall be filed with the Secretary at least three (3) days in advance of
the date set for the hearing or two (2) days in advance of the date set
in the notice of investigation for a prehearing conference, whichever
shall first occur, except that the presiding officials may waive this
requirement for good cause. Witnesses on behalf of persons filing
notices of participation need not file separate notices.
(d) Witness list. Each person who files a notice of participation
pursuant to paragraph (c) of this section shall simultaneously file with
the Secretary a list of the witnesses he intends to call at the hearing.
(e) Order of the testimony. Unless otherwise ordered by the
presiding officials, witnesses will give testimony in the order
designated by the Secretary to the Commission. Each witness, after
being duly sworn, will be permitted to proceed with his or her testimony
without interruption except by presiding officials.
(f) Supplementary material. Up to five double-spaced pages of
supplementary material, other than remarks read into the record, will be
accepted for the record. Supplementary material exceeding five pages
may be accepted upon a showing of such cause as may be deemed sufficient
by the presiding officials. As used herein, the term ''supplementary
material'' refers to (1) additional graphic material such as charts and
diagrams used to illuminate an argument or clarify a position and (2)
information not available to a party at the time its prehearing brief
was filed.
(g) Questioning of witnesses. After completing testimony, a witness
may be questioned by any member of the Commission or by its staff. Any
participant may, with the permission of the presiding officials, direct
questions to the witness, but only for the purpose of assisting the
Commission in obtaining relevant and material facts with respect to the
subject matter of the investigation.
(h) Oral argument. When, in the opinion of the presiding officials,
time permits and the nature of the proceedings and the complexity or
importance of the questions of fact or law involved warrant, the
presiding officials may allow oral argument after conclusion of the
testimony in a hearing. The presiding officials will determine in each
instance the time to be allowed for argument and the allocation thereof.
(i) Briefs -- (1) Parties. Briefs of the information produced at the
hearing and arguments thereon may be presented to the Commission by
parties to the investigation. Unless otherwise ordered, fourteen (14)
clear copies shall be filed with the Secretary to the Commission. Time
to be allowed for submission of briefs will be set after conclusion of
testimony and oral argument, if any.
(2) Nonparties. Any person who is not a party to an investigation
may submit a short statement for the record regarding the subject matter
of an investigation.
(j) Verification of testimony. Oral or written information submitted
at hearings will, upon order of the Commission, be subject to
verification from books, papers, and records of the persons submitting
the information and from any other available sources.
(k) Hearing transcripts. A verbatim transcript of all hearings will
be taken. The Commission does not distribute transcripts of the records
of such hearings. Any person may inspect the transcript of a hearing at
the Commission's office in Washington, DC, or purchase it from the
official reporter.
(l) To facilitate the conduct of hearings, parties intending to use
easels, audio visual, and similar equipment in the course of hearing
presentations should advise the Secretary of their intent to use such
equipment at least three (3) working days before the hearing.
(47 FR 6189, Feb. 10, 1982, as amended at 47 FR 33682, Aug. 4, 1982;
54 FR 13678, Apr. 5, 1989)
19 CFR 201.14 Computation of time, additional hearings, postponements,
continuances, and extensions of time.
(a) Computation of time. Computation of any period of time
prescribed or allowed by the rules in this chapter, by order of the
Commission, or by order of the presiding officer under part 210 of this
chapter shall begin with the first business day following the day on
which the act or event initiating such period of time shall have
occurred. The last day of the period so computed is to be included,
unless it is a Saturday, Sunday, or Federal legal holiday, in which
event the period runs until the end of the next business day. When the
period of time prescribed or allowed is less than 7 days, intermediate
Saturdays, Sundays, and Federal legal holidays shall be excluded from
the computation. As used in this rule, a Federal legal holiday refers
to any full calendar day designated as a legal holiday by the President
or the Congress of the United States.
(b) Additional hearings, postponements, continuances, and extensions
of time. (1) Prior to its final determination in any investigation, the
Commission may in its discretion for good cause shown grant additional
hearings, postponements, or continuances of hearings.
(2) The Chairman of the Commission or such other person as is
designated to conduct the investigation shall determine whether to grant
for good cause shown extensions of time for performing any act required
by or pursuant to the rules contained in this chapter.
(3) A request that the Commission take any of the actions described
in this section shall be filed with the Secretary and served on all
parties to the investigation.
(41 FR 17710, Apr. 27, 1976, as amended at 56 FR 11923, Mar. 21,
1991)
19 CFR 201.15 Attorneys or agents.
(a) In general. No register of attorneys or agents who may practice
before the Commission is maintained. No application for admission to
practice is required. Any person desiring to appear as attorney or
agent before the Commission may be required to show to the satisfaction
of the Commission his acceptability in that capacity. Any attorney or
agent practicing before the Commission, or desiring so to practice, may
for good cause shown be suspended or barred from practicing before the
Commission, or have imposed on him such lesser sanctions as the
Commission deems appropriate, but only after he has been accorded an
opportunity to present his views in the matter.
(b) Former officers or employees. No former officer or employee of
the Commission who personally and substantially participated in a matter
which was pending in any manner or form in the Commission during his
employment shall be eligible to appear before the Commission as attorney
or agent in connection with such matter. No former officer or employee
of the Commission shall be eligible to appear as attorney or agent
before the Commission in connection with any matter which was pending in
any manner or form in the Commission during his employment, unless he
first obtains written consent from the Commission.
(27 FR 12118, Dec. 7, 1962, as amended at 56 FR 11923, Mar. 21, 1991)
19 CFR 201.16 Service of process and other documents.
(a) By the Commission. Except when service by another method shall
be specifically ordered by the Commission, the service of a process or
other document of the Commission shall be served by anyone duly
authorized by the Commission and be effected --
(1) By mailing or delivering a copy of the document to the person to
be served, to a member of the partnership to be served, to the
president, secretary, other executive officer, or member of the board of
directors of the corporation, association, or other organization to be
served, or, if an attorney represents any of the above before the
Commission, by mailing or delivering a copy to such attorney; or
(2) By leaving a copy thereof at the principal office of such person,
partnership, corporation, association, or other organization, or, if an
attorney represents any of the above before the Commission, by leaving a
copy at the office of such attorney.
(b) By a party other than the Commission. Except when service by
another method shall be specifically ordered by the Commission, the
service of a document of a party shall be effected:
(1) By mailing or delivering copies of the document to the Secretary
to the Commission (the number of copies being as provided for in
201.8(d) of this part) and a nonconfidential version thereof to each
other party, or, if the party is represented by an attorney before the
Commission, by mailing or delivering a nonconfidential version thereof
to such attorney; or
(2) By leaving copies thereof at the office of the Secretary of the
Commission (the number of copies being as provided for in 201.8(d) of
this part) and at the principal office of each other party, or, if a
party is represented by an attorney before the Commission, by leaving
copies at the office of such attorney.
(3) When service is by mail, it is complete upon mailing of the
document.
(4) When service is by mail, it shall be by first class mail, postage
prepaid. In the event the addressee is outside the United States,
service shall be by first class airmail, postage prepaid.
(c) Proof of service; certificate. (1) Each document filed with the
Secretary to the Commission by a party in the course of an investigation
(as provided in 201.8 of this part) shall be served on each other party
to the investigation.
(2) Each document served by a party shall include a certificate of
service, setting forth the manner and date of such service. The
certificate of service shall be deemed proof of service of the document.
In the event a document is not accompanied by a certificate of service,
the Secretary shall not accept such document for filing and shall
promptly notify the submitter.
(d) Additional time after service by mail. Whenever a party or
Federal agency or department has the right or is required to perform
some act or take some action within a prescribed period after the
service of a document upon it and the document is served upon it by
mail, three (3) calendar days shall be added to the prescribed period,
except that when mailing is to a person located in a foreign country,
ten (10) calendar days shall be added to the prescribed period.
(19 U.S.C. 1335 and the Administrative Procedure Act, 5 U.S.C. 551,
et seq.)
(41 FR 17711, Apr. 27, 1976, as amended at 47 FR 6190, Feb. 10, 1982;
47 FR 33682, Aug. 4, 1982; 49 FR 32571, Aug. 15, 1984)
19 CFR 201.16 Subpart C -- Availability of Information to the Public
Pursuant to 5 U.S.C. 552
Authority: 19 U.S.C. 1335, 5 U.S.C. 552.
Source: 40 FR 8328, Feb. 27, 1975, unless otherwise noted.
19 CFR 201.17 Procedures for requesting access to records.
(a) A request for any information or record shall be addressed to the
Secretary, United States International Trade Commission, 500 E Street
SW., Washington, DC 20436 and shall indicate clearly both on the
envelope and in the letter that it is a Freedom of Information Act
request.
(b) Any request shall reasonably describe the requested record to
facilitate location of the record.
(c) Any request for transcripts of hearings shall be addressed to the
official hearing reporter, the name and address of which can be obtained
from the Secretary. A copy of such request shall at the same time be
forwarded to the Secretary.
(d) A day-to-day, composite record shall be kept by the Secretary of
each request with the disposition thereof.
19 CFR 201.18 Denial of requests, appeals from denial.
(a) Written requests for inspection or copying of records shall be
denied only by the Secretary or Acting Secretary. Denials of written
requests shall be in writing, shall specify the reason therefor, and
shall advise the person requesting of the right to appeal to the
Commission. Oral requests may be dealt with orally, but if the
requester is dissatisfied he shall be asked to put the request in
writing.
(b) An appeal from a denial of a request shall be made to the
Commission and addressed to the Chairman, United States International
Trade Commission, 500 E Street SW., Washington, DC 20436. Any appeal
shall clearly indicate in the letter that it is a Freedom of Information
Act appeal. An appeal may be made after denial or whenever compliance
with a request has not been forthcoming within ten days (excepting
Saturdays, Sundays, and legal public holidays) after receipt of such
request, unless an extension notice in writing with the reasons therefor
has been provided the person making the request.
(c) An appeal will be decided within twenty days (excepting
Saturdays, Sundays, and legal holidays) unless an extension, noticed in
writing with the reasons therefor, has been provided the person making
the request. Notice of the decision on appeal and the reasons therefor
will be made promptly after a decision.
(d) The extensions of time mentioned in paragraphs (a) and (b) of
this section shall be made only for one or more of the following
reasons:
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
office processing the request;
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which are requested
in a single communication; or
(3) The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest in
the determination of the request or among two or more components of the
agency having a substantial subject-matter interest therein.
(e) The extensions of time mentioned in paragraphs (a) and (b) of
this section shall not exceed ten working days in the aggregate.
(40 FR 8328, Feb. 27, 1975, as amended at 54 FR 13678, Apr. 5, 1989)
19 CFR 201.19 Notification regarding requests for confidential business
information.
(a) In general. Business information provided to the Commission by a
business submitter which the Commission has designated as ''confidential
business information'' will not be disclosed pursuant to a Freedom of
Information Act (FOIA) request except in accordance with this section.
(b) Definitions. The following definitions are to be used in
reference to this section:
''Confidential business information'' means commercial or financial
information that has been designated as confidential business
information by the Commission under 201.6 of this part.
''Submitter'' means any person or entity who provides confidential
business information, directly or indirectly, to the Commission. The
term includes, but is not limited to, corporations, producers,
importers, and state and foreign governments.
(c) Notice to submitters. Except as provided for in paragraph (e) of
this section, the Commission will, to the extent permitted by law,
provide a submitter with prompt written notice of a FOIA request or
administrative appeal encompassing its confidential business information
whenever required under paragraph (d) of this section, in order to
afford the submitter an opportunity to object to disclosure pursuant to
paragraph (f) of this section. Such written notice will describe the
nature of the confidential business information requested. The
requester will also be notified that notice and opportunity to object to
are being provided to a submitter.
(d) When notice is required. Notice will be given to a submitter in
writing at submitter's last known address whenever:
(1) The information the subject of the FOIA request or appeal has
been designated by the Commission as confidential business information;
and
(2) The Commission has reason to believe that the information may not
be protected from disclosure under FOIA Exemptions 3 or 4.
(e) Exceptions to notice requirment. The notice requirements of
paragraph (c) of this section will not apply if:
(1) The Commission determines that the information should not be
disclosed;
(2) The information lawfully has been published or has been
officially made available to the public; or
(3) Disclosure of the information is required by law (other than 5
U.S.C. 552).
(f) Opportunity to object to disclosure. In general, the Commision
has 10 working days in which to respond to a FOIA request. Through the
notice described in paragraph (c) of this section, the Commission will
afford a submitter an opportunity, within the period afforded to the
Commission to make its decision in response to the FOIA request, to
provide the Commission with a detailed written statement of any
objection to disclosure. Such statement shall be filed at least one
working day before the Commission is required to respond to the FOIA
request, and it shall specify all grounds for withholding any of the
information under any exemption of FOIA. In the case of FOIA Exemptions
3 or 4, it shall demonstrate why the information should continue to be
considered confidential business information within the meaning of
201.6 of this part and should not be disclosed. The submitter's claim
of continued confidentiality should be supported by a certification by
an officer or authorized representative of the submitter. Information
provided by a submitter pursuant to this paragraph may itself be subject
to disclosure under FOIA.
(g) Notice of intent to disclose. The Commission will consider
carefully a submitter's objections and specific grounds for
nondisclosure prior to determining whether to disclose the information.
Whenever the Commission decides to disclose such information over the
objection of a submitter, the Commission will forward to the submitter a
written notice which will include:
(1) A statement of the reasons for which the submitter's disclosure
objections were not sustained;
(2) A description of the information to be disclosed; and
(3) A specified disclosure date.
Such notice of intent to disclose will be forwarded to the submitter
a reasonable number of days prior to the specified disclosure date and
the requester will be notified likewise.
(h) Notice of FOIA lawsuit. Whenever a requester brings suit seeking
to compel disclosure of information that the Commission has designated
as confidential business information, the Commission will promptly
notify the submitter at its last known address. For the purpose of this
paragraph, the Secretary may assume such address to be that given on the
submission.
(54 FR 13678, Apr. 5, 1989)
19 CFR 201.20 Fees.
(a) In general. Fees pursuant to 5 U.S.C. 552 shall be assessed
according to the schedule contained in paragraph (b) of this section for
services rendered by agency personnel in responding to and processing
requests for records under this subpart. All fees so assessed shall be
charged to the requester, except where the charging of fees is limited
under paragraph (c) of this section or where a waiver or reduction of
fees is granted under paragraph (d) of this section. The Secretary will
collect all applicable fees. Requesters shall pay fees by check or
money order made payable to the Treasury of the United States.
(b) Charges. In responding to requests under this subpart, the
following fees shall be assessed, unless a waiver or reduction of fees
has been granted pursuant to paragraph (d) of this section:
(1) Search. (i) No search fee shall be assessed with respect to
requests by educational institutions, noncommercial scientific
institutions, and representatives of the news media as defined in
paragraphs (j)(6), (7), and (8) of this section, respectively. Search
fees shall be assessed with respect to all other requests, subject to
the limitations of paragraph (c) of this section. The secretary may
assess fees for time spent searching even if agency personnel fail to
locate any respective record or where records located are subsequently
determined to be entirely exempt from disclosure.
(ii) For each quarter hour spent by agency personnel in salary grades
GS-2 through GS-10 in searching for and retrieving a requested record,
the fee shall be $3.00. When the time of agency personnel in salary
grades GS-11 and above is required, the fee shall be $5.00 for each
quarter hour of search and retrieval time spent by such personnel.
(iii) For computer searches of records, which may be undertaken
through the use of existing programming, requester shall be charged the
actual direct costs of conducting the search, although certain
requesters (as defined in paragraph (c)(2) of this section) shall be
entitled to the cost equivalent of two hours of manual search time
without charge. These direct costs shall include the cost of operating
a central processing unit for that portion of operating time that is
directly attributable to searching for records responsive to a request,
as well as the costs of operator/programmer salary apportionable to the
search (at no more than $5.00 per quarter hour of time so spent).
Agency personnel are not required to alter or develop programming to
conduct a search.
(2) Duplication. Duplication fees shall be assessed with respect to
all requesters, subject to the limitations of paragraph (c) of this
section. For a paper photocopy of a record (no more than one copy of
which need be supplied), the fee shall be $0.10 per page. For copies
produced by computer, such as tapes or printouts, the Secretary shall
charge the actual direct costs, including operator time, of producing
the copy. For other methods of duplication, the Secretary shall charge
the actual direct costs of duplicating a record.
(3) Review. (i) Review fees shall be assessed with respect to only
those requesters who seek records for a commercial use, as defined in
paragraph (j)(5) of this section. For each quarter hour spent by agency
personnel in reviewing a requested record for possible disclosure, the
fee shall be $5.00.
(ii) Review fees shall be assessed only for the initial record
review, i.e., all of the review undertaken when a component analyzes the
applicability of a particular exemption to a particular record or record
portion at the initial request level. No charge shall be assessed for
review at the administrative appeal level of an exemption already
applied. However, records or record portions withheld pursuant to an
exemption that is subsequently determined not to apply may be reviewed
again to determine the applicability of other exemptions not previously
considered. The costs of such a subsequent review are properly
assessable, particularly where that review is made necessary by a change
of circumstances.
(c) Limitations on charging fees. (1) No search or review fee shall
be charged for a quarter-hour period unless more than half of that
period is required for search or review.
(2) Except for requesters seeking records for a commercial use (as
defined in paragraph (j)(5) of this section), the Secretary shall
provide without charge --
(i) The first 100 pages of duplication (or its cost equivalent), and
(ii) The first two hours of search (or its cost equivalent).
(3) Whenever a total fee calculated under paragraph (b) of this
section is $25.00 or less, no fee shall be charged.
(4) The provisions of paragraphs (c)(2) and (3) of this section work
together. For requesters other than those seeking records for a
commercial use, no fee shall be charged unless the cost of search is in
excess of two hours plus the cost of duplication in excess of 100 pages
exceeds $25.00.
(d) Waiver or reduction of fees. (1) Records responsive to a request
under 5 U.S.C. 552 shall be furnished without charge or at a charge
reduced below that established under paragraph (b) of this section where
the Secretary determines, based upon information provided by a requester
in support of a fee waiver request or otherwise made known to the
Secretary that disclosure of the requested information is in the public
interest, because it is likely to contribute significantly to public
understanding of the operations or activities of the Government and is
not primarily in the commercial interest of the requester. Requests for
a waiver or reduction of fees shall be considered on a case-by-case
basis.
(2) In order to determine whether the first fee waiver requirement is
met -- i.e., that disclosure of the requested information is in the
public interest because it is likely to contribute significantly to
public understanding of the operations or activities of the government
-- the Secretary shall consider the following four factors in sequence:
(i) The subject of the request: Whether the subject of the requested
records concerns ''the operations or activities of the government.'' The
subject matter of the requested records, in the context of the request,
must specifically concern identifiable operations or activities of the
federal government -- with a connection that is direct and clear, not
remote or attenuated. Furthermore, the records must be sought for their
informative value with respect to those government operations or
activities; a request for access to records for their intrinsic
informational content alone will not satisfy this threshold
consideration.
(ii) The informative value of the information to be disclosed:
Whether the disclosure is ''likely to contribute'' to an understanding
of government operations or activities. The disclosable portions of the
requested records must be meaningfully informative on specific
government operations or activities in order to hold potential for
contributing to increased public understanding of those operations and
activities. The disclosure of information that already is in the public
domain, in either a duplicative or a substantially identical form, would
not be likely to contribute to such understanding, as nothing new would
be added to the public record.
(iii) The contribution of an understanding of the subject by the
public likely to result from disclosure: Whether disclosure of the
requested information will contribute to ''public understanding.'' The
disclosure must contribute to the understanding of the public at large,
as opposed to the individual understanding of the requester or a narrow
segment of interested persons. A requester's identity and
qualifications -- e.g., expertise in the subject area and ability and
intention to effectively convey information to the general public --
shall be considered. It will be presumed that a representative of the
news media (as defined in paragraph (j)(8) of this section) who has
access to the means of public dissemination readily will be able to
satisfy this consideration. Requests from libraries or other record
repositories (or requesters who intend merely to disseminate information
to such institutions) shall be analyzed, like those of other requesters,
to identify a particular person who represents that he actually will use
the requested information in scholarly or other analytic work and then
disseminate it to the general public.
(iv) The significance of the contribution to public understanding:
Whether the disclosure is likely to contribute ''significantly'' to
public understanding of government operations or activities. The
public's understanding of the subject matter in question, as compared to
the level of public understanding existing prior to the disclosure, must
be likely to be enhanced by the disclosure to a significant extent. The
Secretary shall not make separate judgments as to whether information,
even though it in fact would contribute significantly to public
understanding of the operations or activities of the government, is
''important'' enough to be made public.
(3) In order to determine whether the second fee waiver requirement
is met -- i.e., that disclosure of the requested information is not
primarily in the commercial interest of the requester -- the Secretary
shall consider the following two factors in sequence:
(i) The existence and magnitude of a commercial interest: Whether
the requester has a commercial interest that would be furthered by the
requested disclosure. The Secretary shall consider all commercial
interests of the requester (with reference to the definition of
''commercial use'' in paragraph (j)(5) of this section), or any person
on whose behalf the requester may be acting, but shall consider only
those interests which would be furthered by the requested disclosure.
In assessing the magnitude of identified commercial interests,
consideration shall be given to the role that such FOIA-disclosed
information plays with respect to those commercial interests, as well as
to the extent to which FOIA disclosures serve those interests overall.
Requesters shall be given a reasonable opportunity in the administrative
process to provide information bearing upon this consideration.
(ii) The primary interest in disclosure: Whether the magnitude of
the identified commercial interest of the requester is sufficiently
large, in comparison with the public interest in disclosure, that
disclosure is ''primarily in the commercial interest of the requester.''
A fee waiver or reduction is warranted only where, once the ''public
interest'' standard set out in paragraph (d)(2) of this section is
satisfied, that public interest can fairly be regarded as greater in
magnitude than that of the requester's commercial interest in
disclosure. The Secretary shall ordinarily presume that, where a news
media requester has satisfied the ''public interest'' standard, that
will be the interest primarily served by disclosure to that requester.
Disclosure to data brokers or others who compile and market government
information for direct economic return shall not be presumed to
primarily serve the ''public interest.''
(4) Where only a portion of the requested records satisfies both of
the requirements for a waiver or reduction of fees under this paragraph,
a waiver or reduction shall be granted only as to that portion.
(5) Requests for the waiver or reduction of fees shall address each
of the factors listed in paragraphs (d) (2) and (3) of this section, as
they apply to each record request.
(e) Notice of anticipated fees in excess of $25.00. Where the
Secretary determines or estimates that the fees to be assessed under
this section may amount to more than $25.00, he shall notify the
requester as soon as practicable of the actual or estimated amount of
the fees, unless the requester has indicated in advance his willingness
to pay fees as high as those anticipated. (If only a portion of the fee
can be estimated readily, the Secretary shall advise the requester that
the estimated fee may be only a portion of the total fee.) In cases
where a requester has been notified that actual or estimated fees may
amount to more than $25.00, the request will be deemed not to have been
received until the requester has agreed to pay the anticipated total
fee. A notice of the requester pursuant to this paragraph shall offer
him the opportunity to confer with agency personnel in order to
reformulate his request to meet his needs at a lower cost.
(f) Aggregating requests. Where the Secretary reasonably believes
that a requester or a group of requesters acting in concert is
attempting to divide a request into a series of requests for the purpose
of evading the assessment of fees, the Secretary may aggregate any such
requests and charge accordingly. The Secretary may presume that
multiple requests of such type made within a 30-day period have been
made in order to evade fees. Where requests are separated by a longer
period, the Secretary shall aggregate them only where there exists a
reasonable basis for determining that said aggregation is warranted,
e.g., where the requests involve clearly related matters. Multiple
requests involving unrelated matters shall not be aggregated
(g) Advance payments. (1) Where the Secretary estimates that a total
fee to be assessed under this section is likely to exceed $250.00, the
Secretary may require the requester to make an advance payment of an
amount up to the entire estimated fee before beginning to process the
request, except where the Secretary receives a satisfactory assurance of
full payment from a requester with a history of prompt payment.
(2) Where a requester has previously failed to pay a records access
fee within 30 days of the date of billing, the Secretary may require the
requester to pay the full amount owed, plus any applicable interest (as
provided for in paragraph (h) of this section), and to make an advance
payment of the full amount of any estimated fee before he begins to
process a new request or continues to process a pending request from
that requester.
(3) For requests other than those described in paragraphs (g) (1) and
(2) of this section, the Secretary shall not require the requester to
make an advance payment, i.e., a payment made before work is commenced
or continued on a request. Payment owed on work already completed is
not an advance payment.
(4) Where the Secretary acts under paragraph (g) (1) or (2) of this
section, the administrative time limits described in subsection (a)(6)
of the FOIA for the processing of an initial request or an appeal, plus
permissible extensions of these time limits, shall be deemed not to
begin to run until the Secretary has received payment of the assessed
fee.
(h) Charging interest. The Secretary may assess interest charges on
an unpaid bill starting on the 31st day following the day on which the
bill was sent to the requester. Once a fee payment has been received by
the Secretary, even if not processed, the accrual of interest shall be
stayed. Interest charges shall be assessed at the rate prescribed in
section 3717 of title 31 U.S.C. and shall accrue from the date of the
billing. The Secretary shall follow the provisions of the Debt
Collection Act of 1982, Pub. L. 97-265 (Oct. 25, 1982), and its
implementing procedures, including the use of consumer reporting
agencies, collection agencies, and offset.
(i) Other statutes specifically providing for fees. (1) The fee
schedule of this section does not apply with respect to the charging of
fees under a statute specifically providing for setting the level of
fees for particular types of records -- i.e., any statute that
specifically requires a government entity such as the Government
Printing Office or the National Technical Information Service, to set
and collect fees for particular types of records -- in order to:
(i) Serve both the general public and private sector organizations by
conveniently making available government information;
(ii) Ensure that groups and individuals pay the cost of publications
and other services that are for their special use so that these costs
are not borne by the general taxpaying public;
(iii) Operate an information-dissemination activity on a
self-sustaining basis to the maximum extent possible; or
(iv) Return revenue to the Treasury for defraying, wholly or in part,
appropriate funds used to pay the costs of disseminating government
information.
(2) Where records responsive to requests are maintained for
distribution by agencies operating statutorily based fee schedule
programs, the Secretary shall inform requesters of the steps necessary
to obtain records from those sources.
(j) Definitions. For the purpose of this section:
(1) The term ''direct costs'' means those expenditures which the
agency actually incurs in searching for and duplicating (and, in the
case of commercial use requesters, reviewing) records to respond to a
FOIA request. Direct costs include, for example the salary of the
employee performing the work (the basic rate of pay for the employee
plus 16 percent of that rate to cover benefits) and the cost of
operating duplicating machinery. Not included in direct costs are
overhead expenses such as costs of space and heating or lighting of the
facility in which the records are stored.
(2) The term ''search'' includes all time spent looking for material
that is responsive to a request, including page-by-page or line-by-line
identification of material within documents. The Secretary shall
ensure, however, that searches are undertaken in the most efficient and
least expensive manner reasonably possible; thus, for example, the
Secretary shall not engage in line-by-line search where merely
duplicating an entire document would be quicker and less expensive.
(3) The term ''duplication'' refers to the process of making a copy
of a record necessary to respond to a FOIA request. Such copies can
take the form of paper copy, microform, audio-visual materials, or
machine-readable documentation (e.g., magnetic tape or disk), among
others. The copy provided shall be in a form that is reasonably usable
by requesters.
(4) The term ''review'' refers to the process of examining a record
located in response to a request in order to determine whether any
portion of it is permitted to be withheld. It also includes processing
any record for disclosure, e.g., doing all that is necessary to excise
it and otherwise prepare it for release, although review costs shall be
recoverable even where there ultimately is no disclosure of a record.
Review time does not include time spent resolving general legal or
policy issues regarding the application of exemptions.
(5) The term ''commercial use'' in the context of a request refers to
a request from or on behalf of one who seeks information for a use or
purpose that furthers the commercial, trade, or profit interests of the
requester or the person on whose behalf the request is made, which can
include furthering those interests through litigation. The Secretary
shall determine, as well as reasonably possible, the use to which a
requester will put the records requested. Where the circumstances of a
request suggest that the requester will put the records sought to a
commercial use, either because of the nature of the request itself or
because the Secretary otherwise has reasonable cause to doubt a
requester's stated use, the Secretary shall provide the requester a
reasonable opportunity to submit further clarification.
(6) The term ''educational institution'' refers to a preschool, a
public or private elementary or secondary school, an institution of
undergraduate higher education, an institution of graduate higher
education, an institution of professional education, and an institution
of vocational education, which operates a program or programs of
scholarly research. To be eligible for inclusion in this category, a
requester must show that the request is being made as authorized by and
under the auspices of a qualifying institution and that the records are
not sought for a commercial use but are sought in furtherance of
scholarly research.
(7) The term ''noncommercial scientific institution'' refers to an
institution that is not operated on a ''commercial'' basis as that term
is referenced in paragraph (j)(5) of this section, and which is operated
solely for the purpose of conducting scientific research the results of
which are not intended to promote any particular product or industry.
To be eligible for inclusion in this category, a requester must show
that the request is being made as authorized by and under the auspices
of a qualifying institution and that the records are not sought for a
commercial use but are sought in furtherance of scientific research.
(8) The term ''representative of the news media'' refers to any
person actively gathering news for an entity that is organized and
operated to publish or broadcast news to the public. The term ''news''
means information that is about current events or that would be of
current interest to the public. Examples of news media entities include
television or radio stations broadcasting to the public at large and
publishers of periodicals (but only in those instances where they can
qualify as disseminators of ''news'') who make their products available
for purchase or subscription by the general public. For ''freelance''
journalists to be regarded as working for a news organization, they must
demonstrate a clear basis for expecting publication through that
organization; a publication contract would be the clearest proof, but
the Secretary shall also look to the past publication record of a
requester in making this determination. To be eligible for inclusion in
this category, a requester also must not be seeking the requested
records for a commercial use. In this regard, a request for records
supporting the news dissemination function of the requester shall not be
considered to be for a commercial use.
(k) Charges for other services and materials. Apart from the other
provisions of this section, where the Secretary elects, as a matter of
administrative discretion, to comply with a request for a special
service or materials, such as certifying that records are true copies or
sending them other than by ordinary mail, the actual direct costs of
providing the service or materials shall be charged.
(54 FR 13673, Apr. 5, 1989)
19 CFR 201.21 Availability of specific records.
(a) Records available. The following information, on request to the
Secretary of the Commission, is available for public inspection and
copying: (1) final opinions, including concurring and dissenting
opinions, as well as orders, made in the adjudication of cases; (2)
those statements of policy and interpretations which have been adopted
by the agency; and (3) administrative staff manuals and instructions to
staff that affect a member of the public.
Available information includes, but is not limited to: (i)
Applications, petitions, and other formal documents filed with the
Commission, (ii) notices to the public concerning Commission matters,
(iii) transcripts of testimony taken and exhibits submitted at hearings,
(iv) reports to the President, to either or both Houses of Congress, or
to Committees of Congress, release of which has been authorized by the
President or the legislative body concerned, (v) reports and other
documents issued for general distribution.
(b) Records not available. Information specifically exempted from
disclosure by 5 U.S.C. 552(b), including reports to the President, to
either or both Houses of Congress, or to Committees of Congress, the
release of which has not been authorized by the President or the
legislative body concerned, and confidential business data as defined in
18 U.S.C. 1905 and 19 CFR 201.06 are not available to the public.
(c) Information requested in cases or matters to which the Commission
is not a party. (1) The procedure specified in this section will apply
to all demands directed to Commission employees for the production of
documents or for testimony that relates in any way to the employees'
official duties. These procedures will also apply to demands directed
to former employees if the demands seek nonpublic materials or
information acquired during Commission employment. The provisions of
paragraph (c)(2) of this section will also apply to demands directed to
the agency. For purposes of this section, the term ''demand'' means any
request, order or subpoena for testimony or production of documents;
the term ''subpoena'' means any compulsory process in a case or matter
to which the Commission is not a party; the term ''nonpublic'' includes
any material or information which, under 201.21(b), is exempt from
availability for public inspection and copying; the term ''employee''
means any current or former officer or employee of the Commission; the
term ''documents'' means all records, papers or official files,
including without limitation, official letters, telegrams, memoranda,
reports, studies, calendar and diary entries, graphs, notes, charts,
tabulations, data analysis, statistical or information accumulations,
records of meetings and conversations, film impressions, magnetic tapes,
and sound or mechanical reproductions; the term ''case or matter''
means any civil proceeding before a court of law, administrative board,
hearing officer, or other body conducting a legal or administrative
proceeding in which the Commission is not a named party.
(2) Prior to or simultaneously with a demand to a Commission employee
for the production of documents or for testimony concerning matters
relating to official duties, the party seeking such production or
testimony must serve upon the General Counsel of the Commission an
affidavit, or if that is not feasible, then a statement which sets forth
the title of the case, the forum, the party's interest in the case, the
reasons for the request, and a showing that the desired testimony or
documents are not reasonably available from any other source. Where
testimony is sought, the party must also provide a summary of the
testimony desired, the intended use of the testimony, and show that
Commission records could not be provided and used instead of the
requested testimony. A subpoena for testimony from a Commission
employee concerning official matters or for the production of documents
shall be served in accordance with Rule 45 of the Federal Rules of Civil
Procedure and a copy of the subpoena shall be sent to the General
Counsel.
(3) Any employee or former employee who is served with a subpoena or
other demand shall promptly advise the General Counsel of the service of
the subpoena or other demand, the nature of the documents or information
sought, and all relevant facts and circumstances.
(4) Absent written authorization from the Chairman of the Commission
(''Chairman''), the employee shall respectfully decline to produce the
requested documents, to testify, or to otherwise disclose requested
information. If a court rules that the demand must be complied with
despite the absence of such written authorization, the employee upon
whom the demand is made shall respectfully refuse to comply based upon
these regulations and Touhy v. Ragan, 340 U.S. 462 (1951).
(5) The Chairman will consider and act upon subpoenas under this
section with due regard for statutory restrictions, the Commission's
rules and the public interest, taking into account such factors as the
need to conserve employees' time for conducting official business, the
need to prevent the expenditure of the United States government's time
and money for private purposes, the need to maintain impartiality
between private litigants in cases where no substantial governmental
interest is involved, and the relevant legal standards for determining
whether justification exists for the disclosure of nonpublic information
and documents. If the Chairman determines that the subpoenaed documents
or information are protected by a privilege or that the Commission has a
duty in law or equity to protect such documents or information from
disclosure, the General Counsel shall move the court to quash the
subpoena or for other appropriate action.
(6) The General Counsel may consult or negotiate with counsel or the
party seeking testimony or documents to refine and limit the demand so
that compliance is less burdensome, or obtain information necessary to
make the determination described in paragraph (c)(5) of this section.
Failure of the counsel or party seeking the testimony or documents to
cooperate in good faith to enable the General Counsel to make an
informed recommendation to the Chairman under paragraph (c)(5) of this
section may serve as the basis for a determination not to comply with
the demand.
(7) Permission to testify will, in all cases, be limited to the
information set forth in the affidavit as described in paragraph (c)(2)
of this section, or to such portions thereof as the Chairman deems
proper.
(8) If the Chairman authorizes the testimony of an employee, then the
General Counsel shall arrange for the taking of the testimony by methods
that are least disruptive of the official duties of the employee.
Testimony may, for example, be provided by affidavits, answers to
interrogatories, written depositions, or depositions transcribed,
recorded, or preserved by any other means allowable by law. Costs of
providing testimony, including transcripts, will be borne by the party
requesting the testimony. Such costs shall also include reimbursing the
Commission for the usual and ordinary expenses attendant upon the
employee's absence from his or her official duties in connection with
the case or matter, including the employee's salary and applicable
overhead charges and any necessary travel expenses.
(9) The Secretary in consultation with the General Counsel is further
authorized to charge reasonable fees to parties demanding documents or
information. Such fees, calculated to reimburse the government for the
expense of responding to such demand, may include the costs of time
expended by Commission employees to process and respond to the demand,
attorney time for reviewing the demand and for related legal work in
connection with the demand, and expenses generated by equipment used to
search for, produce and copy the responsive information. In general,
such fees will be assessed at the rates and in the manner specified in
201.20 of this part.
(10) This section does not affect the rights and procedures governing
the public access to official documents pursuant to the Freedom of
Information Act or the Privacy Act.
(11) This section is intended to provide instructions to Commission
employees and does not create any right or benefit, substantive or
procedural, enforceable by any party against the Commission.
(40 FR 8328, Feb. 27, 1975, as amended at 54 FR 13676, Apr. 5, 1989)
19 CFR 201.21 Subpart D -- Safeguarding Individual Privacy Pursuant to
5 U.S.C. 552a
Authority: 5 U.S.C. 552a.
Source: 40 FR 47976, Oct. 10, 1975, unless otherwise noted.
19 CFR 201.22 Purpose and scope.
The purpose of these regulations is to provide certain safeguards for
an individual against an invasion of personal privacy by the United
States International Trade Commission. These regulations are
promulgated pursuant to the requirements for all Federal Agencies
contained in 5 U.S.C. 552a(f).
19 CFR 201.23 Definitions.
For the purpose of these regulations,
(a) The term individual means a citizen of the United States or an
alien lawfully admitted for permanent residence;
(b) The term maintain includes maintain, collect, use, or
disseminate;
(c) The term record means any item, collection, or grouping of
information about an individual that is maintained by the Commission,
including, but not limited to, his education, financial transactions,
medical history, and criminal or employment history and that contains
his name, or the identifying number, symbol, or other identifying
particular assigned to the individual;
(d) The term system of records means a group of any records under the
control of the Commission from which information is retrieved by the
name of the individual or by some identifying particular assigned to the
individual;
(e) The term Director of Personnel refers to the Director, Office of
Personnel and Management Systems, United States International Trade
Commission, 500 E Street SW., Washington, DC 20436, or his or her
designee.
19 CFR 201.24 Procedures for requests pertaining to individual records
in a records system.
(a) A request by an individual to gain access to his or her record or
to any information pertaining to him or her which is contained in the
systems of records maintained by the Commission shall be addressed to
the Director of Personnel, United States International Trade Commission,
500 E Street SW., Washington, DC 20436, and shall indicate clearly both
on the envelope and in the letter that it is a Privacy Act request.
(b) In order to facilitate location of requested records, the request
of the individual shall name the systems of records maintained by the
Commission which he or she believes contain records pertaining to him or
her or shall reasonably describe the requested record.
(c) The Director of Personnel shall acknowledge receipt of a request
within ten days (excluding Saturdays, Sundays, and legal public
holidays), and wherever practicable, indicate whether or not access can
be granted. If access is not to be granted, the requestor shall be
notified of the reason.
(d) The Director of Personnel shall ascertain whether the systems of
records maintained by the Commission contain records pertaining to the
individual. Thereupon the Director of Personnel shall:
(1) Notify the individual whether or not the requested record is
contained in any system of records maintained by the Commission; and
(2) Notify the individual of the procedures as prescribed in 201.25
and 201.26 of these regulations by which the individual may gain access
to those records maintained by the Commission which pertain to him or
her. Access to the records will be provided within 30 days (excluding
Saturdays, Sundays, and legal public holidays).
(41 FR 18810, May 7, 1976)
19 CFR 201.25 Times, places, and requirements for identification of
individuals making requests.
(a) It shall be the responsibility of the individual requester to
arrange an appointment with the Director of Personnel for the purpose of
inspecting individual records. The time of inspection shall be during
the regular office hours of the Commission, 8:45 A.M. to 5:15 P.M.,
Monday through Friday. The time arranged should be mutually convenient
to the requester and to the Commission.
(b) The place where an individual may gain access to records
maintained by the Commission which pertain to him or her shall be at the
United States International Trade Commission Building, 500 E Street SW.,
Washington, DC 20436. The Director of Personnel shall inform the
individual requester of the specific room wherein inspection will take
place.
(c) An individual who requests to gain access to those records
maintained by the Commission which pertain to him or her shall not be
granted access to those records without first presenting adequate
identification to the Director of Personnel. Adequate identification
includes, but is not limited to, a government identification card, a
driver's license, medicare card, a birth certificate, or a passport.
(d) Where the nature of the record or system of records permits and
where the individual cannot view the records pertaining to him in
person, the Director of Personnel may dispense with the requisites of
201.25(a) and 201.25(b) of these regulations and provide the individual
with a copy of the record by certified mail.
19 CFR 201.26 Disclosure of requested information to individuals.
(a) Assuming that the individual requester has met the adequate
identification criterion of 201.25(c) of these regulations, the
Director of Personnel shall permit the individual to review the
pertinent records and to have a copy made of all or any portion of them.
Where specific exemptions within the purview of 201.32(c) would render
such records or portions thereof incomprehensible, the Director of
Personnel shall furnish an abstract in addition to an actual copy.
(b) The individual has the right to have a person of his or her own
choosing accompany him or her to review his or her records. The
Director of Personnel shall permit a person of the individual
requester's choosing to accompany the individual during inspection.
(c) When the individual requests the Director of Personnel to permit
a person of the individual's choosing to accompany him or her during the
inspection of his or her records, the Director of Personnel shall
require the individual requester to furnish a written statement
authorizing discussion of the records in the accompanying person's
presence.
(d) The Director of Personnel shall take all necessary steps to
insure that individual privacy is protected while the individual
requester is inspecting his or her records or while those records are
being discussed. Only the Director of Personnel shall accompany the
individual as representative of the Commission during the inspection of
the individual's records. The Director of Personnel shall be authorized
to discuss the pertinent records with the individual.
19 CFR 201.27 Special procedures: Medical records.
(a) While an individual has an unqualified right of access to the
records in systems of records maintained by the Commission which pertain
to him or her, medical and psychological records merit special treatment
because of the possibility that disclosure will have an adverse physical
or psychological effect upon the requesting individual. Accordingly,
therefore, in those instances where an individual is requesting the
medical and/or psychological records which pertain to him or her, he or
she shall, in his or her Privacy Act request to the Director of
Personnel as called for in 201.24(a) of these regulations, specify a
physician to whom the medical and/or psychological records may be
released.
(b) It shall be the responsibility of the individual requesting
medical or psychological records to specify a physician to whom the
requested records may be released. If an individual refuses to name a
physician and insists on inspecting his or her medical or psychological
records in the absence of a doctor's discussion and advice, the
individual shall so state in his Privacy Act request to the Director of
Personnel as called for in 201.24(a) and the Director of Personnel
shall provide access to or transmit such records directly to the
individual.
19 CFR 201.28 Request for correction or amendment of record.
(a) If, upon viewing his or her records, the individual disagrees
with a portion thereof or feels sections thereof to be erroneous, the
individual may request amendment(s) of the records pertaining to him or
her. The individual should request such an amendment in writing. The
request for amendment of records shall be addressed to the Director of
Personnel, United States International Trade Commission, 500 E Street
SW., Washington, DC 20436, and shall clearly indicate both on the
envelope and in the letter that it is a Privacy Act request for
amendment of records.
(b) Not later than 10 days (Saturdays, Sundays, and Federal legal
public holidays excluded) after the date of receipt of a Privacy Act
request for amendment of records, the Director of Personnel shall
acknowledge such receipt in writing. Thereupon, the Director of
Personnel shall promptly either: (1) Make any correction of any portion
of the record which the individual believes is not accurate, relevant,
timely, or complete; or (2) inform the individual of the Director of
Personnel's refusal to amend the record in accordance with the
individual's request and give the reasons for the refusal. In cases
where the Director of Personnel has refused to amend in accordance with
an individual's request, he or she also shall advise the individual of
the procedures under 201.29 of these regulations for the individual to
request a review of that refusal by the full Commission or by an officer
designated by the Commission.
19 CFR 201.29 Commission review of request for correction or amendment
to record.
(a) The individual who disagrees with the refusal of the Director of
Personnel to amend the record may request a review of the refusal by the
Commission. All requests for review of refusals to amend records should
be addressed to the Chairman, United States International Trade
Commission, 500 E Street SW., Washington, DC 20436, and shall clearly
indicate both on the envelope and in the letter that it is a Privacy Act
review request.
(b) Not later than 30 days (Saturdays, Sundays, and Federal legal
public holidays excluded) from the date on which the Commission receives
a request for review of the Director of Personnel's refusal to amend the
record, the Commission shall complete such a review and make a final
determination thereof unless, for good cause shown, the Commission
extends the 30-day period.
(c) After the individual's request to amend his or her records has
been reviewed by the Commission, if the Commission agrees with the
Director of Personnel's refusal to amend the record in accordance with
the individual's request, the Commission shall: (1) Notify the
individual in writing of the Commission's decision; (2) advise the
individual that he or she has the right to file a concise statement of
disagreement with the Commission which sets forth his or her reasons for
disagreement with the refusal of the Commission to amend the records;
and (3) notify the individual of his or her legal right to judicial
review of the Commission's final determination.
(d) In any disclosure, containing information about which the
individual has filed a statement of disagreement, the Director of
Personnel shall clearly note any portion of the record which is disputed
and shall provide copies of the statement and, if the Commission deems
it appropriate, copies of a concise statement of the reasons of the
Commission for not making the amendments requested, to persons or other
agencies to whom the disputed record has been disclosed.
19 CFR 201.30 Commission disclosure of record to person other than the
individual to whom it pertains.
(a) Except as is permitted under 5 U.S.C. 552a(b)(1)-(b)(11), it is
the policy of the Commission not to disclose any record which is
contained in any system of records maintained by the Commission to any
person, or to another agency, except pursuant to a written request by,
or with the prior written consent of, the individual to whom the record
pertains.
(b) Except for disclosures to those officers and employees of the
Commission who have a need for the record in the performance of their
duties and any disclosure required by 5 U.S.C. 552, the Director of
Personnel shall keep an accurate accounting of: (1) The date, nature,
and purpose of each disclosure of a record to any person or to another
agency under paragraph (a) of this section; and (2) the name or address
of the person or agency to whom the disclosure is made.
(c) The Director of Personnel shall retain the accounting required by
201.30(b) for at least five years or the life of the record, whichever
is longer, after such disclosure.
(d) Except for disclosures made to other agencies for civil or
criminal law enforcement purposes pursuant to 5 U.S.C. 552a(b)(7), the
Director of Personnel shall make any accounting made under 201.30(b)
available to the individual named in the record at the individual's
request.
(e) Where the Commission has provided any person or other agency with
an individual record and such accounting as required by 201.30(b) has
been made, the Director of Personnel shall inform all such persons or
other agencies of any correction, amendment, or notation of dispute
concerning said record.
19 CFR 201.31 Fees.
(a) The Commission shall not charge any fee for the cost of searching
for and reviewing an individual's records.
(b) Reproduction, duplication or copying of records by the Commission
shall be at the rate of 10 cents per page. There shall be no charge,
however, when the total amount does not exceed 50 cents.
19 CFR 201.32 Specific exemptions.
(a) A system of records or a record which is specifically required by
Executive order to be kept secret in the interest of national defense or
foreign policy, pursuant to 5 U.S.C. 552(b)(1), shall be exempt from
this subpart and from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H),
and (I), and (f) of section 3 of the Privacy Act.
(b) Systems of records required by statute to be maintained and used
solely as statistical records shall be exempt from this subpart and
shall be exempt from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H),
and (I) and (f) of section 3 of the Privacy Act.
(c) Personnel investigations records in the custody of the Security
Officer of the Commission, which are compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Commission
employment or access to classified information shall be exempt from this
subpart and from subsections (c)(3), (d), (e)(4) (G), (H), and (I) and
(f) of section 3 of the Privacy Act, but only to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to government investigators under an express
promise that the identity of the source would be held in confidence, or,
prior to September 27, 1975, under an implied promise that the identity
of the source would be held in confidence.
(d) Pursuant to 5 U.S.C. 552a(k)(2), and in order to protect the
effectiveness of Inspector General investigations by preventing
individuals who may be the subject of an investigation from obtaining
access to the records and thus obtaining the opportunity to conceal or
destroy evidence or to intimidate witnesses, records contained in the
system titled Office of Inspector General Investiative Files (General),
insofar as they include investigatory material compiled for law
enforcement purposes, shall be exempt from this subpart and from
subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of
section 3 of the Privacy Act. Provided, however, that if any individual
is denied any right, privilege, or benefit to which he is otherwise
entitled to under Federal law due to the maintenance of this material,
such material shall be provided to such individual except to the extent
that the disclosure of such material would reveal the identify of a
source who furnished information to government investigators under an
express promise that the identity of the source would be held in
confidence.
(e) Pursuant to 5 U.S.C. 552a(j)(2), and in order to protect the
confidentiality and integrity of Inspector General investigations by
preventing individuals who may be the subject of an investigation from
obtaining access to the records and thus obtaining the opportunity to
conceal or destroy evidence or to intimidate witnesses, records
maintained in the Office of Inspector General Investigative Files
(Criminal), insofar as they contain information pertaining to the
enforcement of criminal laws, shall be exempt from this subpart and from
the Privacy Act, except that, subsections (b), (c)(1) and (2), (e)(4)(A)
through (F), (e)(6), (7), (9), (10), and (11) and (i) shall still apply
to these records.
(40 FR 47976, Oct. 10, 1975, as amended at 55 FR 40379, Oct. 3, 1990)
19 CFR 201.32 Subpart E -- Opening Commission Meetings to Public
Observation Pursuant to 5 U.S.C. 552b
Authority: 5 U.S.C. 552b; 19 U.S.C. 1335.
Source: 42 FR 11243, Feb. 28, 1977, unless otherwise noted.
19 CFR 201.33 Purpose and scope.
(a) Consistent with the principle that the public is entitled to the
fullest practicable information regarding the decisionmaking processes
of the Federal Government, it is the purpose of this subpart to open the
meetings of the United States International Trade Commission to public
observation while protecting the rights of individuals and the ability
of the Commission to carry out its statutory functions and
responsibilities. These regulations are promulgated pursuant to the
directive of section (g) of the Government in the Sunshine Act (5 U.S.C.
552b(g)), and specifically implement sections (b) through (f) of said
act (5 U.S.C. 552(b) through (f)).
(b) Public access to documents being considered at Commission
meetings may be obtained by access to the public files of the Commission
or, where documents are not in said public files, shall be obtained in
the manner set forth in subpart C of this part ( 201.17 through
201.21).
(c) Unless otherwise provided by the public notices as described in
201.35 of this subpart, public observation of Commission meetings does
not encompass public participation in the deliberations at such
meetings.
19 CFR 201.34 Definitions.
For the purpose of this subpart:
(a)(1) Except as hereinafter provided, the term meeting means the
deliberations of at least the number of individual Commissioners
required to take action on behalf of the Commission where such
deliberations determine or result in the joint conduct or disposition of
official Commission business.
(2) The consideration by individual Commissioners of business which
is circulated sequentially in writing (circulation by ''action jacket'')
is not considered a meeting under paragraph (a)(1) of this section
because circulation by action jacket does not determine or result in the
joint conduct or disposition of Commission business until ratification
thereof by formal vote of the Commissioners in a meeting as defined by
paragraph (a)(1) of this section, although action proposed by action
jacket may be taken before or after formal ratification thereof by vote
at a Commission meeting.
(3) Conference telephone calls among the Commissioners are considered
meetings as defined by paragraph (a)(1) of this section if they involve
the number of Commissioners requisite for Commission action.
(4) Deliberations of a majority of the entire membership of the
Commission with the sole purpose of determining whether or not to call a
meeting at a date earlier than the requisite public notice period as
specified in 201.35 of this subpart are not considered to constitute a
meeting or portion of a meeting as defined by paragraph (a)(1) of this
section.
(5) Deliberations of a majority of the entire membership of the
Commission with the sole purpose of determining whether or not to close
a portion or portions of a meeting or series of meetings pursuant to
201.36 of this subpart are not considered to constitute a meeting or
portion of a meeting within the meaning of paragraph (a)(1) of this
section.
(6) Deliberations of a majority of the entire membership of the
Commission with the sole purpose of determining whether or not to change
the subject matter of a publicly announced meeting, or to change the
determination of the Commission to open or close a meeting, or portion
thereof, to the public, following a public notice, as permitted under
201.37(b) of this subpart, are not considered to constitute a meeting or
portion of a meeting under paragraph (a)(1) of this section.
(b) The terms Secretary and General Counsel mean the Secretary and
General Counsel of the Commission and their respective designees within
their respective offices.
19 CFR 201.35 Notices to the public.
(a) At least ten (10) days before each Commission meeting the
Commission shall issue a public notice which: (1) States the time and
place of the meeting, (2) lists the subjects or agenda items to be
discussed at the meeting, (3) states whether the meeting or portion
thereof is to be open or closed to public observation, and (4) gives the
name and business phone number of the Secretary to the Commission.
(b) When the Commission has voted to close any portion of any meeting
in accordance with 201.36 of this subpart, the notice referred to in
paragraph (a) of this section shall also include, or be amended to
include, if already issued, (1) A list of the persons reasonably
expected to be present at such closed portion or portions of the
meeting, (2) A corresponding list of the affiliations of those persons
reasonably expected to be present, (3) A written copy of the vote of
each Commissioner on whether or not the portion or portions of the
meeting or series of meetings should be closed to public observation,
(4) A full, written explanation of the Commission's action in closing
the portion or portions of the meeting or series of meetings, and (5) A
copy of the certification of the General Counsel, called for by 201.39
of this subpart, that such portion or portions of the meeting or series
of meetings were properly closed to the public by the Commission. When
a vote to close a portion or portions of a meeting in accordance with
201.36 of this subpart or a vote to change the subject matter of a
meeting or to change a determination to open or close a meeting, or
portion thereof, to the public in accordance with 201.37(b) of this
subpart fails for lack of a majority of the entire membership of the
Commission, the vote shall also be published as part of the notice
required by paragraph (a) of this section.
(c)(1) The 10-day period for public notice provided for in paragraph
(a) of this section shall not apply when a majority of the entire
membership of the Commission determines by recorded vote that Commission
business requires that a particular meeting be called with less than 10
days' notice and that no earlier announcement of such meeting was
possible.
(2) When the Commission has voted in conformity with paragraph (c)(1)
of this section to shorten the 10-day period for public notice provided
for by paragraph (a) of this section with respect to a particular
meeting, the Commission shall issue the public notice required by
paragraph (a) of this section at the earliest practicable time.
(3) When the Commission not only has voted in conformity with
paragraph (c)(1) of this section to shorten the 10-day period for public
notice provided for in paragraph (a) of this section with respect to a
particular meeting, but also has voted to close a portion or portions of
such meeting in accordance with 201.36 of this subpart, the public
notice required by paragraph (c)(2) of this section shall also include,
or be amended to include, if already issued, those items specified in
paragraph (b) of this section.
(d)(1) When the Commission has changed the time or place of a
publicly announced meeting by acting under 201.37(a) of this subpart,
the public notice required by paragraph (a) or (c)(2) of this section
shall be amended to reflect such changed time or place.
(2) When the Commission has changed the subject matter of a meeting
or its determination to open or close a meeting, or portion thereof, to
the public following a public notice by acting under 201.37(b) of this
subpart, the public notice required by paragraph (a) or (c)(2) of this
section shall be amended to (i) Include a statement affirming that
Commission business required the change in subject matter and that no
earlier announcement of such change was possible and (ii) Indicate the
change in subject matter and the vote of each Commissioner upon such
change.
(e)(1) The Secretary shall issue the public notices required by this
section and such amendments thereto as are appropriate to the specific
meeting to which they pertain.
(2) The Secretary (i) Shall promptly post the public notices referred
to in paragraph (e)(1) of this section on bulletin boards outside the
Office of the Secretary to the Commission, (ii) Shall make copies
thereof available to interested members of the public, including mailing
copies thereof through a mailing list of those persons desiring to
receive such notices and distributing copies to the press, whether of
specialized or general readership, and (iii) Shall immediately submit
said public notices to the Federal Register for publication.
(3) The Office of the Secretary shall respond to all questions from
the public concerning the agendas of Commission meetings. Persons
desiring to receive copies of notices of Commission meetings should
contact the Office of the Secretary and request to be placed on the
mailing list.
19 CFR 201.36 Closing a portion or portions of a meeting or a series of
meetings.
(a) Every meeting of the Commission shall be open to public
observation except when the Commission properly determines in the manner
specified in paragraph (d) of this section that a portion or portions of
a Commission meeting shall be closed to the public for the specific
reasons enumerated in paragraph (b) of this section.
(b) The Commission may close a portion or portions of a Commission
meeting only when it determines that public disclosure of information to
be discussed at such meeting is likely to:
(1) Disclose matters that are (i) Specifically authorized under
criteria established by Executive order to be kept secret in the
interests of national defense or foreign policy and (ii) in fact
properly classified pursuant to such Executive order;
(2) Relate solely to the internal personnel rules and practices of
the Commission;
(3) Disclose matters specifically exempted from disclosure by statute
(other than the Freedom of Information Act), provided that such statute
(i) Requires that the matters be withheld from the public in such a
manner as to leave no discretion on the issue, or (ii) Establishes
particular criteria for withholding or refers to particular types of
matters to be withheld.
(4) Disclose trade secrets and commercial or financial information
obtained from a person and privileged or confidential;
(5) Involve accusing any person of a crime, or formally censuring any
person;
(6) Disclose information of a personal nature when disclosure would
constitute a clearly unwarranted invasion of personal privacy;
(7) Disclose investigatory records compiled for law-enforcement
purposes, or information which, if written, would be contained in such
records, but only to the extent that the production of such records or
information would: (i) Interfere with enforcement proceedings, (ii)
deprive a person of a right to a fair trial or to an impartial
adjudication, (iii) constitute an unwarranted invasion of personal
privacy, or (iv) disclose the identity of a confidential source, and, in
the case of a record compiled by a criminal law-enforcement authority in
the course of a criminal investigation or by an agency conducting a
lawful national-security intelligence investigation, confidential
information furnished only by the confidential source;
(8)(i) Disclose information the premature disclosure of which would,
in those instances where the Commission regulates commodities, be likely
to lead to significant financial speculation in such commodities;
(ii) Disclose information the premature disclosure of which would be
likely to significantly frustrate implementation of a proposed
Commission action except (A) When the Commission has already disclosed
to the public the content or nature of its proposed action or (B) when
the Commission is required by law to make such disclosure on its own
initiative prior to taking final Commission action on such proposal; or
(9) Specifically concern: (i) The Commission's issuance of a
subpoena, (ii) the Commission's participation in a civil action or
proceeding, or (iii) the initiation, conduct, or disposition by the
Commission of a particular case of formal Commission adjudication under
19 U.S.C. 1337 pursuant to the procedures of 5 U.S.C. 554 or otherwise
involving a determination on the record after opportunity for a hearing.
(c)(1) When the Commission has determined that one or more of the
specific reasons enumerated in paragraph (b) of this section for closing
a portion or portions of a Commission meeting is applicable to the
subject matter or matters to be discussed, the Commission shall consider
whether or not the public interest requires that such portion or
portions of the meeting be open to public observation.
(2) In making the public-interest determination under paragraph
(c)(1) of this section, the Commission shall consider whether public
disclosure would (i) Interfere with the Commission's carrying out its
statutory responsibilities, (ii) Conflict with the individual right of
privacy under the Privacy Act of 1974 (5 U.S.C. 552a), or (iii) Place
the Commission in violation of any other applicable provision of law, in
addition to any other factors which it deems to be relevant to the
particular meeting in question.
(d)(1) Action by the Commission to close a portion or portions of a
meeting for one or more of the specific reasons enumerated in paragraphs
(b) (1) through (9) of this section shall be taken only when a majority
of the entire membership of the Commission has voted to take such
action.
(2) A single recorded vote of the Commission shall be taken with
respect to: (i) Each Commission meeting of which the Commission
proposes to close a portion or portions to the public for one or more of
the specific reasons enumerated in paragraphs (b) (1) through (9) of
this section, or (ii) any information which the Commission proposes to
withhold from the public for one or more of the specific reasons
enumerated in paragraphs (b) (1) through (9) of this section. No proxy
votes are permissible.
(e)(1) Action by the Commission to close a series of meetings of
which the Commission proposes to close a portion or portions to the
public for one or more of the specific reasons enumerated in paragraphs
(b) (1) through (9) of this section may be taken by a single recorded
vote of the Commission to close such portion or portions of the series.
No proxy votes are permissible.
(2) A series of meetings may be closed pursuant to paragraph (e)(1)
of this section so long as each meeting in such series: (i) Involves
the same particular matters and (ii) is scheduled to be held no more
than 30 days after the initial meeting in such series.
(f) When the Commission (i) Has voted to close a portion or portions
of a meeting in accordance with paragraph (d) of this section or (ii)
has voted to close a portion or portions of a series of meetings in
accordance with paragraph (e) of this section, the public notices
referred to in paragraph (a) or (c)(2) of 201.35 shall be issued or
amended in accordance with paragraph (b) or (c)(3) of 201.35 at the
earliest practicable time, but no later than one (1) working day
following such vote.
19 CFR 201.37 Changing the time, place, subject matter, or
determination to open or close a meeting following a public notice.
(a) The time or place of a Commission meeting may be changed
following a public announcement required by 201.35 only if the
Commission publicly announces such change or changes at the earliest
practicable time by issuing an appropriate amendment to the public
notice as required by 201.35.
(b) The subject matter or matters of a Commission meeting or the
determination of the Commission to open or close a meeting, or portion
of a meeting, to the public may be changed following a public
announcement required by 201.35 only if: (i) A majority of the entire
membership of the Commission determines by recorded vote that Commission
business so requires and that no earlier announcement of the change was
possible and (ii) the Commission publicly announces such change in
subject matter or such change in the determination of the Commission to
open or close a meeting, or a portion of a meeting, to the public and
the vote of each Commissioner upon such change or changes in a
subsequent amendment of the public notice required by 201.35.
19 CFR 201.38 Requests by interested persons that the Commission close
a portion of a Commission meeting.
(a) Whenever any person whose interests may be directly affected by a
portion of a Commission meeting requests that the Commission close such
portion to the public for any of the specific reasons enumerated in
paragraphs (b) (5), (6), or (7) of 201.36, the Commission, upon the
request of any one of the Commissioners, shall take a vote in the manner
specified in 201.36 of this subpart on whether or not to close such
portion of the meeting.
(b) When the Commission votes on a request to close a portion of a
meeting under paragraph (a) of this section in the manner specified in
201.36(d), a public notice as required by paragraphs (a) and (b) of
201.35 shall be issued.
19 CFR 201.39 General Counsel's certification of Commission action in
closing a meeting or a series of meetings.
Before a Commission meeting may be closed for the specific reasons
enumerated in paragraphs (b) (1) through (9) of 201.36, the General
Counsel (i) Shall, in the related public notice, certify that in his or
her opinion the meeting may be closed to the public and (ii) Shall state
each applicable exemptive provision of paragraphs (b) (1) through (9) of
201.36.
19 CFR 201.40 Records-retention requirements.
(a) The Secretary shall maintain a copy of the certification by the
General Counsel required by 201.39 for each Commission meeting of which
a portion or portions are closed to the public pursuant to a vote under
201.36(d).
(b) The Secretary shall also maintain a copy of a statement from the
presiding officer of each Commission meeting or portion thereof which
was closed to the public for the specific reasons enumerated in
paragraphs (b) (1) through (9) of 201.36(b) setting forth (i) The time
and place of the closed meeting, or portion thereof, and (ii) A list of
the persons present thereat.
(c) The Secretary shall also maintain a complete transcript or
electronic recording of the proceedings of each Commission meeting or
portion of a meeting, whether open to public observation or closed to
the public. The Secretary shall also maintain a complete transcript or
electronic recording of all deliberations conducted under paragraphs (a)
(4), (5), and (6) of 201.34 of this subpart.
(d) Where portions of a Commission meeting are closed for the reasons
contained in paragraphs (b) (8)(A) or (9) of 201.36, the Commission
preserves the option to maintain detailed minutes of such portions.
Such detailed minutes shall fully and clearly describe all matters
discussed and shall provide a full and accurate summary of any actions
taken, and the reasons therefor, including a description of each of the
views expressed on any item and the record of any rollcall vote
(reflecting the vote of each member on the question). All documents
considered in connection with any action shall be identified in such
minutes.
(e) The retention period for the records required by paragraphs (a),
(b), (c), and (d) of this section shall be for a period of at least two
(2) years after the particular Commission meeting, or until one (1) year
after the conclusion of any Commission proceeding with respect to which
the meeting or portion thereof was held, whichever occurs later.
(f) The requirements of paragraphs (c) and (d) of this section shall
not affect or supplant the existing duty of the Secretary to maintain
permanent minutes of each Commission meeting. The Secretary shall also
maintain permanent minutes of all deliberations conducted under
paragraphs (a) (4), (5), and (6) of 201.34 of this subpart.
19 CFR 201.41 Public inspection and copying of records; applicable
fees.
(a) The Secretary shall promptly make available to interested members
of the public the transcript or electronic recording of the discussion
of any item on the agenda of a Commission meeting or of any item of the
testimony of any witness received at the meeting, except for such item
or items of such discussion or testimony as the Secretary determines to
contain information which may be withheld for reasons specified in
paragraphs (b) (1) through (9) of 201.36. The determination of the
Secretary shall be in conformity with a prior vote of the Commission
under 201.36(d) to close a portion or portions of a meeting.
(b) Public inspection of electronic recordings, transcripts, or
minutes of Commission meetings shall take place at the United States
International Trade Commission, 500 E Street SW., Washington, DC 20436.
A room is designated by the Office of the Secretary and tape recorders
with earphones are provided by the Commission for public-inspection
purposes when proceedings are recorded on tape.
(c)(1) The Secretary shall provide any person with copies of
transcripts, minutes of Commission meetings, or transcriptions of
electronic recordings of Commission meetings, which disclose the
identity of each speaker, at the actual cost of transcription or
duplication.
(2) The Secretary shall not include items of discussion or testimony
determined by the Secretary to contain information which may be withheld
from the public for the reasons specified in paragraphs (b) (1) through
(9) of 201.36 in the copies furnished to the public in accordance with
paragraph (c)(1) of this section. The determination of the Secretary
shall be in conformity with a prior vote of the Commission under
201.36(d) to close a portion or portions of a meeting.
19 CFR 201.41 Subpart F -- National Security Information
Authority: Sec. 335, 72 Stat. 680, sec. 401, 76 Stat. 902; 19
U.S.C. 1335, 1802; E.O. 12356.
Source: 48 FR 5898, Feb. 9, 1983, unless otherwise noted.
19 CFR 201.42 Purpose and scope.
The following regulation supplements Executive Order 12356, National
Security Information, April 2, 1982, as it applies to the Commission.
19 CFR 201.43 Program.
The Director of Administration is designated as the official of the
Commission who is responsible for implementation and oversight of
information security programs and procedures, including ensuring
conformity with the provisions of Executive Order No. 12356. He shall
chair a committee, composed of himself and representatives of the
offices of the Secretary, General Counsel, Executive Liaison and Special
Adviser for Trade Agreements, and Operations, that will act on all
suggestions and complaints with respect to the Commission's
administration of the program. All questions, suggestions, and
complaints regarding all elements of the information security program
shall be directed to the Director of Administration.
19 CFR 201.44 Procedures.
(a) Mandatory declassification review. (1) Requests for
declassification and release of national security information in the
custody of the Commission shall be directed to the Secretary. Requests
must reasonably describe the information that is desired to be
declassified. All requests for declassification submitted pursuant to
the Freedom of Information Act shall be processed in accordance with the
provisions of that act and the applicable regulations of the Commission
(19 CFR 201.17 through 201.21).
(2) Because the Commission does not have original classification
authority and national security information in its custody has been
classified by another Federal agency, the Secretary shall refer all
requests for mandatory declassification review of classified information
to the originating Federal agency along with his recommendations.
Following consultation with the originating agency, the Secretary will
notify the requestor of the referral.
(b) Safeguarding. All classified materials shall be delivered to the
addressee or his designee immediately upon receipt at the Commission.
In the event that the addressee or his designee is not available to
receive the materials, they shall be delivered to the Secretary and
secured, unopened, in a combination safe located in his office until the
addressee or his designee is available. Under no circumstances shall
classified materials that cannot be delivered to the addressee or his
designee be stored other than in a GSA approved safe. Access to
classified materials at the Commission shall be limited to officers and
employees of the Commission on the basis of a favorable determination of
trustworthiness on the basis of appropriate personnel security
investigations and a need for access in the performance of official
duties.
(c) Reproduction. ''Top Secret'' documents may not be reproduced
without the consent of the originating agency unless otherwise marked by
that agency. Documents that have been classified ''Secret'' or
''Confidential'' with special dissemination orders may not be reproduced
without the permission of the Executive Liaison and Special Adviser for
Trade Agreements, and are subject to any limitations imposed by the
originator. Reproduced copies shall be subject to the same controls as
the original document. The Executive Liaison and Special Adviser for
Trade Agreements shall establish a system of recording the number and
distribution of copies reproduced from the original documents.
Reproduction for the purposes of mandatory review shall not be
restricted.
(d) Storage. All classified material shall be stored in GSA-approved
combination safes located at the Commission. The combinations shall be
changed as required by section 2001.43(b) of Information Security
Oversight Office Directive No. 1. The combinations shall be known only
by those employees possessing an appropriate security clearance who have
need for access in the performance of official duties.
(e) Employee education. The Director of Administration shall
establish for all employees who have been granted a security clearance
an information security education program that will advise them of the
handling, reproduction, and storage procedures for these materials. The
education program will also enable employees to familiarize themselves
with the Order and applicable directives of the Information Security
Oversight Office. New employees will be instructed in these procedures
as they enter employment with the Commission.
(f) Agency terminology. The use of the terms ''Top Secret,''
''Secret,'' and ''Confidential'' shall be limited to material classified
for national security purposes.
19 CFR 201.44 Subpart G -- Enforcement of Nondiscrimination on the
Basis of Handicap in Programs or Activities Conducted by the U.S.
International Trade Commission
Authority: 29 U.S.C. 794.
Source: 51 FR 4575, 4579, Feb. 5, 1986, unless otherwise noted.
19 CFR 201.101 Purpose.
This part effectuates section 119 of the Rehabilitation,
Comprehensive Services, and Developmental Disabilities Amendments of
1978, which amended section 504 of the Rehabilitation Act of 1973 to
prohibit discrimination on the basis of handicap in programs or
activities conducted by Executive agencies or the United States Postal
Service.
19 CFR 201.102 Application.
This part applies to all programs or activities conducted by the
agency.
19 CFR 201.103 Definitions.
For purposes of this part, the term --
Assistant Attorney General means the Assistant Attorney General,
Civil Rights Division, United States Department of Justice.
Auxiliary aids means services or devices that enable persons with
impaired sensory, manual, or speaking skills to have an equal
opportunity to participate in, and enjoy the benefits of, programs or
activities conducted by the agency. For example, auxiliary aids useful
for persons with impaired vision include readers, Brailled materials,
audio recordings, telecommunications devices and other similar services
and devices. Auxiliary aids useful for persons with impaired hearing
include telephone handset amplifiers, telephones compatible with hearing
aids, telecommunication devices for deaf persons (TDD's), interpreters,
notetakers, written materials, and other similar services and devices.
Complete complaint means a written statement that contains the
complainant's name and address and describes the agency's alleged
discriminatory action in sufficient detail to inform the agency of the
nature and date of the alleged violation of section 504. It shall be
signed by the complainant or by someone authorized to do so on his or
her behalf. Complaints filed on behalf of classes or third parties
shall describe or identify (by name, if possible) the alleged victims of
discrimination.
Facility means all or any portion of buildings, structures,
equipment, roads, walks, parking lots, rolling stock or other
conveyances, or other real or personal property.
Handicapped person means any person who has a physical or mental
impairment that substantially limits one or more major life activities,
has a record of such an impairment, or is regarded as having such an
impairment.
As used in this definition, the phrase:
(l) Physical or mental impairment includes --
(i) Any physiological disorder or condition, cosmetic disfigurement,
or anatomical loss affecting one or more of the following body systems:
Neurological; musculoskeletal; special sense organs; respiratory,
including speech organs; cardiovascular; reproductive; digestive;
genitourinary; hemic and lymphatic; skin; and endocrine; or
(ii) Any mental or psychological disorder, such as mental
retardation, organic brain syndrome, emotional or mental illness, and
specific learning disabilities. The term physical or mental impairment
includes, but is not limited to, such diseases and conditions as
orthopedic, visual, speech, and hearing impairments, cerebral palsy,
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease,
diabetes, mental retardation, emotional illness, and drug addition and
alcholism.
(2) Major life activities includes functions such as caring for one's
self, performing manual tasks, walking, seeing, hearing, speaking,
breathing, learning, and working.
(3) Has a record of such an impairment means has a history of, or has
been misclassified as having, a mental or physical impairment that
substantially limits one or more major life activities.
(4) Is regarded as having an impairment means --
(i) Has a physical or mental impairment that does not substantially
limit major life activities but is treated by the agency as constituting
such a limitation;
(ii) Has a physical or mental impairment that substantially limits
major life activities only as a result of the attitudes of others toward
such impairment; or
(iii) Has none of the impairments defined in subparagraph (1) of this
definition but is treated by the agency as having such an impairment.
Qualified handicapped person means --
(1) With respect to any agency program or activity under which a
person is required to perform services or to achieve a level of
accomplishment, a handicapped person who meets the essential eligibility
requirements and who can achieve the purpose of the program or activity
without modifications in the program or activity that the agency can
demonstrate would result in a fundamental alteration in its nature; or
(2) With respect to any other program or activity, a handicapped
person who meets the essential eligibility requirements for
participation in, or receipt of benefits from, that program or activity.
(3) Qualified handicapped person is defined for purposes of
employment in 29 CFR 1613.702(f), which is made applicable to this part
by 201.140.
Section 504 means section 504 of the Rehabilitation Act of 1973 (Pub.
L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617),
and the Rehabilitation, Comprehensive Services, and Developmental
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used
in this part, section 504 applies only to programs or activities
conducted by Executive agencies and not to federally assisted programs.
(51 FR 4575, 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986)
201.104 -- 201.109 (Reserved)
19 CFR 201.110 Self-evaluation.
(a) The agency shall, by April 9, 1987, evaluate its current policies
and practices, and the effects thereof, that do not or may not meet the
requirements of this part, and, to the extent modification of any such
policies and practices is required, the agency shall proceed to make the
necessary modifications.
(b) The agency shall provide an opportunity to interested persons,
including handicapped persons or organizations representing handicapped
persons, to participate in the self-evaluation process by submitting
comments (both oral and written).
(c) The agency shall, until three years following the completion of
the self-evaluation, maintain on file and make available for public
inspections:
(1) A description of areas examined and any problems identified, and
(2) A description of any modifications made.
19 CFR 201.111 Notice.
The agency shall make available to employees, applicants,
participants, beneficiaries, and other interested persons such
information regarding the provisions of this part and its applicability
to the programs or activities conducted by the agency, and make such
information available to them in such manner as the head of the agency
finds necessary to apprise such persons of the protections against
discrimination assured them by section 504 and this regulation.
201.112 -- 201.129 (Reserved)
19 CFR 201.130 General prohibitions against discrimination.
(a) No qualified handicapped person shall, on the basis of handicap,
be excluded from participation in, be denied the benefits of, or
otherwise be subjected to discrimination under any program or activity
conducted by the agency.
(b)(1) The agency, in providing any aid, benefit, or service, may
not, directly or through contractual, licensing, or other arrangements,
on the basis of handicap --
(i) Deny a qualified handicapped person the opportunity to
participate in or benefit from the aid, benefit, or service;
(ii) Afford a qualified handicapped person an opportunity to
participate in or benefit from the aid, benefit, or service that is not
equal to that afforded others;
(iii) Provide a qualified handicapped person with an aid, benefit, or
service that is not as effective in affording equal opportunity to
obtain the same result, to gain the same benefit, or to reach the same
level of achievement as that provided to others;
(iv) Provide different or separate aid, benefits, or services to
handicapped persons or to any class of handicapped persons than is
provided to others unless such action is necessary to provide qualified
handicapped persons with aid, benefits, or services that are as
effective as those provided to others;
(v) Deny a qualified handicapped person the opportunity to
participate as a member of planning or advisory boards; or
(vi) Otherwise limit a qualified handicapped person in the enjoyment
of any right, privilege, advantage, or opportunity enjoyed by others
receiving the aid, benefit, or service.
(2) The agency may not deny a qualified handicapped person the
opportunity to participate in programs or activities that are not
separate or different, despite the existence of permissibly separate or
different programs or activities.
(3) The agency may not, directly or through contractual or other
arrangements, utilize criteria or methods of administration the purpose
or effect of which would --
(i) Subject qualified handicapped persons to discrimination on the
basis of handicap; or
(ii) Defeat or substantially impair accomplishment of the objectives
of a program or activity with respect to handicapped persons.
(4) The agency may not, in determining the site or location of a
facility, make selections the purpose or effect of which would --
(i) Exclude handicapped persons from, deny them the benefits of, or
otherwise subject them to discrimination under any program or activity
conducted by the agency; or
(ii) Defeat or substantially impair the accomplishment of the
objectives of a program or activity with respect to handicapped persons.
(5) The agency, in the selection of procurement contractors, may not
use criteria that subject qualified handicapped persons to
discrimination on the basis of handicap.
(c) The exclusion of nonhandicapped persons from the benefits of a
program limited by Federal statute or Executive order to handicapped
persons or the exclusion of a specific class of handicapped persons from
a program limited by Federal statute or Executive order to a different
class of handicapped persons is not prohibited by this part.
(d) The agency shall administer programs and activities in the most
integrated setting appropriate to the needs of qualified handicapped
persons.
201.131 -- 201.139 (Reserved)
19 CFR 201.140 Employment.
No qualified handicapped person shall, on the basis of handicap, be
subjected to discrimination in employment under any program or activity
conducted by the agency. The definitions, requirements, and procedures
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as
established by the Equal Employment Opportunity Commission in 29 CFR
part 1613, shall apply to employment in federally conducted programs or
activities.
201.141 -- 201.148 (Reserved)
19 CFR 201.149 Program accessibility: Discrimination prohibited.
Except as otherwise provided in 201.150, no qualified handicapped
person shall, because the agency's facilities are inaccessible to or
unusable by handicapped persons, be denied the benefits of, be excluded
from participation in, or otherwise be subjected to discrimination under
any program or activity conducted by the agency.
19 CFR 201.150 Program accessibility: Existing facilities.
(a) General. The agency shall operate each program or activity so
that the program or activity, when viewed in its entirety, is readily
accessible to and usable by handicapped persons. This paragraph does
not --
(1) Necessarily require the agency to make each of its existing
facilities accessible to and usable by handicapped persons; or
(2) Require the agency to take any action that it can demonstrate
would result in a fundamental alteration in the nature of a program or
activity or in undue financial and administrative burdens. In those
circumstances where agency personnel believe that the proposed action
would fundamentally alter the program or activity or would result in
undue financial and administrative burdens, the agency has the burden of
proving that compliance with 201.150(a) would result in such alteration
or burdens. The decision that compliance would result in such
alteration or burdens must be made by the agency head or his or her
designee after considering all agency resources available for use in the
funding and operation of the conducted program or activity, and must be
accompanied by a written statement of the reasons for reaching that
conclusion. If an action would result in such an alteration or such
burdens, the agency shall take any other action that would not result in
such an alteration or such burdens but would nevertheless ensure that
handicapped persons receive the benefits and services of the program or
activity.
(b) Methods. The agency may comply with the requirements of this
section through such means as redesign of equipment, reassignment of
services to accessible buildings, assignment of aides to beneficiaries,
home visits, delivery of services at alternate accessible sites,
alteration of existing facilities and construction of new facilities,
use of accessible rolling stock, or any other methods that result in
making its programs or activities readily accessible to and usable by
handicapped persons. The agency is not required to make structural
changes in existing facilities where other methods are effective in
achieving compliance with this section. The agency, in making
alterations to existing buildings, shall meet accessibility requirements
to the extent compelled by the Architectural Barriers Act of 1968, as
amended (42 U.S.C. 4151-4157), and any regulations implementing it. In
choosing among available methods for meeting the requirements of this
section, the agency shall give priority to those methods that offer
programs and activities to qualified handicapped persons in the most
integrated setting appropriate.
(c) Time period for compliance. The agency shall comply with the
obligations established under this section by June 6, 1986, except that
where structural changes in facilities are undertaken, such changes
shall be made by April 7, 1989, but in any event as expeditiously as
possible.
(d) Transition plan. In the event that structural changes to
facilities will be undertaken to achieve program accessibility, the
agency shall develop, by October 7, 1986, a transition plan setting
forth the steps necessary to complete such changes. The agency shall
provide an opportunity to interested persons, including handicapped
persons or organizations representing handicapped persons, to
participate in the development of the transition plan by submitting
comments (both oral and written). A copy of the transition plan shall
be made available for public inspection. The plan shall, at a minimum
--
(1) Identify physical obstacles in the agency's facilities that limit
the accessibility of its programs or activities to handicapped persons;
(2) Describe in detail the methods that will be used to make the
facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve
compliance with this section and, if the time period of the transition
plan is longer than one year, identify steps that will be taken during
each year of the transition period; and
(4) Indicate the official responsible for implementation of the plan.
(51 FR 4575, 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986)
19 CFR 201.151 Program accessibility: New construction and
alterations.
Each building or part of a building that is constructed or altered
by, on behalf of, or for the use of the agency shall be designed,
constructed, or altered so as to be readily accessible to and usable by
handicapped persons. The definitions, requirements, and standards of
the Architectural Barriers Act (42 U.S.C. 4151-4157), as established in
41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this
section.
201.152 -- 201.159 (Reserved)
19 CFR 201.160 Communications.
(a) The agency shall take appropriate steps to ensure effective
communication with applicants, participants, personnel of other Federal
entities, and members of the public.
(1) The agency shall furnish appropriate auxiliary aids where
necessary to afford a handicapped person an equal opportunity to
participate in, and enjoy the benefits of, a program or activity
conducted by the agency.
(i) In determining what type of auxiliary aid is necessary, the
agency shall give primary consideration to the requests of the
handicapped person.
(ii) The agency need not provide individually prescribed devices,
readers for personal use or study, or other devices of a personal
nature.
(2) Where the agency communicates with applicants and beneficiaries
by telephone, telecommunication devices for deaf persons (TDD's) or
equally effective telecommunication systems shall be used.
(b) The agency shall ensure that interested persons, including
persons with impaired vision or hearing, can obtain information as to
the existence and location of accessible services, activities, and
facilities.
(c) The agency shall provide signage at a primary entrance to each of
its inaccessible facilities, directing users to a location at which they
can obtain information about accessible facilities. The international
symbol for accessibility shall be used at each primary entrance of an
accessible facility.
(d) This section does not require the agency to take any action that
it can demonstrate would result in a fundamental alteration in the
nature of a program or activity or in undue financial and administrative
burdens. In those circumstances where agency personnel believe that the
proposed action would fundamentally alter the program or activity or
would result in undue financial and administrative burdens, the agency
has the burden of proving that compliance with 201.160 would result in
such alteration or burdens. The decision that compliance would result
in such alteration or burdens must be made by the agency head or his or
her designee after considering all agency resources available for use in
the funding and operation of the conducted program or activity, and must
be accompanied by a written statement of the reasons for reaching that
conclusion. If an action required to comply with this section would
result in such an alteration or such burdens, the agency shall take any
other action that would not result in such an alteration or such burdens
but would nevertheless ensure that, to the maximum extent possible,
handicapped persons receive the benefits and services of the program or
activity.
201.161 -- 201.169 (Reserved)
19 CFR 201.170 Compliance procedures.
(a) Except as provided in paragraph (b) of this section, this section
applies to all allegations of discrimination on the basis of handicap in
programs or activities conducted by the agency.
(b) The agency shall process complaints alleging violations of
section 504 with respect to employment according to the procedures
established by the Equal Employment Opportunity Commission in 29 CFR
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29
U.S.C. 791).
(c) EEO Director, Office of Operations, Office of Data Systems,
Library Division shall be responsible for coordinating implementation of
this section. Complaints may be sent to Handicap Coordinator, Office of
Operations, Office of Investigations, 500 E Street SW., Washington, DC
20436.
(d) The agency shall accept and investigate all complete complaints
for which it has jurisdiction. All complete complaints must be filed
within 180 days of the alleged act of discrimination. The agency may
extend this time period for good cause.
(e) If the agency receives a complaint over which it does not have
jurisdiction, it shall promptly notify the complainant and shall make
reasonable efforts to refer the complaint to the appropriate government
entity.
(f) The agency shall notify the Architectural and Transportation
Barriers Compliance Board upon receipt of any complaint alleging that a
building or facility that is subject to the Architectural Barriers Act
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily
accessible to and usable by handicapped persons.
(g) Within 180 days of the receipt of a complete complaint for which
it has jurisdiction, the agency shall notify the complainant of the
results of the investigation in a letter containing --
(1) Findings of fact and conclusions of law;
(2) A description of a remedy for each violation found;
(3) A notice of the right to appeal.
(h) Appeals of the findings of fact and conclusions of law or
remedies must be filed by the complainant within 90 days of receipt from
the agency of the letter required by 201.170(g). The agency may extend
this time for good cause.
(i) Timely appeals shall be accepted and processed by the head of the
agency.
(j) The head of the agency shall notify the complainant of the
results of the appeal within 60 days of the receipt of the request. If
the head of the agency determines that additional information is needed
from the complainant, he or she shall have 60 days from the date of
receipt of the additional information to make his or her determination
on the appeal.
(k) The time limits cited in paragraphs (g) and (j) of this section
may be extended with the permission of the Assistant Attorney General.
(l) The agency may delegate its authority for conducting complaint
investigations to other Federal agencies, except that the authority for
making the final determination may not be delegated to another agency.
(51 FR 4575, 4579, Feb. 5, 1986, as amended at 51 FR 4576, Feb. 5,
1986)
201.171 -- 201.999 (Reserved)
19 CFR 201.170 SUBCHAPTER B -- NONADJUDICATIVE INVESTIGATIONS
19 CFR 201.170 PART 202 -- INVESTIGATIONS OF COSTS OF PRODUCTION
19 CFR 201.170 Pt. 202
Sec.
202.1 Applicability of part.
202.2 Applications.
202.3 Preliminary inquiry.
202.4 Public hearing.
202.5 Type of information to be developed at hearing.
202.6 Reports.
Authority: Sec. 335, 72 Stat. 680; 19 U.S.C. 1335.
Source: 27 FR 12120, Dec. 7, 1962, unless otherwise noted.
19 CFR 202.1 Applicability of part.
This part 202 applies specifically to investigations under section
366 of the Tariff Act (19 U.S.C. 1336).1 For other applicable rules see
part 201 of this chapter.
1Section 336(a) of the Tariff Act provides in part that ''(1) upon
request of the President, or (2) upon resolution of either or both
Houses of Congress, or (3) upon its own motion, or (4) when in the
judgment of the Commission there is good and sufficient reason therefor,
upon application of any interested party, (the commission) shall
investigate the differences in the costs of production of any domestic
article and of any like or similar foreign article''. (19 U.S.C. 1336.)
The provisions of section 336 of the Tariff Act may not be applied to
any article with respect to the importation of which into the United
States a foreign trade agreement has been concluded under the Trade
Agreements Act of 1934, as amended, or the Trade Expansion Act. (19
U.S.C. 1352(a)).
19 CFR 202.2 Applications.
(a) Who may file. Applications for an investigation to which this
part 202 relates may be filed by any firm, association of firms, or
corporation engaged in the production of a domestic article, or by any
duly authorized representative of the foregoing.
(b) Requirements for applications. In addition to conforming with
the requirements of 201.8 of this chapter, applications under this part
202 shall include the following: (1) A clear statement that they are
requests for investigations for the purposes of section 336; (2) the
name or description of the article concerning which an investigation is
sought; (3) a reference to the tariff provision or provisions
applicable to such article; and (4) a statement indicating whether an
increase or a decrease in the rate of duty is sought.
(c) Supporting information. The applicant must file with his
application such supporting information as may be in his possession. As
far as practicable, information of the following character should be
furnished:
(1) Comparability of the domestic and foreign articles and the degree
of competition between them.
(2) Trend in recent years of (i) domestic production, (ii) domestic
sales, (iii) imports, (iv) costs of production, and (v) prices.
(3) Evidence of difference between domestic and foreign costs of
production of the articles involved.
(4) Areas of greatest competition between the imported and domestic
products and the principal market or markets in the United States.
(5) Other relevant factors that constitute, in the opinion of the
applicant, an advantage or disadvantage in competition, and any other
information which the applicant believes the Commission should consider.
19 CFR 202.3 Preliminary inquiry.
Upon the receipt of an application properly filed, the Commission
will make a preliminary inquiry for the purpose of determining whether
there is good and sufficient reason for a full investigation. If such
determination is in the affirmative, a full investigation will be
instituted.
19 CFR 202.4 Public hearing.
A public hearing will be held in connection with each full
investigation to which this part 202 relates.
19 CFR 202.5 Type of information to be developed at hearing.
Without excluding other factors, but with a view to assisting parties
interested to present information necessary for the formulation of
findings required by the statute, the Commission will expect attention
in the hearing to be concentrated upon facts relating to:
(a) The degree of competition between the foreign and domestic
articles in the markets of the United States.
(b) The degree of likeness or similarity between grades, classes, and
price groups of the American product and the imported article.
(c) Costs of production and importation. Statements of average cost
of production, domestic and, so far as known, foreign, may be submitted
subject to verification and review in the Commission's investigation.
Such statements should include not only the direct costs for materials
and labor, commonly termed prime cost, but also indirect costs such as
indirect labor, overhead factory expenses, fixed charges, the portion of
general and administrative expense chargeable to manufacture, imputed
interest on investment equity, and transportation to markets. For the
foreign product the expenses (other than duties) incident to importation
are also important. Any information which may be available bearing on
the general levels of domestic and foreign costs of production, the
differentials between particular elements of domestic and foreign costs,
and the extent to which invoice or wholesale prices are reliable
evidence of foreign costs, will be pertinent.
(d) Other significant advantages or disadvantages in competition.
19 CFR 202.6 Reports.
After the completion of its investigation, the Commission will
incorporate its findings in a report, and the report will be transmitted
to the President.
19 CFR 202.6 PART 204 -- INVESTIGATIONS OF EFFECTS OF IMPORTS ON
AGRICULTURAL PROGRAMS
Sec.
204.1 Applicability of part.
204.2 Investigations.
204.3 Public hearings.
204.4 Supplemental investigations.
204.5 Reports.
Authority: Sec. 335, 72 Stat. 680; 19 U.S.C. 1335.
Source: 27 FR 12121, Dec. 7, 1962, unless otherwise noted.
19 CFR 204.1 Applicability of part.
This part 204 applies specifically to investigations under section 22
of the Agricultural Adjustment Act, as amended (7 U.S.C. 624).5 For
other applicable rules see part 201 of this chapter.
5Section 22 provides in part as follows:
''(a) Whenever the Secretary of Agriculture has reason to believe
that any article or articles are being or are practically certain to be
imported into the United States under such conditions and in such
quantities as to render or tend to render ineffective, or materially
interfere with * * * any loan, purchase, or other program or operation
undertaken by the Department of Agriculture, or any agency operating
under its direction, with respect to any agricultural commodity or
product thereof, or to reduce substantially the amount of any product
processed in the United States from any agricultural commodity or
product thereof with respect to which any such program or operation is
being undertaken he shall so advise the President, and, if the President
agrees that there is reason for such belief, the President shall cause
an immediate investigation to be made by the United States Tariff
Commission, which shall give precedence to investigations under this
section to determine such facts. Such investigation shall be made after
due notice and opportunity for hearing to interested parties, and shall
be conducted subject to such regulations as the President shall specify.
* * * * *
''(d) After investigation, report, finding and declaration in the
manner provided in the case of a proclamation issued pursuant to
subsection (b) of this section, any proclamation or provision of such
proclamation may be suspended or terminated by the President whenever he
finds and proclaims that the circumstances requiring the proclamation or
provision thereof no longer exist or may be modified by the President
whenever he finds and proclaims that changed circumstances require such
modification to carry out the purposes of this section.'' (7 U.S.C.
624.)
Regulations of the President are set forth in Executive Order 7233 of
November 23, 1935.
19 CFR 204.2 Investigations.
The Commission will make an investigation for the purposes of section
22(a) of the Agricultural Adjustment Act, as amended, only upon request
of the President. 6
6Applications for investigations for the purposes of section 22 of
this Agricultural Adjustment Act, as amended, must be filed with the
Secretary of Agriculture (Executive Order 7233).
19 CFR 204.3 Public hearings.
A public hearing will be held in connection with each investigation
to which this part 204 relates. The Foreign Agricultural Service of the
U.S. Department of Agriculture may have a representative or
representatives at each hearing who shall have the privilege of
examining witnesses.
19 CFR 204.4 Supplemental investigations.
An investigation for the purposes of section 22(d) of the
Agricultural Adjustment Act, as amended, will be made upon request of
the President, or upon the Commission's own motion when in its judgment
there is good and sufficient reason therefor. A public hearing will be
held in connection with each such supplemental investigation.
19 CFR 204.5 Reports.
After completion of its investigation, the Commission will transmit
to the President a report of the results thereof, including its findings
and recommendations based thereon, and a statement of the steps taken in
the investigation, together with a transcript of the evidence submitted
at the hearing. A copy of such report will be transmitted to the
Secretary of Agriculture.
(49 FR 32571, Aug. 15, 1984)
19 CFR 204.5 PART 205 -- INVESTIGATIONS TO DETERMINE THE PROBABLE ECONOMIC EFFECT ON THE ECONOMY OF THE UNITED STATES OF PROPOSED MODIFICATIONS OF DUTIES OR OF ANY BARRIER TO (OR OTHER DISTORTION OF) INTERNATIONAL TRADE OR OF TAKING RETALIATORY ACTIONS TO OBTAIN THE ELIMINATION OF UNJUSTIFIABLE OR UNREASONABLE FOREIGN ACTS OR POLICIES WHICH RESTRICT U.S. COMMERCE
19 CFR 204.5 Pt. 205
Sec.
205.1 Applicability of part.
19 CFR 204.5 Subpart A -- Investigations To Determine the Probable
Economic Effect of Modifications of United States Duties or of Any
Barrier To (or Other Distortion of) International Trade on Domestic
Industries and on Consumers
205.2 Applicability of subpart.
205.3 Investigations under sections 131 and 503 of the Trade Act of
1974.
205.4 (Reserved)
19 CFR 204.5 Subpart B -- Investigations Concerning the Probable Impact
on the Economy of the United States of the President's Taking
Retaliatory Action To Obtain the Elimination of Unjustifiable or
Unreasonable Foreign Acts or Policies Which Restrict U.S. Commerce
205.5 Applicability of subpart.
205.6 Investigations under section 301(e)(3) of the Trade Act of
1974.
Authority: Sec. 335, Tariff Act of 1930 (72 Stat. 680; 19 U.S.C.
1335); sec. 603, Trade Act of 1974 (88 Stat. 2073); (19 U.S.C. 2482).
Source: 42 FR 40426, Aug. 10, 1977, unless otherwise noted.
19 CFR 205.1 Applicability of part.
This part 205 applies to functions and duties of the Commission under
sections 131, 301(e)(3), and 503(a) of the Trade Act of 1974. For other
applicable rules, see part 201 of this chapter.
19 CFR 205.1 Subpart A -- Investigations To Determine the Probable Economic Effect of Modifications of United States Duties or of Any Barrier to (or Other Distortion of) International Trade on Domestic Industries and on Consumers
19 CFR 205.2 Applicability of subpart.
This subpart A of part 205 applies to investigations for the purposes
of section 131(a)-(b), 131(c), and 503 of the Trade Act of 1974. For
other applicable rules, see part 201 of this chapter.
19 CFR 205.3 Investigations under sections 131 and 503 of the Trade Act
of 1974.
(a) Purpose of investigations -- (1) Sections 131(a)-(b) and 503(a).
Upon the receipt of a list of articles from the President or from the
Special Representative for Trade Negotiations as provided in section
131(a) or 503(a), and in Executive Order No. 11846, as amended, which
may be considered for modification of United States duties, or as
eligible articles for duty-free treatment under the generalized system
of preferences, respectively, the Commission shall initiate an
investigation to obtain information pertinent to the fomulation of its
advice to the President under section 131(b) with respect to such
articles to assist him in making an informed judgment as to the impact
which might be caused by such duty modifications or duty-free treatment
on U.S. manufacturing, agriculture, mining, fishing, labor, and
consumers, including whether any reductions in rates of duty should take
place over a period longer than the minimum periods provided by section
109(a) of the Trade Act of 1974 (88 Stat. 1985; 19 U.S.C. 2119).
(2) Section 131(c). Upon the receipt of a request from the President
or from the Special Representative for Trade Negotiations as provided in
section 131(c) and in Executive Order No. 11846, as amended, to assist
him in his determination of whether to enter into any trade agreement
under section 102, the Commission shall institute an investigation to
obtain information pertinent to the formulation of its views with
respect to the probable economic effects of modifications of any barrier
to (or other distortion of) international trade on domestic industries
and purchasers and on prices and quantities of articles in the United
States.
(b) Institution and notice of investigation. An investigation to
which this subpart A relates will be instituted promptly after the
receipt from the President or the Special Representative for Trade
Negotiations of (1) a list of articles which may be considered for duty
modifications or duty-free treatment, or (2) a request for an
investigation and report concerning the probable economic effects of
modifications of any barrier to (or other distortion of) international
trade.
(c) Hearings. Public hearings will be held in connection with every
investigation to which this subpart A relates. For other applicable
rules, see 201.11 of this chapter.
(d) Report to the President. After the completion of its
investigation, the Commission will incorporate its advice or views in a
report which together with hearing transcripts, briefs and other
information will be transmitted to the President through the Special
Representive for Trade Negotiations.
205.4 (Reserved)
19 CFR 205.3 Subpart B -- Investigations Concerning the Probable Impact on the Economy of the United States of the President's Taking Retaliatory Action To Obtain the Elimination of Unjustifiable or Unreasonable Foreign Acts or Policies Which Restrict U.S. Commerce
19 CFR 205.5 Applicability of subpart.
This subpart B of part 205 applies to investigations for the purpose
of section 301(e)(3) of the Trade Act of 1974. For other applicable
rules, see part 201 of this chapter.
19 CFR 205.6 Investigations under section 301(e)(3) of the Trade Act of
1974.
(a) Purpose of investigation. The purpose of an investigation by the
Commission is to provide the President with its views pursuant to
section 301(e)(3) as to the probable impact on the economy of the United
States of imposing retaliatory restrictions on imports into the United
States from countries or foreign instrumentalities which maintain
restrictions against U.S. exports.
(b) Institution and notice of investigation. An investigation to
which this subpart B relates will be instituted promptly after the
receipt from the President of a request for the views of the Commission
with regard to the matters indicated in paragraph (a) of this section.
(c) Public hearings. If, in the judgment of the Commission, there is
good and sufficient reason therefor, the Commission, in the course of
its investigation, will hold a public hearing and afford interested
parties opportunity to appear and be heard at such hearing. If no
notice of public hearing issues concurrently with a notice of
investigation, any interested party who believes that a public hearing
should be held may, within thirty (30) days after the date of
publication in the Federal Register of the notice of investigation,
submit a request in writing to the Secretary of the Commission that a
public hearing be held, stating the reasons for such request.
(d) Written statements. Any interested party may submit to the
Commission a written statement of information pertinent to the subject
matter of such investigation not later than thirty (30) days after a
notice of investigation under paragraph (b) of this section is published
in the Federal Register. If a public hearing is held in the
investigation, a statement may be received in lieu of or in addition to
appearance at the hearing. Statements shall conform with the
requirements for documents set forth in 201.6 and 201.8 of this
chapter.
(e) Report to the President. After the completion of its
investigation, the Commission will incorporate its views in a report
which will be transmitted promptly to the President.
19 CFR 205.6 PART 206 -- INVESTIGATIONS RELATING TO IMPORT INJURY TO INDUSTRIES, MARKET DISRUPTION, AND REVIEW OF RELIEF ACTIONS
19 CFR 205.6 Pt. 206
Sec.
206.1 Applicability of part.
19 CFR 205.6 Subpart A -- General
206.2 Identification of type of petition.
206.3 Institution of investigations.
206.4 Notification of other agencies.
206.5 Public hearing.
206.6 Report to the President.
19 CFR 205.6 Subpart B -- Investigations for Relief From Import
Competition
206.11 Applicability of subpart.
206.12 Definitions applicable to Subpart B.
206.13 Who may file a petition.
206.14 Contents of petition.
206.15 Industry adjustment plan and commitments.
206.16 Time for determinations, reporting.
206.17 Public report.
19 CFR 205.6 Subpart C -- Investigations for Relief From Market
Disruption
206.21 Applicability of subpart.
206.22 Who may file a petition.
206.23 Contents of petition.
206.24 Time for reporting.
206.25 Public report.
19 CFR 205.6 Subpart D -- Monitoring; Advice As to Effect of
Extension, Reduction, Modification, or Termination of Relief Action
206.31 Applicability of subpart.
206.32 Monitoring.
206.33 Investigations to advise the President as to the probable
economic effect of extension, reduction, modification, or termination of
action.
206.34 Investigations to evaluate the effectiveness of relief.
Authority: Sec. 335, Tariff Act 1930 (72 Stat. 680; 19 U.S.C.
1335); Sec. 603, Trade Act of 1974 (88 Stat. 2073; 19 U.S.C. 2482).
Source: 53 FR 33036, Aug. 29, 1988 (interim), unless otherwise
noted.
19 CFR 206.1 Applicability of part.
This part 206 applies specifically to functions and duties of the
Commission under sections 201-202, 204, and 406 of the Trade Act of
1974, as amended (19 U.S.C. 2251 et seq., 2436) (hereinafter Trade Act).
For other rules of general application see part 201 of this chapter.
Subpart A of this part sets forth rules generally applicable to
investigations conducted under these provisions of the Trade Act. Each
of subparts B and C of this part sets forth rules specifically
applicable to petitions and investigations under sections 202 and 406,
respectively, of the Trade Act. subpart D of this part sets forth rules
specifically applicable to functions and duties under section 204 of the
Trade Act.
19 CFR 206.1 Subpart A -- General
19 CFR 206.2 Identification of type of petition.
Each petition under this part 206 shall state clearly on the first
page thereof ''This is a petition under section (202 or 406, as the case
may be) of the Trade Act of 1974 and subpart (B or C, as the case may
be) of part 206 of the rules of practice and procedure of the United
States International Trade Commission''.
19 CFR 206.3 Institution of investigations.
Promptly after the receipt of a petition under this part 206,
properly filed, the Commission will institute an appropriate
investigation and will cause a notice thereof to be published in the
Federal Register.
19 CFR 206.4 Notification of other agencies.
The Commission will promptly transmit copies of petitions filed and
notification of investigations instituted to the Office of the United
States Trade Representative (hereinafter USTR), the Secretary of
Commerce, the Secretary of Labor, and other Federal agencies directly
concerned.
19 CFR 206.5 Public hearings.
Public hearings on the subject of injury and remedy (if necessary)
will be held in connection with each investigation instituted under this
part after reasonable notice thereof has been caused to be published in
the Federal Register. All interested parties and consumers will be
afforded an opportunity to be present, to present evidence, to comment
on the adjustment plan, if any, submitted in the case of an
investigation under section 202(b), and to be heard at such hearings. A
hearing on remedy will not be held if the Commission has made a negative
determination on the question of injury.
19 CFR 206.6 Report to the President.
The Commission will include in its report to the President the
following:
(a) The determination with respect to whether the criteria for relief
provided in section 202(b) or section 406(a)(1) of the Trade Act, as the
case may be, have been satisfied, and an explanation of the basis for
the determination;
(b) If the determination under section 202(b) or section 406(a)(1) is
affirmative, the recommendations for action and an explanation of the
basis for each recommendation;
(c) Any dissenting or separate views by members of the Commission
regarding the determination and any recommendations;
(d) In the case of a determination made under section 202(b):
(1) The findings with respect to the results of an examination of the
factors other than imports which may be a cause of serious injury or
threat thereof to the domestic industry;
(2) A copy of the adjustment plan, if any, submitted by the
petitioner;
(3) Commitments submitted and information obtained by the Commission
regarding steps that firms and workers in the domestic industry are
taking, or plan to take, to facilitate positive adjustment to import
competition;
(4) A description of the short- and long-term effects that
implementation of the action recommended is likely to have on the
petitioning domestic industry, other domestic industries, and consumers;
and
(5) A description of the short- and long-term effects of not taking
the recommended action on the petitioning domestic industry, its workers
and communities where production facilities of such industry are
located, and other domestic industries.
19 CFR 206.6 Subpart B -- Investigations for Relief from Import Competition
19 CFR 206.11 Applicability of subpart.
This subpart B applies specifically to investigations under section
202(b) of the Trade Act. For other applicable rules, see subpart A of
this part and part 201 of this chapter.
19 CFR 206.12 Definitions applicable to subpart B.
For the purposes of this part, the following terms have the meanings
hereby assigned to them:
(a) Adjustment plan means a plan to facilitate positive adjustment to
import competition submitted by a petitioner to the Commission and USTR
either with the petition or at any time within 120 days after the date
of filing of the petition.
(b) Commitment means commitments that a firm in the domestic
industry, a certified or recognized union or group of workers in the
domestic industry, a local community, a trade association representing
the domestic industry, or any other person or group of persons submits
to the Commission regarding actions such persons and entities intend to
take to facilitate positive adjustment to import competition;
(c) Critical circumstances mean such circumstances as are described
in section 202(b)(3)(B) of the Trade Act;
(d) Perishable agricultural product means any agricultural article,
including livestock, for which the USTR considers action to be
appropriate after taking into account the factors set forth in section
202(d)(5)(A) of the Trade Act.
19 CFR 206.13 Who may file a petition.
(a) In general. A petition under this subpart B may be filed by an
entity, including a trade association, firm, certified or recognized
union, or group of workers, that is representative of a domestic
industry producing an article like or directly competitive with a
foreign article that is allegedly being imported into the United States
in such increased quantities as to be a substantial cause of serious
injury, or the threat thereof, to such domestic industry.
(b) Reinvestigation within 1 year. Except for good cause determined
by the Commission to exist, no investigation for the purposes of section
202 of the Trade Act shall be made with respect to the same subject
matter as a previous investigation under this section unless 1 year has
elaped since the Commission made its report to the President of the
results of such previous investigation.
(c) Perishable agricultural product. An entity of the type described
in (a) of this section that represents a domestic industry producing a
perishable agricultural product may petition for provisional relief with
respect to such product only if it has previously filed a request with
USTR for the monitoring of imports of that product, USTR has requested
that the Commission monitor and investigate imports of such product, and
such product has been subject to monitoring by the Commission for not
less than 90 days as of the date the allegation of injury is included in
the petition.
19 CFR 206.14 Contents of petition.
A petition under this subpart B shall include specific information in
support of the claim that an article is being imported into the United
States in such increased quantities as to be a substantial cause of
serious injury, or the threat thereof, to the domestic industry
producing an article like or directly competitive with the imported
article. Such petition shall state whether critical circumstances are
alleged and whether provisional relief is sought because the imported
article is a perishable agricultural product. In addition, such
petition shall, to the extent practicable, include the following
information:
(a) Product description. The name and description of the imported
article concerned, specifying the United States tariff provision under
which such article is classified and the current tariff treatment
thereof, and the name and description of the like or directly
competitive domestic article concerned;
(b) Representativeness. (1) The names and addresses of the firms
represented in the petition and/or the firms employing or previously
employing the workers represented in the petition and the locations of
their establishments in which the domestic article is produced; (2) the
percentage of domestic production of the like or directly competitive
domestic article that such represented firms and/or workers account for
and basis for claiming that such firms and/or workers are representative
of an industry; and (3) the names and locations of all other producers
of the domestic article known to the petitioner;
(c) Import data. Import data for at least each of the most recent 5
full years which form the basis of the claim that the article concerned
is being imported in increased quantities, either actual or relative to
domestic production;
(d) Domestic production data. Data on total U.S. production of the
domestic article for each full year for which data are provided pursuant
to paragraph (c) of this section;
(e) Data showing injury. Quantitative data indicating the nature and
extent of injury to the domestic industry concerned:
(1) With respect to serious injury, data indicating:
(i) A significant idling of production facilities in the industry,
including data indicating plant closings or the underutilization of
production capacity;
(ii) The inability of a significant number of firms to carry out
domestic production operations at a reasonable level of profit; and
(iii) Significant unemployment or underemployment within the
industry; and/or
(2) With respect to the threat of serious injury, data relating to:
(i) A decline in sales or market share, a higher and growing
inventory (whether maintained by domestic producers, importers,
wholesalers, or retailers), and a downward trend in production, profits,
wages, or employment (or increasing underemployment);
(ii) The extent to which firms in the industry are unable to generate
adequate capital to finance the modernization of their domestic plants
and equipment, or are unable to maintain existing levels of expenditures
for research and development; and
(iii) The extent to which the U.S. market is the focal point for the
diversion of exports of the article concerned by reason of restraints on
exports of such article to, or on imports of such article into, third
country markets;
(f) Cause of injury. An enumeration and description of the causes
believed to be resulting in the injury, or threat thereof, described
under paragraph (e) of this section, and a statement regarding the
extent to which increased imports, either actual or relative to domestic
production, of the imported article are believed to be such a cause,
supported by pertinent data;
(g) Relief sought and purpose thereof. A statement describing the
import relief sought, including the type, amount, and duration, and the
specific purposes therefor, which may include facilitating the orderly
transfer of resources to more productive pursuits, enhancing
competitiveness, or other means of adjustment to new conditions of
competition;
(h) Efforts to compete. A statement on the efforts being taken, or
planned to be taken, or both, by firms and workers in the industry to
make a positive adjustment to import competition.
19 CFR 206.15 Industry adjustment plan and commitments.
(a) Adjustment plan. A petitioner may submit to the Commission,
either with the petition or at any time within 120 days after the date
of filing of the petition, a plan to facilitate positive adjustment to
import competition.
(b) Commitments. If the Commission makes an affirmative injury
determination, any firm in the domestic industry, certified or
recognized union or group of workers in the domestic industry, local
community, trade association representing the domestic industry, or any
other person or group of persons may, individually, submit to the
Commission commitments regarding actions such persons and entities
intend to take to facilitate positive adjustment to import competition.
19 CFR 206.16 Time for determinations, reporting.
(a) In general. The Commission will make its determination with
respect to injury within 120 days after the date on which the petition
is filed, the request or resolution is received, or the motion is
adopted, as the case may be, except that if the Commission determines
before the 100th day that the investigation is extraordinarily
complicated, the Commission will make its determination within 150 days.
The Commission will make its report to the President at the earliest
practicable time, but not later than 180 days after the date on which
the petition is filed, the request or resolution is received, or the
motion is adopted, as the case may be.
(b) Perishable agricultural product. In the case of a request in a
petition for provisional relief with respect to a perishable
agricultural product that has been the subject of monitoring by the
Commission, the Commission will report its determination and any finding
to the President not later than 21 days after the date on which the
request for provisional relief is received.
(c) Critical circumstances. If petitioner alleges the existence of
critical circumstances in the petition or on or before the 90th day
after the day on which the petition was filed, the Commission will
report its determination regarding such allegation and any finding on or
before the 120th day after such filing date. In the event petitioner
alleges such circumstances after the 90th day and on or before the 150th
day after such filing date, the Commission will report its determination
regarding such allegation and any finding on or before the date its
report is submitted to the President.
19 CFR 206.17 Public report.
Upon making a report to the President of the results of an
investigation to which the subpart B relates, the Commission will make
such report public (with the exception of information which the
Commission determines to be confidential) and cause a summary thereof to
be published in the Federal Register.
19 CFR 206.17 Subpart C -- Investigations for Relief from Market Disruption
19 CFR 206.21 Applicability of subpart.
This subpart C applies specifically to investigations under section
406(a) of the Trade Act. For other applicable rules, see subpart A of
this part and part 201 of this chapter.
19 CFR 206.22 Who may file a petition.
A petition under this subpart C may be filed by an entity, including
a trade association, firm, certified or recognized union, or group of
workers, that is representative of a domestic industry producing an
article with respect to which there are imports of a like or directly
competitive article which is the product of a Communist country, which
imports, allegedly, are increasing rapidly, either absolutely or
relative to domestic production, so as to be a significant cause of a
material injury, or the threat thereof, to such domestic industry.
19 CFR 206.23 Contents of petition.
A petition under this subpart C shall include specific information in
support of the claim that imports of an article the product of a
Communist country which are like or directly competitive with an article
produced by a domestic industry, are increasing rapidly, either
absolutely or relative to domestic production, so as to be a significant
cause of material injury, or the threat thereof, to such domestic
industry. In addition, such petition shall, to the extent practicable,
include the following information:
(a) Product description. The name and description of the imported
article concerned, specifying the United States tariff provision under
which such article is classified and the current tariff treatment
thereof, and the name and description of the like or directly
competitive domestic article concerned;
(b) Representativeness. (1) The names and addresses of the firms
represented in the petition and/or the firms employing or previously
employing the workers represented in the petition and the locations of
their establishments in which the domestic article is produced; (2) the
percentage of domestic production of the like or directly competitive
domestic article that such represented firms and/or workers account for
and the basis for asserting that petitioner is representative of an
industry; and (3) the names and locations of all other producers of the
domestic article known to the petitioner;
(c) Import data. Import data for at least each of the most recent 5
full years which form the basis of the claim that imports from a
Communist country of an article like or directly competitive with the
article produced by the domestic industry concerned are increasing
rapidly, either absolutely or relative to domestic production;
(d) Domestic production data. Data on total U.S. production of the
domestic article for each full year for which data are provided pursuant
to subsection (c) of this section;
(e) Data showing injury. Quantitative data indicating the nature and
extent of injury to the domestic industry concerned:
(1) With respect to material injury, data indicating:
(i) An idling of production facilities in the industry, including
data indicating plant closings or the underutilization of production
capacity;
(ii) The inability of a number of firms to carry out domestic
production operations at a reasonable level of profit; and
(iii) Unemployment or underemployment within the industry; and/or
(2) With respect to the threat of material injury, data relating to:
(i) A decline in sales or market share, a higher and growing
inventory (whether maintained by domestic producers, importers,
wholesalers, or retailers), and a downward trend in production, profits,
wages, or employment (or increasing underemployment);
(ii) The extent to which firms in the industry are unable to generate
adequate capital to finance the modernization of their domestic plants
and equipment, or are unable to maintain existing levels of expenditures
for research and development; and
(iii) The extent to which the U.S. market is the focal point for the
diversion of exports of the article concerned by reason of restraints on
exports of such article to, or on imports of such article into, third
country markets;
(f) Cause of injury. An enumeration and description of the causes
believed to be resulting in the material injury, or threat thereof,
described in paragraph (e) of this section; information relating to the
effect of imports of the subject merchandise on prices in the United
States for like or directly competitive articles; evidence of
disruptive pricing practices, or other efforts to unfairly manage trade
patterns; and a statement regarding the extent to which increased
imports, either actual or relative to domestic production, of the
imported article are believed to be such a cause, supported by pertinent
data;
(g) Relief sought and purpose thereof. A statement describing the
import relief sought.
19 CFR 206.24 Time for reporting.
The Commission will make its report to the President at the earliest
practical time, but not later than 3 months after the date on which the
petition is filed, the request or resolution is received, or the motion
is adopted, as the case may be.
19 CFR 206.25 Public report.
Upon making a report to the President of the results of an
investigation to which the subpart C relates, the Commission will make
such report public (with the exception of information which the
Commission determines to be confidential) and cause a summary thereof to
be published in the Federal Register.
19 CFR 206.25 Subpart D -- Monitoring; Advice As to Effect of Extension, Reduction, Modification, or Termination of Relief Action
19 CFR 206.31 Applicability of subpart.
This subpart D applies specifically to investigations under section
204 of the Trade Act. For other applicable rules, see subpart A of this
part and part 201 of this chapter.
19 CFR 206.32 Monitoring.
(a) In general. As long as any import relief imposed by the
President pursuant to section 203 of the Trade Act remains in effect,
the Commission will monitor developments with respect to the domestic
industry, including the progress and specific efforts made by workers
and firms in the industry to make a positive adjustment to import
competition.
(b) Biannual reports. The Commission will submit a report on the
results of the monitoring to the President and the Congress not later
than (1) the 2nd anniversary of the day on which the action under
section 203 of the Trade Act first took effect, and (2) the last day of
each 2-year period occurring after such first report. In the course of
preparing each such report, the Commission will hold a hearing at which
interested persons will be given a reasonable opportunity to be present,
to produce evidence, and to be heard.
19 CFR 206.33 Investigations to advise the President as to the probable
economic effect of extension, reduction, modification, or termination of
action.
Upon the request of the President, the Commission will conduct an
investigation for the purpose of gathering information in order that it
might advise the President of its judgment as to the probable economic
effect on the industry concerned of any extension, reduction,
modification, or termination of the action taken under section 203 which
is under consideration.
19 CFR 206.34 Investigations to evaluate the effectiveness of relief.
(a) Investigation. After any action taken under section 203 has
terminated, the Commission will conduct an investigation for the purpose
of evaluating the effectiveness of the relief action in facilitating
positive adjustment by the domestic industry to import competition,
consistent with the reasons set out by the President in the report
submitted to the Congress under section 203(b).
(b) Hearing. In the course of such investigation, the Commission
will hold a hearing at which interested persons will be given an
opportunity to be present, to produce evidence, and to be heard.
(c) Time for reporting. The Commission will submit its report to the
President and to the Congress by no later than the 180th day after the
day on which the action terminated.
19 CFR 206.34 PART 207 -- INVESTIGATIONS OF WHETHER INJURY TO DOMESTIC INDUSTRIES RESULTS FROM IMPORTS SOLD AT LESS THAN FAIR VALUE OR FROM SUBSIDIZED EXPORTS TO THE UNITED STATES
19 CFR 206.34 Pt. 207
Sec.
207.1 Applicability of part.
19 CFR 206.34 Subpart A -- General Provisions
207.2 Definitions applicable to Part 207.
207.3 Service, filing, and certification of documents.
207.4 The record.
207.5 Ex parte meetings.
207.6 Reports of progress of investigation.
207.7 Limited disclosure of certain business proprietary information
under administrative protective order.
207.8 Questionnaires to have the force of subpoenas; subpoena
enforcement.
19 CFR 206.34 Subpart B -- Preliminary Determinations.
207.10 Filing of petition with the Commission.
207.11 Contents of petition.
207.12 Notice of preliminary investigation.
207.13 Cooperation with administering authority; preliminary
investigation.
207.14 Negative petition determination.
207.15 Written briefs and conference.
207.16 Reserved.
207.17 Staff report.
207.18 Notice of determination in preliminary investigations.
19 CFR 206.34 Subpart C -- Final Determinations, Short Life Cycle
Products
207.20 Institution of investigation; notice.
207.21 Prehearing and final staff reports.
207.22 Prehearing brief.
207.23 Hearing.
207.24 Posthearing briefs.
207.25 Statements by nonparties.
207.26 Short life cycle products.
207.27 Anticircumvention.
207.28 Publication of notice of determination.
19 CFR 206.34 Subpart D -- Terminated, Suspended, and Continued
Investigations, Investigations to Review Negotiated Agreements, and
Investigations to Review Outstanding Determinations
207.40 Termination and suspension of investigation.
207.41 Commission review of agreements to eliminate the injurious
effect of subsidized imports or imports sold at less than fair value.
207.42 Investigation continued upon request.
207.43 Reserved.
207.44 Consolidation of investigations.
207.45 Investigation to review outstanding determination.
19 CFR 206.34 Subpart E -- Judicial Review
207.50 Judicial review.
207.51 Judicial review of denial of application for disclosure of
certain business proprietary information under administrative protective
order.
19 CFR 206.34 Subpart F -- (Reserved)
19 CFR 206.34 Subpart G -- Implementing Regulations for the United
States-Canada Free-Trade Agreement
207.90 Scope.
207.91 Definitions.
207.92 Procedures for commencing review of final determinations.
207.93 Protection of proprietary information during panel and
committee proceedings.
207.94 Protection of privileged information during panel and
committee proceedings.
207.100 Sanctions.
207.101 Reporting of violation and commencement of investigation.
207.102 Initiation of proceedings.
207.103 Charging letter.
207.104 Response to charging letter.
207.105 Confidentiality.
207.106 Interim measures.
207.107 Motions.
207.108 Preliminary conference.
207.109 Discovery.
207.110 Subpoenas.
207.111 Prehearing conference.
207.112 Hearings.
207.113 The record.
207.114 Initial determination.
207.115 Petition for review.
207.116 Commission review on its own motion.
207.117 Review by Commission.
207.118 Role of the General Counsel in advising the Commission.
207.119 Reconsideration.
207.120 Public notice of sanctions.
Authority: 19 U.S.C. 1303, 1335, 1671-1677k, and 2482, unless
otherwise noted.
Source: 44 FR 76468, Dec. 26, 1979, unless otherwise noted.
19 CFR 207.1 Applicability of part.
Part 207 applies to proceedings of the Commission under section 303,
section 516A and title VII of the Tariff Act of 1930 (19 U.S.C. 1303,
1516A and 1671-1677j) (the Act), and 19 U.S.C. 1677k.
(56 FR 11923, Mar. 21, 1991)
19 CFR 207.1 Subpart A -- General Provisions
Source: 56 FR 11923, Mar. 21, 1991, unless otherwise noted.
19 CFR 207.2 Definitions applicable to part 207.
For the purposes of this part, the following terms have the meanings
hereby assigned to them:
(a) The term the Act means: The Tariff Act of 1930, as amended.
(b) The term administering authority means: The Secretary of
Commerce, or any other officer of the United States to whom the
responsibility for carrying out the duties of the administering
authority under section 303 or title VII of the Act is transferred by
law.
(c) The term Director means: The incumbent Commission Director or
Acting Director, Office of Operations, or, in the absence of either, a
person designated by the Director.
(d) The term ex parte meeting means: Any communication between
(1) Any interested party or other person providing factual
information in connection with an investigation, and
(2) Any Commissioner, or member of a Commissioner's staff, in which
less than all parties participate, and which is not a hearing or
conference for which an opportunity to participate is given to the
parties.
(e) The term injury means: Material injury or threat of material
injury to an industry in the United States, or material retardation of
the establishment of an industry in the United States, by reason of
imports into the United States of a class or kind of merchandise which
is found by the administering authority to be subsidized, or sold, or
likely to be sold, at less than its fair value.
(f) The term record means:
(1) All information presented to or obtained by the Commission during
the course of an investigation, including completed questionnaires, any
information obtained from the administering authority, written
communications from any person filed with the Secretary, staff reports,
all governmental memoranda pertaining to the case, and the record of ex
parte meetings required to be kept pursuant to section 777(a)(3) of the
Act; and
(2) A copy of all Commission orders and determinations, all
transcripts or records of conferences or hearings, and all notices
published in the Federal Register concerning the investigation.
(g) The term coalition or trade association as used in an
investigation referred to in section 771(9)(G) of the Act means a
coalition or trade association which is representative of domestic
processors, domestic processors and producers, or domestic processors
and growers.
19 CFR 207.3 Service, filing, and certification of documents.
(a) Certification. Any person submitting factual information on
behalf of the petitioner or any other interested party for inclusion in
the record, and any person submitting a response to a Commission
questionnaire, must certify that such information is accurate and
complete to the best of the submitter's knowledge.
(b) Service. Any party submitting a document for inclusion in the
record of the investigation shall, in addition to complying with 201.8
of this chapter, serve a copy of each such document on all other parties
to the investigation in the manner prescribed in 201.16 of this
chapter. If a document is filed before the Secretary's issuance of the
service list provided for in 201.11 of this chapter or the
administrative protective order list provided for in 207.7, the
document need not be accompanied by a certificate of service, but the
document shall be served on all appropriate parties within two (2) days
of the issuance of the service list or the administrative protective
order list and a certificate of service shall then be filed.
Notwithstanding 201.16 of this chapter, petitions, briefs, and
testimony filed by parties pursuant to 207.10, 207.15, 207.22, 207.23,
and 207.24 shall be served by hand or, if served by mail, by overnight
mail or its equivalent. Failure to comply with the requirements of this
rule may result in removal from status as a party to the investigation.
The Commission shall make available to all parties to the investigation
a copy of each document, except transcripts of conferences and hearings,
business proprietary information, privileged information, and
information required to be served under this section, placed in the
record of the investigation by the Commission.
(c) Filing. Documents to be filed with the Commission must comply
with applicable rules, including 201.8 of this chapter. If the
Commission establishes a deadline for the filing of a document, and the
submitter includes business proprietary information in the document, the
submitter is to file and, if the submitter is a party, serve the
business proprietary version of the document on the deadline and may
file and serve the nonbusiness proprietary version of the document no
later than one business day after the deadline for filing the document.
The business proprietary version shall enclose all business proprietary
information in brackets and have the following warning marked on every
page: ''Bracketing of BPI not final for one business day after date of
filing.'' The bracketing becomes final one business day after the date
of filing of the document, i.e., at the same time as the nonbusiness
proprietary version of the document is due to be filed. Until the
bracketing becomes final, recipients of the document may not divulge any
part of the contents of the document to anyone not subject to the
administrative protective order issued in the investigation. If the
submitter discovers it has failed to bracket correctly, the submitter
may file a corrected version or portion of the business proprietary
document at the same time as the nonbusiness proprietary version is
filed. No changes to the document other than bracketing and deletion of
business proprietary information are permitted after the deadline.
Failure to comply with this paragraph may result in the striking from
the record of all or a portion of a submitter's document.
19 CFR 207.4 The record.
(a) Maintenance of the record. The Secretary shall maintain the
record of each investigation conducted by the Commission pursuant to
section 303 or title VII of the Act. The record shall be maintained
contemporaneously with each actual filing in the record. It shall be
divided into public and nonpublic sections. The Secretary shall also
maintain a contemporaneous index of all materials filed in the record.
All material properly filed with the Secretary shall be placed in the
record. The Commission need not consider in its determinations or
include in the record any material that is not filed with the Secretary.
All material which is placed in the record shall be maintained in the
public record, with the exception of material which is privileged, or
which is business proprietary information submitted in accordance with
201.6 of this chapter. Privileged and business proprietary material
shall be maintained in the nonpublic record.
(b) Audits. The Commission may in its discretion verify information
received in the course of an investigation. To the extent a
verification results in new or different information, the Commission
shall place such information on the record.
(c) Materials provided by the administering authority. Materials
received by the Commission from the administering authority shall be
placed on the Commission's record and shall be designated by the
Commission as public or nonpublic in conformity with the applicable
designation of the administering authority. Any requests to the
Commission either to permit access to such materials or to release such
materials shall be referred to the administering authority for its
advice.
19 CFR 207.5 Ex parte meetings.
There shall be included in the record of each investigation a record
of ex parte meetings as required by section 777(a)(3) of the Act. The
record of each ex parte meeting shall include the identity of the
persons present at the meeting, the date, time, and place of the
meeting, and a summary of the matters discussed or submitted.
19 CFR 207.6 Reports of progress of investigation.
The Secretary shall upon the request of a party inform the parties to
an investigation of the progress of that investigation. No such
progress report, however, shall be issued by the Secretary less than
thirty (30) days after the date of publication of commencement of an
investigation by notice in the Federal Register, nor shall the Secretary
be required to issue a report on the progress of any investigation less
than thirty (30) days after the date of issuance of the previous such
report with respect to the same investigation. A report shall be
limited to a statement of what official actions the Commission has taken
since the previous such report, if any.
19 CFR 207.7 Limited disclosure of certain business proprietary
information under administrative protective order.
(a)(1) Disclosure. Upon receipt of a timely application filed by an
authorized applicant, as defined in paragraph (a)(3) of this section,
which describes in general terms the information requested, and sets
forth the reasons for the request (e.g., all business proprietary
information properly disclosed pursuant to this section for the purpose
of representing an interested party in investigations pending before the
Commission), the Secretary shall make available all business proprietary
information contained in Commission memoranda and reports and in written
submissions filed with the Commission at any time during the
investigation (except privileged information, classified information,
and specific information of a type which there is a clear and compelling
need to withhold from disclosure, e.g., trade secrets) to the authorized
applicant under an administrative protective order described in
paragraph (b) of this section. The term ''business proprietary
information'' has the same meaning as the term ''confidential business
information'' as defined in 201.6 of this chapter.
(2) Application. An application under paragraph (a)(1) of this
section must be made by an authorized applicant on a form adopted by the
Secretary or a photocopy thereof. An application on behalf of a
petitioner, a respondent, or another party must be made no later than
the time that entries of appearance are due pursuant to 201.11 of this
chapter. In the event that two or more authorized applicants represent
one interested party who is a party to the investigation, the authorized
applicants must select one of their number to be lead authorized
applicant. The lead authorized applicant's application must be filed no
later than the time that entries of appearance are due. Provided that
the application is accepted, the lead authorized applicant shall be
served with business proprietary information pursuant to paragraph (f)
of this section. The other authorized applicants representing the same
party may file their applications after the deadline for entries of
appearance but at least five (5) days before the deadline for filing
posthearing briefs in the investigation, or the deadline for filing
briefs in a preliminary investigation, and shall not be served with
business proprietary information.
(3) Authorized applicant. (i) Only an authorized applicant may file
an application under this section. An authorized applicant is:
(A) An attorney for an interested party which is a party to the
investigation;
(B) A consultant or expert under the direction and control of a
person under paragraph (a)(3)(i)(A) of this section;
(C) A consultant or expert who appears regularly before the
Commission and who represents an interested party which is a party to
the investigation; or
(D) A representative of an interested party which is a party to the
investigation, if such interested party is not represented by counsel.
(ii) In addition, an authorized applicant must not be involved in
competitive decisionmaking, as defined in U.S. Steel Corp. v. United
States, 730 F.2d 1465 (Fed. Cir. 1984), for an interested party which is
a party to the investigation.
(4) Forms and determinations. (i) The Secretary may adopt, from time
to time, forms for submitting requests for disclosure pursuant to an
administrative protective order incorporating the terms of this rule.
The Secretary shall determine whether the requirements for release of
information under this rule have been satisfied. This determination
shall be made concerning specific business proprietary information as
expeditiously as possible but in no event later than fourteen (14) days
from the filing of the information, or seven (7) days in a preliminary
investigation, except if the submitter of the information objects to its
release or the information is unusually voluminous or complex, in which
case the determination shall be made within thirty (30) days from the
filing of the information, or ten (10) days in a preliminary
investigation. The Secretary shall establish a list of parties whose
applications have been granted. The Secretary's determination shall be
final for purposes of review by the U.S. Court of International Trade
under section 777(c)(2) of the Act.
(ii) Should the Secretary determine pursuant to this section that
materials sought to be protected from public disclosure by a person do
not constitute business proprietary information or were not required to
be served under paragraph (f) of this section, then the Secretary shall,
upon request, issue an order on behalf of the Commission requiring the
return of all copies of such materials served in accordance with
paragraph (f) of this section.
(iii) The Secretary shall release business proprietary information
only to an authorized applicant whose application has been accepted and
who presents the application along with adequate personal
identification; or a person described in paragraph (b)(1)(iv) of this
section who presents a copy of the statement referred to in that
paragraph along with adequate personal identification.
(iv) An authorized applicant granted access to business proprietary
information in a preliminary investigation may, subject to paragraph (c)
of this section, retain such business proprietary information during any
final investigation corresponding to that preliminary investigation,
provided that the authorized applicant has not lost his authorized
applicant status (e.g., by terminating his representation of an
interested party who is a party). When retaining business proprietary
information pursuant to this paragraph, the authorized applicant need
not file a new application in the final investigation, but shall list in
his entry of appearance in the final investigation the authorized
applicants in the same firm and the persons employed or supervised by
the authorized applicant who continue to participate in the
investigation.
(b) Administrative protective order. The administrative protective
order under which information is made available to the authorized
applicant shall require him to submit to the Secretary a personal sworn
statement that, in addition to such other conditions as the Secretary
may require, he shall:
(1) Not divulge any of the business proprietary information obtained
under the administrative protective order and not otherwise available to
him, to any person other than
(i) Personnel of the Commission concerned with the investigation,
(ii) The person or agency from whom the business proprietary
information was obtained,
(iii) A person whose application for access to business proprietary
information under the administrative protective order has been granted
by the Secretary, and
(iv) Other persons, such as paralegals and clerical staff, who are
employed or supervised by the authorized applicant; who have a need
thereof in connection with the investigation; who are not involved in
competitive decisionmaking for an interested party which is a party to
the investigation; and who have submitted to the Secretary a signed
statement in a form approved by the Secretary that they agree to be
bound by the administrative protective order (the authorized applicant
shall be deemed responsible for such persons' compliance with the
administrative protective order);
(2) Use such business proprietary information solely for the purposes
of the Commission investigation then in progress or for judicial or
other review of such Commission investigation;
(3) Not consult with any person not described in paragraph (b)(1) of
this section concerning such business proprietary information without
first having received the written consent of the Secretary and the party
or the attorney of the party from whom such business proprietary
information was obtained;
(4) Whenever materials (e.g., documents, computer disks, etc.)
containing such business proprietary information are not being used,
store such material in a locked file cabinet, vault, safe, or other
suitable container;
(5) Serve all materials containing business proprietary information
as directed by the Secretary and pursuant to paragraph (f) of this
section;
(6) Transmit all materials containing business proprietary
information with a cover sheet identifying the materials as containing
business proprietary information;
(7) Comply with the provisions of this section;
(8) Make true and accurate representations in the authorized
applicant's application and promptly notify the Secretary of any changes
that occur after the submission of the application and that affect the
representations made in the application (e.g., change in personnel
assigned to the investigation);
(9) Report promptly and confirm in writing to the Secretary any
breach of the administrative protective order; and
(10) Acknowledge that breach of the administrative protective order
may subject the authorized applicant to such sanctions as the Commission
deems appropriate.
(c) Final disposition of material released under administrative
protective order. At such date as the Secretary may determine
appropriate for particular data, each authorized applicant shall return
or destroy all copies of materials released to authorized applicants
pursuant to this section and all other materials containing business
proprietary information, such as charts or notes based on any such
information received under administrative protective order, and file
with the Secretary a certificate attesting to his personal, good faith
belief that all copies of such material have been returned or destroyed
and no copies of such material have been made available to any person to
whom disclosure was not specifically authorized.
(d) Sanctions for breach of administrative protective order. A
breach of an administrative protective order may subject an offender to:
(1) Disbarment from practice in any capacity before the Commission
along with such person's partners, associates, employer, and employees,
for up to seven years following publication of a determination that the
order has been breached;
(2) Referral to the United States Attorney;
(3) In the case of an attorney, accountant, or other professional,
referral to the ethics panel of the appropriate professional
association; and
(4) Such other administrative sanctions as the Commission determines
to be appropriate, including public release of or striking from the
record any information or briefs submitted by, or on behalf of, the
offender or the party represented by the offender, and denial of further
access to business proprietary information in the current or any future
investigations before the Commission.
(e) Sanction procedure. (1) The Commission shall determine whether
any person has violated an administrative protective order, and may
impose sanctions in accordance with paragraph (d) of this section.
Whenever the Commission has reason to believe that a person may have
breached an administrative protective order issued pursuant to this
section, the Secretary shall issue a letter informing such person that
the Commission has reason to believe a breach has occurred and that the
person has a reasonable opportunity to present his views on whether a
breach has occurred. If subsequently the Commission determines that a
breach has occurred, then the Secretary shall issue a letter informing
such person of that determination and that the person has a reasonable
opportunity to present his views on whether mitigating circumstances
exist and on the appropriate sanction to be imposed, but no longer on
whether a breach has occurred. Once such person has been afforded a
reasonable opportunity to present his views, the Commission shall
determine what sanction if any to impose.
(2) Where the sanction imposed is a private letter of reprimand, the
Secretary shall expunge the sanction from the recipient's record two (2)
years from the date of issuance of the sanction, provided that
(i) The recipient has not received another unexpunged sanction
pursuant to this section at any time prior to the end of the two year
period, and
(ii) The recipient is not the subject of an investigation for
possible breach of administrative protective order under this section at
the end of the two year period. Upon the completion of such a pending
breach investigation without the issuance of a sanction, the original
sanction shall be expunged. The Secretary shall notify a sanction
recipient in the event that the sanction is expunged.
(f) Service. (1) Any party filing written submissions which include
business proprietary information to the Commission during an
investigation shall at the same time serve complete copies of such
submissions upon all authorized applicants specified on the list
established by the Secretary pursuant to paragraph (a)(4) of this
section, and a nonbusiness proprietary version on all other parties.
All such submissions must be accompanied by a certificate attesting that
complete copies of the submission have been properly served. In the
event that a submission is filed before the Secretary's list is
established, the document need not be accompanied by a certificate of
service, but the submission shall be served within two (2) days of the
establishment of the list and a certificate of service shall then be
filed.
(2) A party may seek an exemption from the service requirement of
paragraph (f)(1) of this section for a particular submission by filing a
request for exemption with the reasons therefor along with the
submission. The Secretary shall not accept the submission into the
record but shall hold the submission until the request has been granted
or denied. The Secretary shall promptly respond to the request. If a
request is granted, the Secretary shall accept the submission into the
record. If a request is denied, the party shall serve the submission
within two (2) days of the denial and file a certificate of service in
the form described in paragraph (f)(1) of this section, and the
Secretary shall then accept the submission into the record. All
submissions which include business proprietary information must be
accompanied by a certificate attesting either that complete copies of
the submission have been properly served, or that a request for
exemption has been filed with the submission.
(3) The Secretary shall not accept for filing into the record of an
investigation submissions filed without a proper certificate of service.
Failure to comply with paragraph (f) of this section may result in
denial of party status and such sanctions as the Commission deems
appropriate. Business proprietary information in submissions must be
clearly marked as such when submitted, and must be segregated from other
material being submitted.
(g) Exemption from disclosure. Any person submitting business
proprietary information to the Commission may request exemption from the
disclosure of such information under administrative protective order. A
request must be filed in writing with the reasons therefor at the same
time as the information being submitted is filed. Such a request shall
only be granted if the Secretary finds that such information is
privileged information, classified information, or specific information
of a type for which there is a clear and compelling need to withhold
from disclosure. In the case of a party, the request shall be treated
as a request for exemption from service under paragraph (f) of this
section. In the case of a nonparty, the Secretary shall promptly notify
the submitter as to whether the request has been approved or denied.
19 CFR 207.8 Questionnaires to have the force of subpoenas; subpoena
enforcement.
Any questionnaire issued by the Commission in connection with any
investigation under section 303 or title VII of the Act, may be issued
as a subpoena and subscribed by a Commissioner, after which it shall
have the force and effect of a subpoena authorized by the Commission.
Whenever any party or any other person fails to respond adequately to
such a subpoena or whenever a party or any other person refuses or is
unable to produce information requested in a timely manner and in the
form required, or otherwise significantly impedes an investigation, the
Commission may use the best information otherwise available in making
its determination; seek judicial enforcement of the subpoena pursuant
to 19 U.S.C. 1333; make inferences adverse to such person's position;
and take such other actions as necessary to obtain needed information.
19 CFR 207.8 Subpart B -- Preliminary Determinations
Source: 56 FR 11927, Mar. 21, 1991, unless otherwise noted.
19 CFR 207.10 Filing of petition with the Commission.
(a) Filing of the petition. Any interested party who files a
petition with the administering authority pursuant to section 702(b) or
732(b) of the Act, or section 303 of the Act in a case in which a
Commission determination under title VII of the Act is required, shall
file copies of the petition, pursuant to 201.8 of this chapter, with
the Secretary on the same day the petition is filed with the
administering authority. If the petition complies with the provisions
of 207.11, it shall be deemed to be properly filed on the date on which
the requisite number of copies of the petition is received by the
Secretary. The Secretary shall notify the administering authority of
that date. Notwithstanding 201.11 of this chapter, a petitioner need
not file an entry of appearance in the preliminary investigation
instituted upon the filing of its petition, which shall be deemed an
entry of appearance, although the petitioner must file an entry of
appearance in any final investigation corresponding to that preliminary
investigation.
(b) Service of the petition. A copy of the petition, or a version
thereof omitting business proprietary information, shall be served by
petitioner on those persons enumerated on the list established by the
Secretary pursuant to 201.11(d) of this chapter within two (2) days of
the establishment of the Secretary's list. A copy of the petition
including all business proprietary information shall be served by
petitioner on those persons enumerated on the list established by the
Secretary pursuant to 207.7(a)(4) within two (2) days of the
establishment of the Secretary's list. Service shall be attested by a
certificate of service as required in 201.16(c)(2) of this chapter.
(c) Amendments and withdrawals; critical circumstances. (1) Any
amendment or withdrawal of a petition shall be filed on the same day
with both the Secretary and the administering authority, without regard
to whether the requester seeks action only by one agency.
(2) When not made in the petition, any allegations of critical
circumstances under section 303, 703 or 733 of the Act shall be made in
an amendment to the petition and shall be filed as early as possible.
Critical circumstances allegations, whether made in the petition or in
an amendment thereto, shall contain information reasonably available to
petitioner concerning the factors enumerated in sections 705(b)(4)(A)
and 735(b)(4)(A) of the Act.
(d) Section 303(a)(1) petitions. If during an investigation under
section 303(a)(1) of the Act a Commission determination under title VII
of the Act becomes required, the Commission shall issue an order
instructing petitioner to provide all information reasonably available
to it concerning the determination that the Commission is to make in the
investigation.
19 CFR 207.11 Contents of petition.
The petition shall be signed by the petitioner or his duly authorized
officer, attorney, or agent, and shall set forth the name, address, and
telephone number of the petitioner and any such officer, attorney, or
agent, and the names of all representatives of petitioner who will
appear in the investigation. The petition shall allege the elements
necessary for the imposition of a duty under section 303(a)(1), 701(a)
or 731(a) of the Act and contain information reasonably available to the
petitioner supporting the allegations. Petitioners are advised to refer
to the administering authority's regulations concerning the contents of
petitions.
19 CFR 207.12 Notice of preliminary investigation.
Upon receipt by the Commission of a petition under 207.10 or receipt
of notice that the administering authority has commenced an
investigation under section 303, 702(a) or 732(a) of the Act, the
Director shall, as soon as practicable after consultation with the
administering authority, institute a preliminary investigation under
section 303, 703(a) or 733(a) of the Act and shall publish a notice to
that effect in the Federal Register.
19 CFR 207.13 Cooperation with administering authority; preliminary
investigation.
Subsequent to institution of an investigation pursuant to 207.12,
the Director shall conduct such investigation as he deems appropriate.
Information adduced in the investigation shall be placed on the record.
The Director shall cooperate with the administering authority in its
determination of the sufficiency of a petition and in its decision
whether to permit any proposed amendment to a petition. Notwithstanding
201.11(c) and 201.14(b) of this chapter, late filings in a preliminary
investigation shall be referred to the Director, who shall determine
whether to accept such filing for good cause shown by the person making
the filing.
19 CFR 207.14 Negative petition determination.
Upon receipt by the Commission of notice from the administering
authority under section 303, 702(d) or 732(d) of the Act that the
administering authority has made a negative petition determination under
section 303, 702(c)(3) or 732(c)(3) of the Act, the investigation begun
pursuant to 207.12 shall terminate. The Director shall notify all
persons who have received requests for information from him of the
termination.
19 CFR 207.15 Written briefs and conference.
Each party may submit to the Commission on or before a date specified
in the notice of investigation issued pursuant to 207.12 a written
brief containing information and arguments pertinent to the subject
matter of the investigation. Briefs shall be signed, shall include a
table of contents, and shall contain no more than fifty (50) double
spaced and single sided pages of textual material, on stationery
measuring 8 1/2 11 inches. Any person not a party may submit a brief
written statement of information pertinent to the investigation within
the time specified for the filing of briefs. In addition, the presiding
official may permit persons to file within a specified time answers to
questions or requests made by the Commission's staff. If he deems it
appropriate, the Director shall hold a conference. The conference, if
any, shall be held in accordance with the procedures in 201.13 of this
chapter, except that in connection with its presentation a party may
file witness testimony with the Secretary no later than three (3) days
before the conference. The Director may request the appearance of
witnesses, take testimony, and administer oaths.
19 CFR 207.16 (Reserved)
19 CFR 207.17 Staff report.
Prior to the Commission's preliminary determination, the Director
shall submit to the Commission a staff report. A public version of the
staff report shall be made available to the public after the
Commission's preliminary determination and a business proprietary
version shall also be made available to persons authorized to receive
business proprietary information under 207.7.
19 CFR 207.18 Notice of determination in preliminary investigations.
Whenever the Commission makes a determination in a preliminary
investigation under section 303, 703(a) or 733(a) of the Act, the
Secretary shall serve copies of the determination and a public version
of the staff report on the petitioner, other parties to the
investigation, and the administering authority. The Secretary shall
publish a notice of such determination in the Federal Register. If the
Commission's determination is negative, the investigation shall be
terminated. If the Commission's determination is affirmative, the
Director may continue investigative activities pending notice by the
administering authority of its preliminary determination under section
303, 703(b) or 733(b) of the Act. If the administering authority's
preliminary determination is affirmative, the Commission shall institute
an investigation in accordance with subpart C. If the administering
authority's preliminary determination is negative, the Director shall
continue such investigative activities as he deems appropriate pending a
final determination by the administering authority under section 303,
705(a) or 735(a) of the Act.
19 CFR 207.18 Subpart C -- Final Determinations, Short Life Cycle
Products
Source: 56 FR 11928, Mar. 21, 1991, unless otherwise noted.
19 CFR 207.20 Institution of investigation; notice.
(a) Notice from the administering authority of an affirmative
preliminary determination under section 303, 703(b) or 733(b) of the Act
and notice from the administering authority of an affirmative final
determination under section 303, 705(a) or 735(a) of the Act shall be
deemed to occur on the date on which the transmittal letter of such
determination is received by the Secretary from the administering
authority or the date on which notice of such determination is published
in the Federal Register, whichever shall first occur.
(b) Upon receipt of notice from the administering authority of an
affirmative preliminary determination under section 303, 703(b) or
733(b) of the Act or, if the administering authority's preliminary
determination is negative, notice of an affirmative final determination
under section 303, 705(a) or 735(a) of the Act, the Commission shall
publish in the Federal Register notice of its investigation to reach a
final determination under section 303, 705(b) or 735(b) of the Act.
Upon receipt by the Commission of notice from the administering
authority of its final negative determination under section 303, 705(a)
or 735(a) of the Act, the corresponding Commission investigation shall
be terminated.
19 CFR 207.21 Prehearing and final staff reports.
(a) Prehearing staff report. The Director shall prepare and place in
the record, prior to the hearing, a prehearing staff report containing
information concerning the subject matter of the investigation. A
version of the staff report containing business proprietary information
shall be placed in the nonpublic record and made available to persons
authorized to receive business proprietary information under 207.7, and
a nonbusiness proprietary version of the staff report shall be placed in
the public record.
(b) Final staff report. After the hearing, the Director shall revise
the prehearing staff report and submit to the Commission, prior to the
Commission's final determination, a final version of the staff report.
The final staff report is intended to supplement and correct the
information contained in the prehearing staff report. A public version
of the final staff report shall be made available to the public after
the Commission's final determination and a business proprietary version
shall also be made available to persons authorized to receive business
proprietary information under 207.7.
19 CFR 207.22 Prehearing brief.
Each party may submit to the Commission, no later than a date
specified in the notice of investigation, a prehearing brief. The
Commission strongly encourages each party to file a prehearing brief.
Prehearing briefs shall be signed and shall include a table of contents.
The prehearing brief should present a party's case in brief and shall,
to the extent possible, refer to the record and shall include
information and arguments which the party believes relevant to the
subject matter of the Commission's determination under section 303,
705(b) or 735(b) of the Act. Any person not a party may submit a brief
written statement of information pertinent to the investigation within
the time specified for the filing of prehearing briefs.
19 CFR 207.23 Hearing.
(a) In general. The Commission shall hold a hearing concerning an
investigation before making a final determination under section 303,
705(b) or 735(b) of the Act. Upon a request filed no later than seven
(7) days prior to the date of the hearing, and providing good cause is
shown therefor, the Commission may close a portion of a hearing to
persons not authorized under 207.7 to have access to business
proprietary information.
(b) Procedures. Any hearing shall be conducted after notice
published in the Federal Register. The hearing shall not be subject to
the provisions of subchapter II, chapter 5, title 5, United States Code,
or to section 702 of that title. Each party shall limit its
presentation at the hearing to a summary of the information and
arguments contained in its prehearing brief, an analysis of the
information and arguments contained in the prehearing briefs described
in 207.22, and information not available at the time its prehearing
brief was filed. Unless the hearing is closed, presentations at the
hearing shall not include business proprietary information.
Notwithstanding 201.13(f) of this chapter, in connection with its
presentation a party may file witness testimony with the Secretary no
later than three (3) days before the hearing. Any person not a party
may make a brief oral statement of information pertinent to the
investigation.
(c) Hearing Transcripts -- (1) In general. A verbatim transcript
shall be made of all hearings or conferences held in connection with
Commission investigations conducted under this part.
(2) Revision of transcripts. Within ten (10) days of the completion
of a hearing, any person who testified at the hearing may submit
proposed revisions to the transcript of his testimony to the Secretary.
No substantive revisions shall be permitted. If in the judgment of the
Secretary a proposed revision does not alter the substance of the
testimony in question, he shall incorporate the revision into a revised
transcript.
19 CFR 207.24 Posthearing briefs.
Any party may file a posthearing brief concerning the information
adduced at or after the hearing with the Secretary within a time
specified in the notice of investigation or by the presiding official at
the hearing. No such posthearing brief shall exceed fifteen (15) pages
of textual material, double spaced and single sided, on stationery
measuring 8 1/2 x 11 inches. In addition, the presiding official may
permit persons to file answers to questions or requests made by the
Commission at the hearing within a specified time. The Secretary shall
not accept for filing posthearing briefs or answers which do not comply
with this rule.
19 CFR 207.25 Statements by nonparties.
Any person other than a party may submit a brief written statement of
information pertinent to the investigation within the time specified for
the filing of posthearing briefs.
19 CFR 207.26 Short life cycle products.
(a) An eligible domestic entity may file a petition to establish a
product category for short life cycle merchandise which has been the
subject of two or more affirmative dumping determinations. The
Commission shall within thirty (30) days of the filing of the petition
determine its sufficiency. If the petition is found to be sufficient,
the Commission shall institute a proceeding to establish a product
category and publish a notice of institution in the Federal Register.
Upon request of an interested person filed within fifteen (15) days
after publication of the notice of institution, the Commission shall
conduct a hearing which shall be transcribed. The Commission's
determination concerning the scope of the product category into which to
classify the short life cycle merchandise identified by the petition
shall be issued no later than ninety (90) days after the filing of the
petition.
(b) The Commission may on its own initiative and at any time modify
the scope of a product category established in a proceeding pursuant to
paragraph (a) of this section. Ninety (90) days prior to such
modification, the Commission shall publish a notice of proposed
modification in the Federal Register. Upon request of an interested
party filed within fifteen (15) days after publication of the notice of
proposed modification, the Commission shall conduct a hearing which
shall be transcribed. Written submissions concerning the proposed
modification shall be accepted if filed no later than sixty (60) days
after publication of the notice of proposed modification.
19 CFR 207.27 Anticircumvention.
Prior to providing advice to the administering authority pursuant to
section 781(e)(3) of the Act, the Commission shall publish in the
Federal Register a notice that such advice is contemplated. Any person
may file one written submission concerning the matter described in the
notice no later than fourteen (14) days after publication of the notice.
Such a statement shall contain no more than fifty (50) double spaced
and single sided pages of textual material, on stationery measuring 8
1/2 x 11 inches. The Commission shall by notice provide for additional
statements as it deems necessary.
19 CFR 207.28 Publication of notice of determination.
Whenever the Commission makes a final determination under section 303
or title VII of the Act, the Secretary shall serve copies of the
determination and the nonbusiness proprietary version of the final staff
report on the petitioner, other parties to the investigation, and the
administering authority. The Secretary shall publish notice of such
determination in the Federal Register.
19 CFR 207.28 Subpart D -- Terminated, Suspended, and Continued
Investigations, Investigations to Review Negotiated Agreements, and
Investigations To Review Outstanding Determinations
Source: 56 FR 11929, Mar. 21, 1991, unless otherwise noted.
19 CFR 207.40 Termination and suspension of investigation.
(a) An investigation under title VII may be terminated by the
Commission by giving notice in the Federal Register to all parties to
the investigation, upon withdrawal of the petition by the petitioner, or
upon issuance of a final negative determination or termination of its
investigation by the administering authority under section 303, 705 or
735 of the Act. The Commission may not terminate an investigation,
however, before a determination is made by the administering authority
under section 702(c), 732(c), 703(b) or 733(b) of the Act.
(b) Upon receipt of notice of suspension of an investigation by the
administering authority under section 704 (b) or (c) or 734 (b) or (c),
the Secretary shall issue a notice of suspension of the Commission
investigation. Such suspension shall not prevent the Director from
conducting such other investigative activities as he deems appropriate
with respect to the subject matter of the suspended investigation.
(c) Resumption of suspended investigation -- (1) Purpose. If the
administering authority determines pursuant to section 704(i) or 734(i)
of the Act to resume a suspended investigation and so notifies the
Commission of its determination, and in the event that the suspended
investigation was not terminated, the Commission shall resume the
investigation.
(2) Procedures. The procedures set forth in subpart C shall apply to
all investigations instituted under this section.
19 CFR 207.41 Commission review of agreements to eliminate the
injurious effect of subsidized imports or imports sold at less than fair
value.
If the administering authority determines to suspend an investigation
upon acceptance of an agreement to eliminate the injurious effect of
subsidized imports or imports sold at less than fair value, the
Commission shall, upon petition, initiate an investigation to determine
whether the injurious effect of imports of the merchandise which was the
subject of the suspended investigation is eliminated completely by the
agreement. Petitions may be filed by a party to the investigation which
is an interested party described in paragraph (C), (D), (E), (F), or (G)
of section 771(9) of the Act. Investigations under this section shall
be completed within seventy five (75) days of their initiation.
19 CFR 207.42 Investigation continued upon request.
Upon receipt of advice from the administering authority that it has
received a request for the continuation of a suspended investigation
pursuant to section 704(g) or 734(g) of the Act, the Commission shall
continue the investigation. The procedures set forth in subparts B and
C of this part, including applicable time limitations, shall apply to
all continued investigations within this rule.
19 CFR 207.43 (Reserved)
19 CFR 207.44 Consolidation of investigations.
The Commission may, when appropriate, consolidate continued
investigations under section 704(g) or section 734(g) of the Act with
investigations to review agreements for the elimination of injury under
section 704(h) or section 734(h) of the Act.
19 CFR 207.45 Investigation to review outstanding determination.
(a) Request for review. Any person may file with the Commission a
request for the institution of a review investigation under section 751
of the Act. The person making the request shall also promptly serve
copies of the request on the parties to the original investigation upon
which the review is to be based. All requests shall set forth a
description of changed circumstances sufficient to warrant the
institution of a review investigation by the Commission.
(b) Notice of receipt of a request. Upon the receipt of a properly
filed and sufficient request for a review investigation, the Secretary
shall publish a notice of having received such a request in the Federal
Register inviting public comment on the question of whether the
Commission should institute a review investigation. Persons shall have
at least thirty (30) days from the date of publication in the Federal
Register within which to submit comments to the Commission.
(c) Institution of an investigation. Within thirty (30) days after
the close of the period for public comments following publication of the
receipt of a request, the Commission shall determine whether the request
shows changed circumstances sufficient to warrant a review and, if so,
shall institute a review investigation. The Commission may also
institute a review investigation on its own initiative. The review
investigation shall be instituted by notice published in the Federal
Register and shall be completed within one hundred twenty (120) days of
the date of such publication. If the Commission determines that a
request does not show changed circumstances sufficient to warrant a
review, the request shall be dismissed and a notice of the dismissal
published in the Federal Register stating the reasons therefor.
(d) Conduct of review investigation. The procedures set forth in
subpart C of part 207 shall apply to all investigations instituted under
this section.
19 CFR 207.45 Subpart E -- Judicial Review
Source: 56 FR 11930, Mar. 21, 1991, unless otherwise noted.
19 CFR 207.50 Judicial review.
(a) In general. Persons entitled to judicial review under section
516A of the Act may seek review in the U.S. Court of International
Trade.
(b) Transmittal of record. In the event a Commission determination
is appealed to the U.S. Court of International Trade under section 516A,
a copy of the record in the investigation before the Commission, as such
record is defined in 207.2(f), or a certified list of all items
therein, shall be transmitted to the court by the Secretary in
accordance with the rules of the court.
(c) Service of process. The Commission's General Counsel shall be
the Commission's agent for service of process in cases arising under
section 516A of the Act.
19 CFR 207.51 Judicial review of denial of application for disclosure
of certain business proprietary information under administrative
protective order.
(a) In general. Persons entitled to judicial review under section
777(c)(2) of the Commission determination not to disclose business
proprietary information may apply to the U.S. Court of International
Trade for an order directing the Commission to make the information
involved available.
(b) Transmittal of record. In the event a court order is sought
under section 777(c)(2) requiring the Commission to disclose business
proprietary information, the Secretary shall within 20 days after
service of a summons and complaint upon the Commission transmit to the
court under seal the business proprietary information involved along
with pertinent parts of the record.
(c) Pertinent parts of the record. The pertinent parts of the record
shall consist of:
(1) The application for Commission disclosure together with any
documents filed in support thereof or in opposition thereto.
(2) Any Government memoranda relating to the Commission's
determination, and
(3) The Commission's action on the application.
(d) Service of process. The Commission's General Counsel shall be
the Commission's agent for service of process in cases under section
777(c)(2) of the Act.
19 CFR 207.51 Subpart F -- (Reserved)
19 CFR 207.51 Subpart G -- Implementing Regulations for the United
States-Free Trade Agreement
Authority: Sec. 777 of the Tariff Act of 1930, as amended; secs.
403, 405(d) of the United States-Canada Free-Trade Agreement
Implementation Act of 1988 (102 Stat. 1851, Pub. L. No. 100-449, Sept.
28, 1988); 19 U.S.C. 1335.
Source: 54 FR 36295, Sept. 1, 1989 (interim), unless otherwise
noted.
19 CFR 207.90 Scope.
This subpart sets forth the procedures and regulations for
implementation of Article 1904 of the United States-Canada Free Trade
Agreement under the Tariff Act of 1930, as amended by Title IV of the
United States-Canada Free-Trade Agreement Implementation Act of 1988 (19
U.S.C. 1516a and 1677f). These regulations are authorized by section
405(d) of the United States-Canada Free-Trade Agreement Implementation
Act of 1988 and 19 U.S.C. 1335.
19 CFR 207.91 Definitions.
As used in this subpart --
Administrative Law Judge means the United States Government employee
appointed under section 3105 of Title 5 of the United States Code to
conduct proceedings under this part in accordance with sections 556 and
557 of the United States Code;
Agreement means the Free Trade Agreement between Canada and the
United States of America entered into between the Government of Canada
and the Government of the United States of America and signed on January
2, 1988;
Article 1904 Rules means the Rules of Procedure for Article 1904
Binational Panel Reviews adopted by the United States of America and
Canada pursuant to the agreement;
Canadian Secretary means the Secretary of the Canadian section of the
Secretariat and includes any person authorized to act on his behalf;
Charged party means, for the purposes of 207.100, a person who is
charged by the United States International Trade Commission with
violating or inducing violation of a provision of a protective order;
Clerical person means, for purposes of 207.93, a person who provides
support services to a panelist, committee member, counsel, professional,
or member of the interagency group appointed by the United States Trade
Representative. This definition includes, but is not limited to,
secretaries, paralegals, and law clerks.
Commission means the United States International Trade Commission;
Commission Secretary means the Secretary to the Commission;
Complaint means the complaint referred to in the Article 1904 Rules;
Counsel means, for purposes of 207.93, persons described in the
definition of counsel of record in Rule 3 of the Article 1904 Rules, and
counsel for an interested person who plans to file a timely Complaint or
Notice of Appearance in the panel review.
Date of Service means, for the purposes of 207.100 only, the day a
document is deposited in the mail or delivered in person;
Days means calendar days, except that a deadline which falls on a
weekend or United States federal holiday shall be extended to the next
working day;
Extraordinary challenge committee means the committee established
pursuant to Annex 1904.13 of the Agreement and section 407 of the FTA
Act to review decisions of a panel or conduct of a panelist;
Final determination, for the purposes of 207.92, shall have the
meaning assigned to the term final determination by Article 1911 of the
agreement;
FTA Act means the United States-Canada Free-Trade Implementation Act
of 1988, Pub. L. No. 100-449 (Sept. 28, 1988);
Investigative attorney means the attorney(s) designated by the Office
of Unfair Import Investigations to engage in inquiries and investigatory
activities with respect to investigations and proceedings under
1907.100 of title 19 of the Code of Federal Regulations;
Notice of Appearance means the notice of appearance provided for by
the Article 1904 Rules;
Panel review means review of a final determination pursuant to
chapter 19 of the Agreement, including review by an extraordinary
challenge committee;
Parties means, for the purposes of 207.100-207.120, the
investigative attorney and the persons charged in an action under
207.100-207.120 of this subpart;
Person means, for the purposes of 207.100-207.120, an individual,
partnership, corporation, association, organization, or other entity;
Privileged information means all information as to which the
Commission claims privilege or has reserved a claim of privilege in
accordance with Article 1904.14 of the Agreement and the Article 1904
Rules;
Professional means, for purposes of 207.93, an accountant,
economist, engineer, or other non-legal specialist who is acting on
behalf of a participant in a panel review or an interested person who
plans to become a participant, and who is under the direction and
control of counsel for that participant or interested person.
Proprietary information means all information designated or treated
by the United States International Trade Commission as confidential or
business proprietary under 19 U.S.C. 1677f and 19 CFR 201.6.
Protective Order means a protective order issued by the Commission;
Secretariat means the Secretariat established pursuant to Article
1909 of the Agreement and includes the Secretariat sections located in
both Canada and the United States.
United States Secretary means the Secretary of the United States
section of the Secretariat and includes any person authorized to act on
his behalf;
Except as otherwise provided in this subpart, the definitions set
forth in the Article 1904 Rules are applicable to this subpart and to
any protective orders issued pursuant to this subpart.
19 CFR 207.92 Procedures for commencing review of final determinations.
(a) Notice of Intent to Commence Judicial Review. A Notice of Intent
to Commence Judicial Review shall contain such information, and be in
such form, manner, and style, including service requirements, as
prescribed by the Department of Commerce in its regulations at 19 CFR
part 356.
(b) Request for Panel Review. A Request for Panel Review shall
contain such information, and be in such form, manner, and style,
including service requirements, as prescribed by the Department of
Commerce in its regulations at 19 CFR part 356.
19 CFR 207.93 Protection of proprietary information during panel and
committee proceedings.
(a) Persons Authorized to Receive Proprietary Information Under
Protective Order. The following persons may be authorized by the
Commission to receive access to proprietary information if they comply
with these regulations and such other conditions imposed upon them by
the Commission:
(1) The members of a binational panel or an extraordinary challenge
committee, and their non-clerical staffs;
(2) Counsel, as defined in 207.91, provided that the counsel do not
participate in competitive decision-making activity for the person
represented or for any person that would gain a competitive advantage
through knowledge of the proprietary information sought;
(3) Professionals, as defined in 207.91, provided that they do not
participate in competitive decision-making activity for the person
represented or for any person that would gain a competitive advantage
through knowledge of the proprietary information sought;
(4) Clerical persons, as defined in 207.91, who are employed or
retained by and under the direction and control of a person described in
(a) (1), (2), (3) or (6) who has been issued a protective order, if such
clerical persons:
(i) Are not involved in the competitive decision-making, or the
support functions for the competitive decision-making, of a participant
to the proceeding or of any person that would gain a competitive
advantage through knowledge of the proprietary information sought, and
(ii) Have agreed to be bound by the terms set forth in the
application for protective order of the person who retains or employs
him or her;
(5) The Secretaries of the United States and Canadian sections of the
Secretariat and persons retained or employed by the Secretaries,
including court reporters hired by the Secretariat to transcribe panel
reviews;
(6) Such persons who the United States Trade Representative informs
the Commission require access to proprietary information solely for the
purpose of evaluating whether the United States should seek an
extraordinary challenge committee review of a panel decision or of the
conduct of a panelist during panel review.
(b) Procedures for Obtaining Access to Proprietary Information under
Protective Order -- (1) Persons Who Must File An Application for Release
Under Protective Order. In order to be permitted access to proprietary
information in the administrative record of a determination under review
by a panel, all persons described in paragraphs (a) (1), (2), (3), (5)
or (6), unless described in (b)(6) of this section, shall file an
original and six (6) copies of an application for release under
protective order with the Commission Secretary.
(2) Contents of Applications for Release Under Protective Order. (i)
The Commission Secretary shall adopt from time to time forms for
submitting requests for release pursuant to protective order that
incorporate the terms of this rule.
(ii) Such forms shall require the applicant for release of
proprietary information under protective order to submit a personal
sworn statement that, in addition to such other conditions as the
Commission Secretary may require, the applicant will:
(A) Not disclose any proprietary information obtained under
protective order to any person other than
(1) Personnel of the Commission involved in the particular panel
review in which the proprietary information is part of the
administrative record,
(2) The person from whom the information was obtained,
(3) A person who is authorized to have access to the same proprietary
information pursuant to a Commission protective order, and
(4) A clerical person retained or employed by and under the direction
and control of a person described in (a) (1), (2), (3), or (6) who has
been issued a protective order if such clerical person
(i) Is not involved in the competitive decision-making, or the
support functions for the competitive decision-making, of a participant
to the proceeding or of any person that would gain a competitive
advantage through knowledge of the proprietary information sought, and
(ii) Has agreed to be bound by the terms set forth in the application
for protective order of the person who retains or employs him or her.
(B) Not use any of the proprietary information released under
protective order for purposes other than the particular proceedings
under Article 1904 of the Agreement;
(C) Upon completion of the panel review, or at such other date as may
be determined by the Commission,
(1) If a person described in 207.93(a)(1), return to the United
States Secretary or certify to the Commission Secretary the destruction
of; or
(2) If a person described in 207.93(a) (2), (3), (5) or (6), return
to the Commission or certify to the Commission the destruction of
all documents released under the protective order, and all other
materials, such as notes or charts, based on or containing any
proprietary information released under the protective order;
(D) Update factual representations made in his or her application for
protective order to the extent and in the manner required by the terms
of the protective order issued granting that application; and
(E) Acknowledge that the person becomes subject to the provisions of
section 403(c) of the FTA Act and 19 CFR 207.100 as well as (except for
persons described in 207.93(a)(6)), section 77.26 of Canada's Special
Import Measures Act, as amended, with respect to the imposition of
sanctions for violation of the protective order.
(3) Timing of Applications. The United States and Canadian
Secretaries and any person retained or employed by them may file an
application at any time. Any panelist, or committee member, or member
of their non-clerical staffs, counsel, or professional, may file an
application for disclosure under protective order after a Notice of
Request for Panel Review has been filed with the Secretariat. A person
described in 207.93(a)(6) may file an application when the United
States Trade Representative notifies the Commission that such person
requires access to the proprietary information.
(4) Service of Applications. (i) If a person described in paragraphs
(a) (1), (2), or (3) files an application for a protective order before
the date on which notices of appearance must be filed in the panel
review, such person shall concurrently serve one (1) copy of such
application upon each person listed on the service list maintained by
the Commission during the administrative proceeding and on such other
persons as are required by the Article 1904 Rules to be served by the
applicant. If the application is filed after the deadline for notices
of appearance, such person shall serve the application upon each person
who files a complaint or notice of appearance in the panel review and on
such other persons as are required by the Article 1904 Rules to be
served by the applicant.
(ii) Method of Service. Service of an application may be effected by
(A) personal service, or
(B) sending a copy of the document by facsimile, Express Mail, or
expedited courier service.
(5) Release to Clerical Staff of Panelists, Committee Members,
Counsel, Professionals, and designated U.S. Government Employees. A
clerical person described in 207.93(a)(4) may be provided with access
to proprietary information disclosed under protective order to the
person who employs or retains him or her, if such clerical person has
agreed to the terms of the protective order issued to the person who
employs or retains him or her, by signing and dating a completed copy of
the application for protective order of the person who employs or
retains him or her where indicated in that application. The person to
whom the protective order has been issued shall file the signed and
dated application with the Commission Secretary in accordance with
paragraph (b)(1).
(6) Persons who Retain Access to Proprietary Information under a
Protective Order Issued during the Administrative Proceeding. (i) If
counsel or a professional has been granted access in an administrative
proceeding to proprietary information under a protective order that
contains a provision governing continued access to that information
during panel review, and that counsel or professional retains the
proprietary information more than fifteen (15) days after a First
Request for Panel Review is filed with the Secretariat, that counsel or
professional, and his or her clerical persons with access on or after
that date, becomes immediately subject to the terms and conditions of
protective orders issued pursuant to this subpart, including provisions
regarding sanctions for violations thereof.
(ii) Any person described in paragraph (b)(6)(i) of this section,
concurrent with the filing of a complaint or notice of appearance in the
panel review on behalf of the participant represented by such person,
shall:
(A) File four (4) copies of the original application, all existing
updates to that application, and the protective order with the United
States Secretary; and
(B) Serve seven (7) copies of the protective order, and all existing
updates upon the Commission.
(iii) Any person described in paragraph (b)(6)(i) of this section who
updates his or her application during the pendency of a panel review
shall immediately:
(A) File an original and six (6) copies of the updates with the
Commission;
(B) Serve a copy of such updates upon all participants in the panel
review; and
(C) File four (4) copies of the updates with the United States
Secretary.
(c) Issuance of Protective Orders to Panelists, Committee Members,
non-clerical staffs of Panelists or Committee Members, Secretariat
staffs, and designated U.S. Government Employees. (1) The Commission
shall, within thirty (30) days of receipt of the application issue a
protective order permitting the release of proprietary information to a
person described in 207.93(a) (1), (5) or (6), who has filed an
application for protective order under this subpart.
(2) A panelist shall be issued two (2) copies of any protective order
authorizing access to proprietary information. The panelist shall sign
both copies of the order and return one (1) to the Commission.
(d) Issuance of Protective Orders to Counsel and Professionals. --
(1) Opportunity to object. The Commission shall not rule on an
application filed by a person described in 207.93(a) (2) or (3) until
ten (10) days after the request is filed unless there is a compelling
need to rule more expeditiously. Unless the Commission has indicated
otherwise, any person may file an objection to the application within
seven (7) days of the application's filing date. Any such objection
shall state the specific reasons why the application should not be
granted. One (1) copy of the objection shall be served on the applicant
and on all persons who were served with the application. Service shall
be by facsimile, Express Mail or by an expedited courier service. Any
reply to an objection will be considered if it is filed before the
Commission renders a decision.
(2) Approval of the Application. If appropriate, the Commission
shall, within thirty (30) days of the receipt of the application, issue
a protective order permitting the release of proprietary information to
the applicant.
(3) Denial of the Application. If the Commission denies an
application, it shall, within thirty (30) days of the receipt of the
application, issue a letter notifying the applicant of its decision and
the reasons therefor.
(e) Retention of Protective Orders. The Commission Secretary shall
retain, in a public file, copies of applications granted, including any
updates thereto, and protective orders issued under this section, and of
any protective orders filed in accordance with paragraph (b)(6)(ii) of
this section.
(f) Filing and Service of Updates To Granted Applications. Any
person described in 207.93(a) (1), (2), or (3) who has been issued a
protective order under section 207.93 (c) or (d) shall
(1) File an original and six (6) copies of any submissions updating
his or her application for protective order with the Commission
Secretary;
(2) Serve such updates upon all participants in the panel review;
and
(3) File four (4) copies of such updates with the United States
Secretary.
(g) Modification or Revocation of Protective Orders. (1) If any
person believes that changed conditions of fact or law, or the public
interest, may require that a protective order effective under this
section be modified or revoked, in whole or in part, such person may
file with the Commission a request for such relief. The Commission may
consider such action sua sponte. The request shall state the changes
desired and the changed circumstances warranting such action, and shall
include materials and arguments in support thereof. Unless the request
is self-initiated, the person filing the request shall serve a copy of
the request upon the person to whom the protective order was issued.
(2) Upon receiving a request, the Commission shall either
(i) Provisionally accept the request or
(ii) Reject the request.
The Commission shall treat a self-initiated action as a provisionally
accepted request. Any person may file a response to the request within
twenty (20) days after the request is filed unless the Commission issues
a notice indicating otherwise. After consideration of the request and
any responses thereto, the Commission shall take such action as it deems
appropriate. If the Commission takes any action that revokes or
modifies an outstanding protective order in the course of an ongoing
panel review, the Commission Secretary shall immediately notify the
Secretariat of such action.
(3) If a request filed under this paragraph alleges that a person is
violating the terms of a protective order, the Commission may, in
addition to, or in lieu of, provisional acceptance or rejection under
the subparagraph, treat the request as a report of violation under
207.101 of this subpart.
19 CFR 207.94 Protection of privileged information during panel and
committee proceedings.
(a) Persons Who May Apply for Access to Privileged Information Under
Protective Order. (1) Panelists. If a panel determines that, pursuant
to the Article 1904 Rules, in camera examination of a document
containing privileged information in the administrative record of a
final determination that is under panel review is necessary in order for
the panel to determine whether the information should be disclosed under
a Protective Order for Privileged Information, the Commission shall,
upon application, issue two (2) copies of the protective order
authorizing the release of the privileged information to the authorized
panelists. Panelists shall sign both copies of the Protective Order for
Privileged Information and return one (1) to the Commission.
(2) Persons Designated by the Panel. Any counsel for a participant,
professional under the direction and control of a counsel for a
participant, or member of a panelist's non-clerical staff, may file with
the Commission an application for release under Protective Order for
Privileged Information with the Commission if a decision is made in
accordance with the Article 1904 Rules that disclosure to that person of
a document containing privileged information is appropriate. Upon such
application, the Commission shall issue a Protective Order for
Privileged Information.
(3) Secretariat Staff. If a decision is made in accordance with the
Article 1904 Rules that disclosure of a document containing privileged
information is appropriate, the Secretaries of the United States and
Canadian sections of the Secretariat and persons retained or employed by
the Secretaries may file with the Commission an application for release
under Protective Order for Privileged Information with the Commission.
Upon such application, the Commission shall issue the Protective Order.
(4) Designated Officers or Employees of the United States Government.
If, in the course of a panel review, the panel has reviewed privileged
information under a Protective Order for Privileged Information and the
privileged information related to issues which affect a decision whether
to request an Extraordinary Challenge Committee, the Commission shall,
upon application, issue a Protective Order for Privileged Information
and release such privileged information to those officials of the United
States government designated by the United States Trade Representative
as being necessary for the evaluation of whether the United States
should, pursuant to the Agreement, convene an extraordinary challenge
committee.
(5) Members of an Extraordinary Challenge Committee. Upon
application, the Commission shall issue a Protective Order for
Privileged Information to members of an extraordinary challenge
committee authorizing the release of privileged information that:
(i) Is part of the extraordinary challenge committee record, as
defined in the Rules of Procedure for Article 1904 Extraordinary
Challenge Committees; and
(ii) Was covered under a Protective Order for Privileged Information
issued by the Commission during panel review.
(6) Clerical Persons. Clerical persons, such as paralegals, law
clerks, and secretaries, who are retained or employed by and under the
direction and control of a person described in 207.94(a) (1), (2), (4),
or (5) who has been issued a Protective Order for Privileged
Information, may obtain access to privileged information if such
clerical persons have agreed to be bound by the terms set forth in the
application for Protective Order of the person who employs or retains
him or her.
(b) Contents of Applications for Release Under Protective Order for
Privileged Information. (1) The Commission Secretary shall adopt from
time to time forms for submitting requests for release pursuant to a
Protective Order for Privileged Information that incorporate the terms
of this rule.
(2) Such forms shall require the applicant for release of privileged
information under Protective Order for Privileged Information to submit
a personal sworn statement stating, in addition to such other conditions
as the Secretary of the Commission may require, that the applicant will:
(i) Not disclose any privileged information obtained under Protective
Order to any person other than
(A) Personnel of the Commission involved in the particular panel
review in which the privileged information is part of the record;
(B) A person who been issued a similar Protective Order for
Privileged Information concerning the privileged information at issue;
and
(C) A clerical person, such as a paralegal, law clerk, or secretary,
employed or retained by and under the direction and control of a person
described in 207.94(a) (1), (2), (4) or (5) who has been issued a
Protective Order for Privileged Information, if such clerical person has
agreed to be bound by the terms set forth in the application for
Protective Order for Privileged Information of the person who employs or
retains him or her by signing and dating the completed application of
that person where indicated in that application.
(ii) Use such information solely for the purposes of proceedings
under Article 1904 of the Agreement;
(iii) Upon completion of panel review, or at such other date as may
be determined by the Commission,
(A) If a person described in 207.93(a)(1), return to the United
States Secretary or certify to the United States Secretary the
destruction of; or
(B) If a person described in 207.93(a) (2), (3), (5) or (6), return
to the Commission or certify to the Commission the destruction of
all documents released under the protective order, and all other
materials, such as notes or charts, based on or containing the
privileged information released under the protective order;
(iv) Acknowledge that sanctions, under section 403(c) of the FTA Act
and 19 CFR 207.100, as well as, unless a person described in
207.94(a)(4), under 77.26 of Canada's Special Import Measures Act, as
amended, may be imposed for violation of the Protective Order.
19 CFR 207.94 Procedures for Imposing Sanctions for Violation of the Provisions of a Protective Order Issued During Panel and Committee Proceedings.
19 CFR 207.100 Sanctions.
(a) A person who is determined under this subpart to have violated or
induced the violation of any provision of a protective order issued
pursuant to this subpart, may be subject to one or more of the following
sanctions:
(1) A civil penalty not to exceed $100,000 for each violation. Each
day of a continuing violation shall constitute a separate violation;
(2) Debarment from practice in any capacity before the Commission for
a designated time period following publication of a determination that
the protective order has been breached;
(3) Denial of further access to proprietary or privileged information
covered by the breached protective order or to proprietary information
in future Commission proceedings;
(4) An official reprimand by the Commission;
(5) In the case of an attorney, accountant, or other professional,
referral of the facts underlying the violation to the ethics panel or
other disciplinary body of the appropriate professional association or
licensing authority;
(6) When appropriate, referral of the facts underlying the violation
to the United States Trade Representative or his designees, or to
another government agency; and
(7) Any other administrative sanctions as the Commission determines
to be appropriate.
(b) The partners, associates, employer, and employees of any person
who has violated or induced the violation of any provision of a
protective order issued pursuant to this subpart, may be subject to any
sanctions included in paragraph (a) of this section as the Commission
determines to be appropriate.
(c) For the purposes of this subpart, inducement includes the willing
acceptance of proprietary or privileged information knowing that such
information was obtained in breach of a protective order.
19 CFR 207.101 Reporting of violation and commencement of
investigation.
(a) Any person who has information indicating that the terms of a
protective order have been violated shall immediately report all
pertinent facts relating thereto to the Commission Secretary.
(b) Upon receipt of this information, the Commission Secretary shall
record the information and assign an investigation number, and shall
then forward all information he or she has received to the Office of
Unfair Import Investigations.
(c) As expeditiously as possible, the Office of Unfair Import
Inestigations shall conduct an inquiry to determine whether there is
reasonable cause to believe that a person or persons have violated any
provision of a protective order. At any time, the Office of Unfair
Import Investigations may request that the Commission assign an
administrative law judge to oversee the inquiry.
(d) At the conclusion of the inquiry, the Office of Unfair Import
Investigations shall assess whether or not the available information is
sufficient to provide reasonable cause to believe that a person or
persons have violated or induced violation of the provisions of a
protective order.
19 CFR 207.102 Initiation of proceedings.
(a) Upon completion of the inquiry,
(1) If the Office of Unfair Import Investigations concludes that
there is not reasonable cause to believe that a person or persons have
violated or induced violation of the provisions of a protective order,
(i) The Office of Unfair Import Investigations shall submit a report
to the Commission; and
(ii) Unless the Commission directs otherwise, the file shall be
closed and returned to the Commission Secretary.
(2) If the Office of Unfair Import Investigations concludes that
there is reasonable cause to believe that a person or persons have
violated or induced violation of the provisions of a protective order,
the Office of Unfair Import Investigations shall
(i) Make a recommendation to the Commission regarding whether and to
what extent it is appropriate to notify the person whose proprietary
information may have been compromised; and
(ii) Submit a report and recommendation to the Commission regarding
whether to initiate sanctions proceedings or take other appropriate
action.
(b) The Commission may make any appropriate determination regarding
the initiation of sanctions proceedings, including rejecting, approving,
or approving and amending any recommendation made by OUII.
(c) If the Commission determines that it is appropriate to issue a
charging letter, the Commission Secretary shall initiate a proceeding
under this subpart by issuing a charging letter as set forth in
207.103.
(d) If the Commission determines that it is appropriate to initiate
proceedings, but that the party to be charged is beyond the jurisdiction
of the Commission and within the jurisdiction of Canada, or that for
other reasons an authorized agency of Canada would be the more
appropriate forum for initation of a proceeding, the Commission shall
take the necessary steps for issuance of a letter requesting the
authorized agency of Canada to initiate proceedings under Canadian law
on the basis of an alleged violation of the protective order.
(e) The Commission may make any determination regarding notification
about the alleged breach and the relevant underlying facts to the person
who submitted the proprietary information that allegedly has been
disclosed. A determination by the Commission on this subject does not
foreclose the administrative law judge from redetermining at any time
during the hearing whether notification to the compromised party is
appropriate.
(f) If the Commission determines that it is not appropriate to issue
a charging letter or to refer the facts to the authorized agency of
Canada, the file shall be closed and returned to the Commission
Secretary, unless the Commission directs otherwise.
(g) Confidentiality. Except as deemed reasonably necessary by the
Office of Unfair Import Investigations to gather relevant information
and to protect the interests of the person who submitted the proprietary
information, all aspects of the inquiry shall remain confidential,
unless otherwise ordered by the Commission. Except as the Commission
may otherwise order, the Commission Secretary shall maintain all closed
investigatory files in confidence to the extent permitted by law, and
shall destroy any documentary evidence containing allegations of breach
for which no proceeding is initiated one year after the file is closed.
19 CFR 207.103 Charging letter.
(a) Contents of charging letter. Each charged party shall be served
by the Commission with a copy of a charging letter and any accompanying
motion for interim measures, as provided for in 207.106. The charging
letter shall include:
(1) Allegations that the provisions of a protective order have been
violated and the basis thereof;
(2) A citation to 207.100 of this subpart, for a listing of
sanctions that may be imposed for breach of a protective order;
(3) A statement that a proceeding has been initiated and that an APA
hearing will be held before an administirative law judge;
(4) A statement that, the charged party or his counsel may request
the issuance of an appropriate administrative protective order to obtain
access to the information upon which the charge is based;
(5) A statement that charged party has a right to retain counsel at
the charged party's own expense for purposes of representation; and
(6) A statement that the charged party has the right to request in
the response described in 207.104 of this subpart that the proceedings
remain confidential to the extent practicable.
(b) Service of charging letter. (1) The charging letter shall be
served in a double envelope. The inner envelope shall indicate that it
is to be opened only by the addressee. Service of a charging letter
shall be made by one of the following methods:
(i) Mailing a copy by registered or certified mail addressed to the
charged party at the party's last known permanent address; or
(ii) Personal service; or
(iii) Any other method acceptable under Rule 4 of the Federal Rules
of Civil Procedure.
(2) Service shall be evidenced by a certificate of service signed by
the person making such service.
(c) Confidentiality of charging letter. Prior to entry of an order
by the administrative law judge under 207.105, the charging letter will
be confidential and disclosed only to necessary Commission staff and the
charged parties.
(d) Amendment of charging letter. (1) At any time after proceedings
have been initiated, the investigative attorney may move for leave to
amend or withdraw the charging letter.
(2) Amendment to include additional parties. If the administrative
law judge determines that the charging letter should be amended to
include additional parties, he shall issue a recommended determination
to that effect. The Commission shall review the recommended
determination, and issue a determination granting or denying the motion
to amend the charging letter to include additional parties.
(3) Other amendments. Upon motion, the administrative law judge may
grant leave to amend the charging letter for good cause shown upon such
conditions as are necessary to avoid prejudicing the public interest and
the rights of the originally-charged parties or parties added to the
charging letter.
(4) Any amended charging letter shall be served upon all charged
parties in the form and manner set forth in paragraphs (a) and (b) of
this section.
19 CFR 207.104 Response to charging letter.
(a) Time for filing. A charged party shall have twenty (20) days
from the date of service of the charging letter within which to file a
written response to the allegations made in the charging letter unless
otherwise ordered by the administrative law judge.
(b) Form and content. Each response shall be under oath and signed
by the charged party or its duly authorized officer, attorney, or agent,
with the name, address, and telephone number of the same. Each charged
party shall respond to each allegation in the charging letter, and may
set forth a concise statement of the facts constituting each ground of
defense. There shall be a specific admission or denial of each fact
alleged in the charging letter, or if the charged party is without
knowledge of any such fact, a statement to that effect.
(c) Request for confidentiality. The response shall contain a
statement as to whether the charged party seeks an order to maintain the
confidentiality of all or part of the proceedings to the extent
practicable, pursuant to 207.105 of this subpart.
19 CFR 207.105 Confidentiality.
(a) Protection of proprietary and privileged information. As
necessary for the preparation of a defense, counsel for the charged
party may be granted access in these proceedings to proprietary
information or to the privileged information the disclosure of which is
the subject of the proceedings. Any such access shall be under
protective order consistent with the provisions of this subpart.
(b) Confidentiality of proceedings. Upon the request of any charged
party pursuant to 207.106 of this subpart, the administrative law judge
will issue an appropriate confidentiality order. This order will
provide for the confidentiality, to the extent practicable and permitted
by law, of information relating to allegations of violations of a
protective order, consistent with public policy considerations and the
needs of the parties in conducting of the sanctions proceedings. The
order will provide that all proceedings under this provision shall be
kept confidential within the terms of the order except to the extent
incorporated into a published final decision of the Commission. Any
confidential information not disclosed in such decision will remain
protected.
19 CFR 207.106 Interim Measures.
(a) At any time after proceedings are initiated, the administrative
law judge, upon motion by the investigative attorney, or on his or her
own initiative, may issue a recommended determination to revoke the
allegedly-violated protective order, to disclose information about the
proceedings that would otherwise be kept confidential, or to take other
appropriate interim measures.
(b) Before issuing a determination recommending interim sanctions,
the administrative law judge shall afford a party against whom such
measures are proposed the opportunity to oppose the motion for interim
sanctions. The administrative law judge will notify the parties of the
determination on interim measures as expeditiously as possible, usually
within no more than twenty (20) days from the date the motion was filed.
(c) The Commission shall review any recommended determination
regarding the imposition of interim measures, and within twenty (20)
days from issuance of the recommended determination, or within such
other time as the Commission may order, the Commission shall issue its
determination regarding interim measures. The Commission may impose any
appropriate interim measures.
(d) The administrative law judge may at any time recommend to the
Commission that interim measures be revoked. Within ten (10) days after
issuance of any such recommendation, or within such other time as the
Commission may order, the Commission shall rule on such recommendation.
(e) If the Commission takes interim measures that revoke or modify an
outstanding protective order issued in the course of an ongoing panel
review, the Commission Secretary shall immediately notify the
Secretariat of these measures. If any such measures are revoked, the
Commission Secretary shall immediately notify the Secretariat of such
change.
19 CFR 207.107 Motions.
(a) Presentation and disposition. (1) After issuance of the charging
letter and while part of the proceeding is pending before the
administrative law judge, all motions relating to that part of the
proceeding shall be addressed to the administrative law judge. If no
administrative law judge has yet been assigned, all motions shall be
addressed to the Chief Administrative Law Judge.
(2) While part of a proceeding is pending before the Commission, all
motions relating to that part of the proceeding shall be addressed to
the Chairman of the Commission. All written motions shall be filed with
the Commission Secretary and served upon all parties.
(b) Content. All written motions shall state the particular order,
ruling, or action desired and the grounds therefor.
(c) Responses. Any response to a motion shall be filed within ten
(10) days after service of the motions, or within such longer or shorter
time as may be designated by the administrative law judge or the
Commission. The moving party shall have no right to reply, except as
permitted by the administrative law judge or the Commission.
(d) Service. All motions, responses, replies, briefs, petitions, and
other documents filed in sanctions proceedings under this subpart shall
be served by the party filing the document upon each other party.
Service shall be made upon counsel for the party unless the
administrative law judge or the Commission orders otherwise.
19 CFR 207.108 Preliminary Conference.
As soon as practicable after the response to the charging letter is
filed, unless the administrative law judge determines that such a
conference is not necessary, the administrative law judge shall direct
counsel or other representatives for the parties to meet with him at a
preliminary conference. At such conference, he shall consider the
issuance of such orders as he deems necessary for the conduct of the
proceedings. Such orders may include, as appropriate under these
regulations, the establishment of a discovery schedule or the issuance
of an order, if requested, to provide for maintaining the
confidentiality of the proceedings pursuant to 207.105(b) of this
subpart.
19 CFR 207.109 Discovery.
(a) Discovery methods. All parties may obtain discovery under such
terms and limitations as the administrative law judge may order.
Discovery may be by one or more of the following methods:
(1) Depositions upon oral examination or written questions. The
attendance of witnesses at a deposition may be compelled by subpoena as
provided in 207.110 of this subpart;
(2) Written interrogatories;
(3) Production of documents or things for inspection and other
purposes; and
(4) Requests for admissions.
If a party or any officer or agent of a party fails to comply with a
discovery order, the administrative law judge may take such action as he
deems reasonable and appropriate, including the issuance of evidentiary
sanctions or deeming the respondent to be in default.
(b) Depositions of nonparty officers or employees of the United
States or Canadian governments. -- (1) Depositions of Commission
officers or employees. A party desiring to take the deposition of an
officer or employee of the Commission (other than a member of the Office
of Unfair Import Investigations or of the Office of the Administrative
Law Judges), or to obtain nonprivileged documents or other physical
exhibits in the custody, control, and possession of such officer or
employee, may file a written motion requesting the administrative law
judge to recommend that the Commission direct that officer or employee
to testify or produce the requested materials.
(2) Depositions of officers or employees of other United States
agencies, or of the Canadian government. A party desiring to take the
deposition of an officer or employee of another agency, or of the
Canadian government, or to obtain nonprivileged documents or other
physical exhibits in the custody, control, and possession of such
officer or employee, may file a written motion requesting the
administrative law judge to recommend that the Commission seek the
testimony or production of requested material from the officer or
employee.
19 CFR 207.110 Subpoenas.
(a) Application for issuance of a subpoena. Except as provided in
207.109(b) of this subpart, an application for issuance of a subpoena
requiring a person to appear and depose or testify at the taking of a
deposition or at a hearing shall be made to the administrative law
judge. The application shall be made in writing, and shall specify the
material to be produced as precisely as possible, showing the relevancy
of the material and the reasonableness of the scope of the subpoena.
The application shall be ruled upon by the administrative law judge.
(b) Enforcement of a subpoena. A motion for enforcement of a
subpoena shall be made to the administrative law judge. Upon
consideration of the motion and any response thereto, the administrative
law judge shall recommend to the Commission in favor of or against
enforcement. The administrative law judge's recommendation shall
provide the basis therefor, and shall address each of the criteria
necessary for enforcement of an administrative subpoena. After
consideration of the administrative law judge's recommendation, the
Commission shall determine whether initiation of enforcement proceedings
is appropriate.
(c) Application for subpoena grounded upon the Freedom of Information
Act. No application for a subpoena for production of documents grounded
upon the Freedom of Information Act (5 U.S.C. 552) shall be entertained
by the administrative law judge or the Commission.
19 CFR 207.111 Prehearing conference.
The administrative law judge may direct counsel or other
representatives for the parties to meet with him to consider any or all
of the following:
(a) Simplification and clarification of the issues;
(b) Scope of the hearing;
(c) Stipulations and admissions of either fact or the content and
authenticity of documents;
(d) Disclosure of the names of witnesses and the exchange of
documents or other physical evidence that will be introduced in the
course of the hearing; and
(e) Such other matters as may aid in the orderly and expeditious
disposition of the proceedings.
19 CFR 207.112 Hearings.
(a) Purpose of and scheduling of hearings. An opportunity for a
hearing before an administrative law judge shall be provided for each
action initiated under this subpart. The purpose of such hearing shall
be to take evidence and hear argument in order to determine whether a
party has violated or induced violation of the provisions of a
protective order, and if so, what sanctions are appropriate. Hearings
shall proceed with all reasonable expedition, and, insofar as
practicable, shall be held at one place, continuing until completed
unless otherwise ordered by the administrative law judge.
(b) Joinder or consolidation. If sanctions are proposed against more
than one party or if violations of more than one protective order are
alleged, the administrative law judge may order such joinder or
consolidation as may tend to avoid unnecessary costs or delay.
(c) Compliance with Administrative Procedure Act. The administrative
law judge shall conduct a hearing that complies with the requirements of
section 554 of title 5 of the United States Code.
19 CFR 207.113 The record.
(a) Definition of the record. The record shall consist of --
(1) All pleadings, the charging letter and response thereto, motions
and responses, and other documents and exhibits properly filed with the
Commission Secretary;
(2) All orders, notices, and the recommended or initial
determinations of the administrative law judge;
(3) Orders, notices, and any final determination of the Commission;
(4) Hearing transcripts, and evidence admitted at the hearing; and
(5) Any other items certified into the record by the administrative
law judge.
(b) Certification of the record. The record shall be certified to
the Commission by the administrative law judge upon his filing of the
initial determination.
19 CFR 207.114 Initial determination.
(a) Time for filing of initial determination. (1) Except as may
otherwise be ordered by the Commission, within ninety (90) days, or
within 120 days in a complicated case, of the date of issuance of the
charging letter, the administrative law judge shall certify the record
to the Commission and shall file with the Commission an initial
determination as to whether each charged party has violated or induced
violation of the provisions of a protective order, and as to appropriate
sanctions. Any party may request the administrative law judge to treat
the proceeding as a complicated case requiring 120 days for completion.
(2) The administrative law judge may request the Commission to extend
the time period for issuance of the initial determination as for good
cause shown.
(b) Contents of the initial determination. The initial determination
shall include the following:
(1) An opinion stating findings and conclusions necessary for the
disposition of all material issues of fact, law, or discretion, and the
reasons or bases therefor.
(2) A statement that the initial determination shall become the
determination of the Commission unless a party files a petition for
review of the determination pursuant to 207.115 or the Commission
pursuant to 207.116 orders on its own motion a review of the initial
determination or certain issues therein.
(c) Burden of proof. A finding that a charged party violated or
induced the violation of the terms of a protective order shall be
supported by clear and convincing evidence. The administrative law
judge may impose any appropriate sanctions if clear and convincing
evidence supports a finding that the charged party violated or induced
the violation of the terms of a protective order.
(d) Effect of initial determination. The initial determination shall
become the determination of the Commission forty-five (45) days after
the date of service of the initial determination, unless the Commission
within such time orders review of the initial determination or certain
issues therein pursuant to 207.115 or 207.116 or by order shall have
changed the effective date of the initial determination. In the event
an initial determination becomes the determination of the Commission,
the parties shall be notified thereof by the Commission Secretary.
19 CFR 207.115 Petition for review.
(a) The petition and responses. (1) Any party may request a review
by the Commission of the initial determination by filing with the
Commission Secretary a petition for review, except that a party who has
defaulted may not petition for review of any issue regarding which the
party is in default.
(2) Any person who wishes to obtain judicial review pursuant to
section 403(c) of the FTA Act must first seek review by the Commission
in accordance with the procedures set forth in this regulation governing
petitions for review.
(3) Any petition for review must be filed within fourteen (14) days
after service of the initial determination on the charged party. The
petition shall:
(i) Identify the party seeking review;
(ii) Specify the issues upon which review is sought, including a
statement as to whether review is sought of the initial determination
regarding the existence of a violation, or of the initial determination
regarding sanctions;
(iii) Set forth a concise statement of the relevant law or material
facts necessary for consideration of the stated issues; and
(iv) Present a concise argument setting forth the reasons why review
is necessary or appropriate.
(4) Any issue not raised in the petition for review filed under this
section will be deemed to have been abandoned and may be disregarded by
the Commission in determining whether to review, and in reviewing, an
initial determination.
(5) Any party may file a response to the petition within seven (7)
days after service of the petition, except that a party who has
defaulted may not file a response to any issue regarding which the party
is in default.
(b) Grant or denial of review. (1) The Commission shall decide
whether to grant a petition for review, in whole or in part, within
forty-five (45) days of the service of the initial determination on the
parties, or by such other time as the Commission may order.
(2) The Commission shall base its decision whether to grant a
petition for review upon the petition and response thereto, without oral
argument or further written submissions, unless the Commission shall
order otherwise.
(3) The Commission shall grant a petition for review of an initial
determination or certain issues therein when at least one of the
participating Commissioners votes for ordering review. In its notice,
the Commission shall establish the scope of the review and the issues
that will be considered and make provisions for the filing of briefs and
oral argument if deemed appropriate by the Commission. The notice that
the Commission has granted the petition shall be served by the
Commission Secretary on all parties.
19 CFR 207.116 Commission review on its own motion.
Within forty-five (45) days of the date of service of the initial
determination, the Commission on its own initiative may order review of
an initial determination or certain issues therein when at least one of
the participating Commissioners votes for ordering review.
19 CFR 207.117 Review by Commission.
On review, the parties may not present argument on any issue that is
not set forth in the notice of review. On review, the Commission may
affirm, reverse, modify, set aside or remand for further proceedings, in
whole or in part, the initial determination of the administrative law
judge. The Commission may make any findings or conclusions that in its
judgment are proper based on the record in the proceeding.
19 CFR 207.118 Role of the General Counsel in advising the Commission.
When the allegedly-violated protective order was issued in connection
with a panel review that was not completed as of the date the charging
letter was issued, and in other appropriate circumstances, the General
Counsel and any other Commission attorneys who have participated in the
panel review, shall not participate in advising the Commission as to the
sanctions proceedings brought under this subpart. In such cases, the
Assistant General Counsel for Section 337 Investigations, who shall have
had no role in the panel review or underlying investigation, shall be
designated Acting General Counsel.
19 CFR 207.119 Reconsideration.
(a) Petition for reconsideration. Within fourteen (14) days after
service of a Commission determination, any party may file with the
Commission a petition for reconsideration, setting forth the relief
desired and the grounds in support thereof. Any petition filed under
this section must be confined to new questions raised by the
determination or action ordered to be taken thereunder and upon which
the petitioner had no opportunity to submit arguments.
(b) Disposition of petition for reconsideration.
The Commission shall grant or deny the petition for reconsideration.
No response to a petition for reconsideration will be received unless
requested by the Commission, but a petition for reconsideration will not
be granted in the absence of such a request. If the motion to
reconsider is granted, the Commission may affirm, set aside, or modify
its determination, including any action ordered by it to be taken
thereunder. When appropriate, the Commission may order the
administrative law judge to take additional evidence.
19 CFR 207.120 Public notice of sanctions.
If the final Commission decision is that there has been a violation
of a protective order, and that public sanctions are to be imposed,
notice of the decision will be published in the Federal Register and
forwarded to the Secretariat. Such publication will occur no sooner
than fourteen (14) days after issuance of a final decision or after any
petition for reconsideration has been denied. The Commission Secretary
shall also serve notice of the Commission decision upon such departments
and agencies of the United States and Canadian governments as the
Commission deems appropriate.
19 CFR 207.120 SUBCHAPTER C -- INVESTIGATIONS OF UNFAIR PRACTICES IN IMPORT TRADE
19 CFR 207.120 PART 210 -- ADJUDICATIVE PROCEDURES
Sec.
210.1 Applicability of part.
210.2 General policy.
19 CFR 207.120 Subpart A -- General Provisions
210.4 Definitions.
210.5 Written submissions.
210.6 Confidential business information.
210.7 Computation of time, additional hearings, postponements,
continuances, and extensions of time.
210.8 Service of process and other documents.
19 CFR 207.120 Subpart B -- Commencement of Proceedings
210.10 Commencement of proceedings.
210.11 Action of Commission upon receipt of complaint.
210.12 Institution of investigation.
210.13 Service of complaint and notice of investigation by the
Commission.
19 CFR 207.120 Subpart C -- Pleadings and Motions
210.20 The complaint.
210.21 The response.
210.22 Amendments to pleadings and notice of investigation.
210.23 Supplemental submissions.
210.24 Motions.
210.25 Default.
210.26 Intervention.
19 CFR 207.120 Subpart D -- Discovery and Compulsory Process
210.30 General provisions governing discovery.
210.31 Depositions.
210.32 Interrogatories.
210.33 Request for production of documents and things and entry upon
land.
210.34 Request for admission.
210.35 Subpoenas.
210.36 Failure to make discovery; sanctions.
210.37 Protective orders.
19 CFR 207.120 Subpart E -- Prehearing Conferences and Hearings
210.40 Prehearing conferences.
210.41 General provisions for hearings.
210.42 Evidence.
210.43 Record.
210.44 In camera treatment of confidential information.
19 CFR 207.120 Subpart F -- Determinations and Actions Taken
210.50 Summary determinations.
210.51 Termination of investigation.
210.52 Proposed findings and conclusions.
210.53 Initial determination.
210.54 Petition for review.
210.55 Commission review on its own motion.
210.56 Review by Commission.
210.57 Implementation of Commission action.
210.58 Commission action, public interest factor, and bonding.
210.59 Period for concluding Commission investigation.
19 CFR 207.120 Subpart G -- Appeals
210.60 Petition for reconsideration.
210.61 Disposition of petition for reconsideration.
210.70 Interloctory appeals.
210.71 Appeals of final determination to the United States Court of
Appeals for the Federal Circuit.
Authority: 19 U.S.C. 1333, 1335, and 1337, and sections 2 and
1342(d)(1)(B) of Pub. L. No. 100-418, 102 Stat. 1107 (1988), 133 Cong.
Rec. S10364-S10365 (statement of Sen. Lautenberg) (July 21, 1987), H.R.
Rep. No. 576, 100th Cong., 2d. Sess. 635-636 (1988); 134 Cong. Rec.
H1863 and H2044 (Apr. 20, 1988).
Source: 53 FR 33055, Aug. 29, 1988, unless otherwise noted.
19 CFR 210.1 Applicability of part.
The rules in this part govern procedure relating to proceedings under
section 337 of the Tariff Act of 1930 (19 U.S.C. 1337). These rules are
expressly or impliedly authorized by sections 333, 335, and 337 of the
Tariff Act of 1930 (19 U.S.C. 1333, 1335, and 1337), sections 2 and
1342(d)(1)(B) of the Omnibus Trade and Competitiveness Act of 1988, Pub.
L. No. 100-418, 102 Stat. 1107 (1988), and its legislative history,
133 Cong. Rec. S10364-S10365 (Statement of Sen. Lautenberg) (July 21,
1987), H.R. Rep. No. 576, 100th Cong., 2d Sess. 635-636 (1988), 134
CONG. REC. H1863 and H2044 (April 20, 1988).
(53 FR 49129, Dec. 6, 1988)
19 CFR 210.2 General policy.
It is the policy of the Commission that, to the extent practicable
and consistent with requirements of law, such proceedings shall be
conducted expeditiously. In the conduct of such proceedings, the
administrative law judge and counsel or other representative for each
party shall make every effort at each stage of the proceedings to avoid
delay.
19 CFR 210.2 Subpart A -- General Provisions
19 CFR 210.4 Definitions.
As used in this part --
Administrative law judge means the person appointed under section
3105 of Title 5 of the United States Code presiding over the taking of
evidence in an investigation under this part;
Commission investigative attorney means, for purposes of a particular
proceeding under section 337 of the Tariff Act, the attorney(s)
designated to engage in investigatory activities with respect to the
proceeding, in his (or their) capacity as investigator(s) in the
proceeding;
Complainant means a person who has filed a complaint with the
Commission under this part;
Party means each complainant and respondent in the investigation, the
Commission investigative attorney, and each person permitted to
intervene pursuant to 210.26;
Respondent means any person named in a notice of investigation issued
under this part as allegedly violating section 337 of the Tariff Act.
19 CFR 210.5 Written submissions.
(a) Caption; names of parties. Every submission shall contain a
caption setting forth the name of the Commission, the title of the
investigation, the docket number or investigation number assigned to the
proceeding, if any, and, in the case of a complaint and response, the
names of all or the primary parties to the proceeding.
(b) Signing of pleadings, motions, and other papers; sanctions.
Every pleading, motion, and other paper of a party represented by an
attorney shall be signed by at least one attorney of record in the
attorney's individual name, whose address shall be stated. A party who
is not represented by an attorney shall sign or his duly authorized
officer or agent shall sign the party's pleading, motion, or other
paper, and shall state the party's address. Except when otherwise
provided in 210.20(a), 210.21, and 210.24(e) (1) and (9), pleadings,
motions, and other papers need not be under oath or accompanied by an
affidavit. The signature of an attorney or party, or the party's duly
authorized officer or agent constitutes certification by the signer
that:
(1) He is duly authorized to sign the pleading, motion, or other
paper;
(2) He has read the document;
(3) To the best of the signer's knowledge, information, and belief
founded after reasonable inquiry, the document is well grounded in fact
and is warranted by existing law or a good faith argument for the
extension, modification, or reversal of existing law; and
(4) The document is not being filed for any improper purpose, such as
to harass or to cause unnecessary delay or needless increase in the cost
of litigation.
If a pleading, motion or other paper is not signed, it shall be
stricken unless it is signed promptly after the omission is called to
the attention of the pleader or movant. If a pleading, motion, or other
paper is signed in violation of this section, the Commission or (if the
case is before the administrative law judge) the administrative law
judge, upon motion or sua sponte, shall impose upon the person who
signed the document, the represented party, or both, an appropriate
sanction.
(c) Filing of documents. Submissions shall be filed in accordance
with paragraphs (a), (b), and (c) of this section and 210.8 of this
chapter. Except as otherwise provided for in this part or by the
Commission, the original and fourteen (14) true copies of each
submission shall be filed with the Commission. While an investigation
is before an administrative law judge, the original and six (6) true
copies of each submission shall be filed with the Commission Secretary.
(d) Service of submissions. Except as otherwise provided for in this
part, or by the Commission or the administrative law judge, each
submission filed by a party with the Commission shall be served on all
other parties and in a manner provided for in 210.16 of this chapter.
19 CFR 210.6 Confidential business information.
(a) Confidential business information defined and identified.
Confidential business information shall be defined in accordance with
210.6(a) of this chapter and shall be identified and submitted in
accordance with 210.6(c) of this chapter.
(b) Restrictions on disclosure. Information that is submitted to the
Commission or exchanged among the parties in connection with proceedings
under this part, is designated confidential by the person submitting it
(pursuant to paragraph (a) of this section), and is in fact confidential
within the meaning of 210.6(a) of this chapter, may not be disclosed
without the consent of the person submitting it to anyone but the
following persons:
(1) Persons who are granted access to confidential information under
orders issued pursuant to 210.37(a) or 210.44;
(2) An officer or employee of the Commission who is directly
concerned with carrying out the investigation in connection with which
the information is submitted;
(3) An officer or employee of the United States Government who is
directly involved in a review conducted pursuant to section 337(j) of
the Tariff Act of 1930; or
(4) An officer or employee of the United States Customs Service who
is directly involved in administering an exclusion from entry under
section 337(d) or 337(g) of the Tariff Act or an entry under bond under
section 337(e) of the Tariff Act resulting from the investigation in
connection with which the information was submitted.
19 CFR 210.7 Computation of time, additional hearings, postponements,
continuances, and extensions of time.
Unless otherwise ordered by the Commission or the administrative law
judge and except as provided in 210.24(e)(2), (7), and (17), the
computation of time, the granting of additional hearings, postponements,
continuances, and extensions of time shall be in accordance with 201.14
of this chapter.
19 CFR 210.8 Service of process and other documents.
Unless otherwise ordered by the Commission or the administrative law
judge and except as provided in 210.24(e)(4), (7), and (17), the
service or process and other documents shall be in accordance with
201.16 of this chapter.
19 CFR 210.8 Subpart B -- Commencement of Proceedings
19 CFR 210.10 Commencement of proceedings.
(a) Upon receipt of complaint. A proceeding is commenced by filing
with the Secretary of the Commission the original and fourteen (14) true
copies of a complaint, plus one copy for each person named in the
complaint as violating section 337 of the Tariff Act and one (1) copy
for the government of each foreign country of any person or persons so
named. If the complainant is seeking temporary relief, one (1)
additional copy of the motion for such relief also must be filed for
each proposed respondent and for the government of the foreign country
of the proposed respondent. The additional copies of the complaint and
motion for temporary relief for each proposed respondent and the
appropriate foreign government are to be provided notwithstanding the
provisions of 210.24(e)(4) that require service of the complaint and
motion for temporary relief by the complainant.
(b) Upon the initiative of the Commission. The Commission may upon
its initiative commence proceedings based upon any alleged violation of
section 337 of the Tariff Act.
19 CFR 210.11 Action of Commission upon receipt of complaint.
Upon receipt of a complaint filed pursuant to 201.8 of this chapter
and 210.5, 210.10, and 210.20, the Commission shall take the following
actions:
(a) Examination of complaint. The Commission shall examine the
complaint for sufficiency and compliance with the applicable rules of
this chapter.
(b) Informal investigatory activity. The Commission shall identify
sources of relevant information, assure itself of the availability
thereof, and, if deemed necessary, prepare subpoenas therefore, and give
attention to other preliminary matters.
19 CFR 210.12 Institution of investigation.
Except as provided in 210.24(e)(2), (7), and (8), within thirty (30)
days after receipt of a complaint or, in exceptional circumstances, as
soon after such period as possible, the Commission shall determine
whether the complaint is properly filed and, if so, shall vote on
whether to institute an investigation. The complaint may be withdrawn
as a matter of right before the Commission votes on whether to institute
an investigation. The investigation shall be instituted by notice
published in the Federal Register. Such notice will define the scope of
the investigation. If the Commission determines not to institute an
investigation, the complaint shall be dismissed and the Commission shall
notify the complainant and all proposed respondents in writing of the
Commission's action and the reason(s) therefor.
19 CFR 210.13 Service of complaint and notice of investigation by the
Commision.
Notwithstanding the provisions of 210.24(e)(4) requiring service of
the complaint by the complainant, the Commission, upon institution of an
investigation, shall serve copies of the complaint and the notice of
investigation (and any accompanying motion for temporary relief) upon
the following:
(a) Each respondent;
(b) The Department of Health and Human Services, the Department of
Justice, the Federal Trade Commission, and such other agencies and
Departments as the Commission considers appropriate; and
(c) The embassy in Washington, DC of the government of each foreign
country represented by each respondent.
All respondents named after an investigation has been instituted and
the governments of the foreign countries they represent shall be served
as soon as possible after the respondents are named.
19 CFR 210.13 Subpart C -- Pleadings and Motions
19 CFR 210.20 The complaint.
(a) Contents of the complaint. In addition to conforming with the
requirements of 201.8 of this chapter and 210.5(a), (b), and (c), the
complaint shall --
(1) Be under oath and signed by the complainant or his duly
authorized officer, attorney, or agent, with the name, address, and
telephone number of the complainant and any such officer, attorney, or
agent given on the first page of the complaint;
(2) Include a statement of the facts constituting the alleged unfair
methods of competition and unfair acts;
(3) Describe specific instances of alleged unlawful importations or
sales; for importations occurring prior to January 1, 1989, include the
Tariff Schedules of the United States item number under which the
article was imported; for importations occurring on or after January 1,
1989, include the Harmonized Tariff Schedule of the United States item
number under which the article was imported;
(4) State the name, address, and nature of the business (when such
nature is known) of each person alleged to be violating section 337 of
the Tariff Act;
(5) Include a statement as to whether or not the alleged unfair
methods of competition and unfair acts, or the subject matter thereof,
are or have been the subject of any court or agency litigation, and, if
so, include a brief summary of such litigation;
(6)(i) When the alleged violation of section 337 is based on an
unfair method of competition or an unfair act other than infringement of
a U.S. patent or a federally registered copyright, trademark, or mask
work, or the importation or sale of a product made, produced, processed,
or mined under, or by means of, a process covered by the claims of a
valid and enforceable U.S. patent, and an element of the complaint is
the existence of a threat or effect to destroy or substantially injure,
or to prevent the establishment of, such a domestic industry, include a
description of the domestic industry affected, including the relevant
operations of any licensees; or
(ii) When the alleged violation of section 337 is based on an unfair
method of competition or an unfair act other than infringement of a U.S.
patent or a federally registered copyright, trademark, or mask work, or
the importation or sale of a product made, produced, processed, or mined
under, or by means of, a process covered by the claims of a valid and
enforceable U.S. patent, and an element of the complaint is the
existence of a threat or effect to restrain or monopolize trade and
commerce in the United States, include a description of the trade and
commerce affected; or
(iii) When the alleged violation of section 337 is based on
infringement of a U.S. patent or infringement of a federally registered
copyright, trademark, or mask work, or the importation or sale of a
product made, produced, processed, or mined under, or by means of, a
process covered by the claims of a valid and enforceable U.S. patent,
include a description of the relevant domestic industry as defined in
section 337(a)(3), including the relevant operations of any licensees.
Relevant information includes but is not limited to:
(A) Significant investment in plant and equipment;
(B) Significant employment of labor or capital; or
(C) Substantial investment in the exploitation of the subject patent,
copyright, trademark, or mask work, including engineering, research and
development, or licensing;
(7) Include a description of the complainant's business and its
interests in the relevant domestic industry or in the trade and commerce
allegedly affected. For every intellectual property based complaint
(regardless of the type of intellectual property right involved),
include a showing that at least one complainant is the owner or
exclusive licensee of the subject property;
(8) If the alleged violation involves an unfair method of competition
or an unfair act other than infringement of a patent or a registered
copyright, trademark, or mask work, or the importation or sale of a
product made, produced, processed, or mined under, or by means of, a
process covered by the claims of a valid and enforceable U.S. patent,
state a specific theory underlying the general allegation(s) regarding
the existence of a threat or effect to destroy or substantially injure a
domestic industry, to prevent the establishment of a domestic industry,
or to restrain or monopolize trade and commerce in the United States.
Include a statement of facts indicating the threat or effect to
substantially injure. The information that should ordinarily be
provided includes the volume and trend of production, sales, and
inventories of the involved domestic article; a description of the
facilities and number and type of workers employed in the production of
the involved domestic article; profit-and-loss information covering
overall operations and operations concerning the involved domestic
article; pricing information with respect to the involved domestic
article; when available, volume and sales of imports; and other data
pertinent to the subject matter of the complaint that would support the
allegation that)
(i) The threat or effect of the importations or sales in question is
to destroy or substantially injury an industry in the United States; or
(ii) The threat or effect of the importations or sales in question is
to prevent the establishment of an industry in the United States; or
(iii) The threat or effect of the importations or sales in question
is to restrain or monopolize trade and commerce in the United States;
(9) Include, when a complaint is based upon the infringement of a
valid and enforceable U.S. patent or the importation or sale of a
product allegedly made, produced, processed, or mined under, or by means
of, a process covered by the claims of a valid and enforceable U.S.
patent --
(i) The identification of each U.S. letters patent and a certified
copy thereof (a legible copy of each such patent will suffice for each
required copy of the complaint);
(ii) The identification of the ownership of each involved U.S.
letters patent and a certified copy of each assignment of each such
patent (a legible copy thereof will suffice for each required copy of
the complaint);
(iii) The identification of each licensee under each involved U.S.
letters patent:
(iv) When known, a list of each foreign patent, each foreign patent
application (not already issued as a patent), and each foreign patent
application that has been denied corresponding to each involved U.S.
letters patent, with an indication of the prosecution status of each
such foreign patent application;
(v) A nontechnical description of the invention of each involved U.S.
letters patent:
(vi) A reference to the specific claims in each involved U.S.
letters patent that allegedly cover the article imported or sold by each
person named as violating section 337 of the Tariff Act, or the process
under which such article was produced;
(vii) A showing of any domestic production of the involved article or
of any domestic utilization of the involved process allegedly covered by
the above specific claims of each involved U.S. letters patent, and a
showing that each person named as violating section 337 of the Tariff
Act is importing and/or selling the article covered by, or produced
under the involved process covered by, the above specific claims of each
involved U.S. letters patent. The complainant shall make such showing
by appropriate allegations, and when practicable, by a chart that
applies an exemplary claim of each involved U.S. letters patent to a
representative involved domestic article or process and to a
representative involved article of each person named as violating
section 337 of the Tariff Act or to the process under which such article
was produced; and
(viii) Drawings, photographs, or other visual representations of both
the involved domestic article or process and the involved article of
each person named as violating section 337 of the Tariff Act, or of the
process utilized in producing such article, and, when a chart is
furnished under paragraph (a)(9)(vii) of this section, the parts of such
drawings, photographs, or other visual representations should be labeled
so that they can be read in conjunction with such chart; and
(10) Contain a request for relief sought. When the complaint
contains a request for temporary relief pursuant to subsections (e) or
(f) of section 337 of the Tariff Act, a separate motion for temporary
relief shall accompany the complaint in accordance with 210.24(e).
(b) Submissions of articles as exhibits. At the time the complaint
is filed, when practical and possible, the involved articles shall be
submitted as exhibits -- both the involved domestic article and that of
each person named as violating section 337 of the Tariff Act.
(c) Additional material to accompany each patent-based complaint.
There shall accompany the submission of the original of each complaint
based upon the alleged unauthorized importation or sale of an article
covered by, or produced under a process covered by, the claims of a
valid U.S. letters patent the following:
(1) Three (3) copies of each license agreement arising out of each
involved U.S. letters patent, except that, to the extent that a standard
license agreement is used, three (3) copies of the standard license
agreement and a list of the licensees operating under such agreement
will suffice;
(2) One (1) certified copy of the Patent and Trademark Office file
wrapper for each involved U.S. letters patent, plus three (3) additional
copies thereof; and
(3) Four (4) copies of each patent and applicable pages of each
technical reference mentioned in the file wrapper of each involved U.S.
letters patent.
(d) Additional material to accompany each registered trademark-based
complaint. There shall accompany the submission of the original of each
complaint based upon the alleged unathorized importation or sale of an
article covered by a federally registered trademark one (1) certified
copy of the trademark registration.
(e) Additional material to accompany each complaint based on a
nonfederally registered trademark. There shall accompany the submission
of the original of each complaint based upon the alleged unauthorized
importation or sale of an article covered by a nonfederally registered
trademark the following:
(1) Information concerning prior attempts to register the alleged
trademark; and
(2) Information on the status of current attempts to register the
alleged trademark.
(f) Additional material to accompany each copyright-based complaint.
There shall accompany the submission of the original of each complaint
based upon the alleged unauthorized importation or sale of an article
covered by a copyright one (1) certified copy of the copyright
registration.
(g) Additional material to accompany each registered mask work-based
complaint. There shall accompany the submission of the original of each
complaint based upon the alleged unauthorized importation or sale of a
semiconductor chip in a manner that constitutes infringement of a
federally registered mask work, one (1) certified copy of the mask work
registration.
19 CFR 210.21 The response.
(a) Time for response. Except as provided in 210.24(e)(9) and
unless otherwise ordered in the notice of investigation or by the
administrative law judge, respondents shall have twenty (20) days from
the date of service of the complaint and notice of investigation by the
Commission under 210.13 within which to file a written response to the
complaint and the notice of investigation. When the investigation
involves a motion for temporary relief under 210.24(e), the response to
the complaint and notice of investigation must be filed concurrently
with the response to the motion for temporary relief -- i.e., ten (10)
days after service of the complaint, notice of investigation, and the
motion for temporary relief by the Commission pursuant to 210.13. (See
210.24(e)(9).)
(b) Contents of the response. In addition to conforming to the
requirements of 201.8 of this chapter and 210.5, each response shall
be under oath and signed by respondent or his duly authorized officer,
attorney, or agent with the name, address, and telephone number of the
respondent and any such officer, attorney, or agent given on the first
page of the response. Each respondent shall respond to each allegation
in the complaint and in the notice of investigation, and shall set forth
a concise statement of the facts constituting each ground of defense.
There shall be a specific admission, denial, or explanation of each fact
alleged in the complaint and notice, or if the respondent is without
knowledge of any such fact, a statement to that effect. Allegations of
a complaint and notice not thus answered may be deemed to have been
admitted. Each response shall include, when available, statistical data
on the quantity and value of imports of the involved article in addition
to a statement concerning the respondent's capacity to produce the
subject article and the relative significance of the United States
market to its operations. Affirmative defenses shall be pleaded with as
much specificity as possible in the response. When the alleged unfair
methods of competition and unfair acts are based upon the claims of a
valid U.S. letters patent, the respondent is encouraged to make the
following showing when appropriate:
(1) If it is asserted in defense that the article imported or sold by
respondent is not covered by, or produced under a process covered by,
the claims of each involved U.S. letters patent, a showing of such
noncoverage for each involved claim in each U.S. letters patent in
question shall be made, which showing may be by appropriate allegations
and, when practicable, by a chart that applies the involved claims of
each U.S. letters patent in question to a representative involved
imported article of respondent or to the process under which such
article was produced;
(2) Drawings, photographs, or other visual representations of the
involved imported article of respondent or the process utilized in
producing such article, and, when a chart is furnished under paragraph
(b)(1) of this section, the parts of such drawings, photographs, or
other visual representations should be labeled so that they can be read
in conjunction with such chart; and
(3) If the claims of any involved U.S. letters patent are asserted to
be invalid or unenforceable, the basis for such assertion, including,
when prior art is relied on, a showing of how the prior art renders each
claim invalid or unenforceable and a copy of such prior art.
(c) Submission of article as exhibit. At the time the response is
filed, when practical and possible, the involved imported article shall
be submitted as an exhibit.
19 CFR 210.22 Amendments to pleadings and notice of investigation.
(a) Amendment of complaint. The complaint may be amended at any time
prior to the institution of the investigation. After institution, the
complaint may be amended for good cause shown upon such conditions as
are necessary to avoid prejudicing the public interest and the rights of
the parties to the investigation by a change in the scope of the
investigation that results from such amendment.
(b) By leave. If and whenever disposition of the issues in an
investigation on the merits will be facilitated, the administrative law
judge, upon such conditions as are necessary to avoid prejudicing the
public interest and the rights of the parties to an investigation, may
allow appropriate amendments to pleadings. Provided, however, that a
motion for amendment of a complaint after the institution of an
investigation shall be made to the administrative law judge, who shall
grant the motion by filing with the Commission an initial determination,
or shall deny the motion by issuing an order directing denial; the
motion shall be decided according to the standards of paragraph (a) of
this section. A motion for amendment of a notice shall be dealt with as
provided with respect to motions for amendment of a complaint.
(c) Conformance to evidence. When issues not raised by the pleadings
or notice of investigation, but reasonably within the scope of the
pleadings and notice, are considered during the taking of evidence by
express or implied consent of the parties, they shall be treated in all
respects as if they had been raised in the pleadings and notice. Such
amendments of the pleadings and notice as may be necessary to make them
conform to the evidence and to raise such issues shall be allowed at any
time, and shall be effective with respect to all parties who have
expressly or impliedly consented.
19 CFR 210.23 Supplemental submissions.
The administrative law judge may, upon reasonable notice and such
terms as are just, permit service of a supplemental submission setting
forth transactions, occurrences, or events that have taken place since
the date of the submission sought to be supplemented and that are
relevant to any of the issues involved.
19 CFR 210.24 Motions.
(a) Presentations and disposition. (1) During the period between the
institution of an investigation and the assignment of the investigation
to a presiding administrative law judge, all motions shall be addressed
to the Chief Administrative Law Judge. During the time an investigation
is before an administrative law judge, all motions therein shall be
addressed to the administrative law judge.
(2) When an investigation is before the Commission, all motions shall
be addressed to the Chairman of the Commission. A motion to amend the
complaint and notice of investigation to name an additional respondent
after institution shall be served on the proposed respondent. All
written motions shall be filed with the Commission secretary and served
upon each party.
(b) Content. All written motions shall state the particular order,
ruling, or action desired and the grounds therefor.
(c) Responses to motions. Within ten (10) days after service of any
written motions, or within such longer or shorter time as may be
designated by the administrative law judge or the Commission, a
nonmoving party, or in the instance of a motion to amend the complaint
or notice of investigation to name an additional respondent after
institution, the proposed respondent, shall respond or he may be deemed
to have consented to the granting of the relief asked for in the motion.
The moving party shall have no right to reply, except as permitted by
the administrative law judge or the Commission.
(d) Motions for extensions. As a matter of discretion, the
administrative law judge or the Commission may waive the requirements of
this section as to motions for extension of time, and may rule upon such
motions ex parte.
(e) Motions for temporary relief. Requests for temporary relief
pursuant to subsection (e) or (f) of section 337 of the Tariff Act shall
be made through a motion to be filed and adjudicated in accordance with
the following provisions.
(1) Motion accompanying complaint. (i) A complaint requesting
temporary relief pursuant to 210.20(a)(10) shall be accompanied by a
motion that sets forth complainant's request for temporary relief. The
motion must contain a detailed statement of specific facts bearing on:
(A) Complainant's probability of success on the merits;
(B) Immediate and substantial harm to the domestic industry in the
absence of the requested temporary relief;
(C) Harm, if any, to the proposed respondents if the requested
temporary relief is granted; and
(D) The effect, if any, that the issuance of the requested temporary
relief would have on the public interest.
(ii) If the motion requests that the Commission issue a temporary
exclusion order under subsection (e) of section 337, the motion must
also contain a detailed statement of facts bearing on:
(A) Whether the complainant should be required to post a bond as a
prerequisite to the issuance of a temporary exclusion order; and
(B) The appropriate amount of the bond, if the Commission determines
that a bond will be required.
(iii) The factors the Commission will consider in determining whether
to require a bond include the following:
(A) The strength of the complainant's case;
(B) Whether posting a bond would impose an undue hardship on the
complainant;
(C) Whether the respondent has responded to the motion for temporary
relief (in the time and manner specified by paragraph (e)(9) of this
section or by order of the Commission or the presiding administrative
law judge);
(D) Whether the respondent will be harmed by issuance of the
temporary exclusion order sought by the complainant; and
(E) Any other legal, equitable, or public interest consideration that
is relevant to whether complainant should be required to post a bond as
a condition precedent to obtaining temporary relief (including the
question of whether the complainant is using the temporary relief
proceedings, or is likely to use a temporary exclusion order, to harass
the respondents or for some other improper purpose).
No single factor will be determinative. The Commission's policy is
to favor the posting of a bond in every case. Therefore, a complainant
who believes that a bond should not be required has the burden of
persuading the Commission that a bond should not be required.
(iv) The following documents and information shall be filed along
with all motions for temporary relief:
(A) A memorandum of points and authorities in support of the motion;
(B) Affidavits executed by persons with knowledge of the facts
specified in the motion; and
(C) All documentary information and other evidence in complainant's
possession that complainant intends to submit in support of the motion.
(v) If the motion requests issuance of a temporary exclusion order,
the complainant must also provide information and documents that will
assist the presiding administrative law judge and the Commission in
computing the amount of the bond if a bond is to be required. (A
complainant also may file, if it chooses, a draft of the bond it expects
to submit if a bond is to be required.) In cases where a domestic
industry exists and domestic sales of the product in question have
commenced and have not been de minimis, the amount of the bond is likely
to be an amount ranging from 10 to 100 percent of the sales revenues and
licensing royalties (if any) from the domestic product at issue, as
reported in the complainant's audited annual financial statements for
the most recent fiscal year. In such cases, the complainant must
provide the following documents:
(A) The audited financial statements (or the equivalent thereof, if
audited statements do not exist) for the most recently completed fiscal
year;
(B) The back-up income statements, work sheets, or other documents
showing revenues for the domestic product at issue in the investigation,
which are tied to the aggregate revenue listed on the financial
statements; and
(C) A certification under oath by the complainant's chief financial
officer indicating that the detail provided in the work sheets or other
documents tied to the audited financial statements is correct.
In cases where the aforesaid formula would not be appropriate --
including but not limited to cases where the domestic industry is
embryonic and domestic sales have been de minimis, or cases involving
the alleged prevention of the establishment of a domestic industry or
the alleged restraint of trade or commerce in the United States -- the
amount of the bond will be determined on the basis of the facts on the
record, the complainant's financial strength, the parties' arguments,
and any other factors which the presiding administrative law judge or
the Commission deem relevant. In such cases, the motion for temporary
relief should state why the prescribed formula is not appropriate (with
supporting documentation where appropriate). The motion should also
state the theory the complainant believes is appropriate for computing
the amount of the bond (if the Commission determines to require a bond)
and should provide supporting financial and economic data with
certification under oath executed by the complainant's chief financial
officer attesting to the veracity of the data provided. All
complainants who are seeking a temporary exclusion order (including
complainants who have provided the audited financial statements and back
up data listed above in paragraph (e)(v)(B) of this section) must be
prepared to provide upon short notice any additional financial or
economic data requested by the presiding administrative law judge in
connection with the issue of bonding and the certification under oath by
the complainant's chief financial officer that the information submitted
is accurate.
(vi) If the complaint, the motion for temporary relief, and the
supporting documentation contain confidential business information as
defined in 201.6(a), of this chapter, the complainant must follow the
procedure outlined in 210.6(a), 201.6 (a) and (c), of this chapter and
paragraph (e)(5) of this section.
(2) Motions filed after the complaint. A motion for temporary relief
may be filed after the complaint, but must be filed prior to the
Commission determination under 210.12 on whether to institute an
investigation. A motion filed after the complaint shall contain the
information, documents, and evidence described in paragraph (e)(1) of
this section, and must also make a showing that extraordinary
circumstances exist that warrant temporary relief and that the moving
party was not aware, and with due diligence could not have been aware,
of those circumstances at the time the complaint was filed. When a
motion for temporary relief is filed after the complaint but before the
Commission has determined whether to institute an investigation based on
the complaint, the 35-day period allotted for review of the complaint
and informal investigative activity pursuant to paragraph (e)(8) of this
section will begin to run anew from the date on which the motion was
filed.
(3) Motions after institution of an investigation. A motion for
temporary relief may not be filed after an investigation has been
instituted.
(4) Service of the motion by complainant. Notwithstanding the
provisions of 210.13 regarding service of the complaint and motion for
temporary relief by the Commission upon institution of an investigation,
on the day the complainant files a complaint and motion for temporary
relief with the Commission (see 201.8(a)), the complainant must serve
nonconfidential copies of both documents (as well as nonconfidential
copies of all materials or documents attached thereto) on all proposed
respondents and on the embassy in Washington, DC of the government of
the country(s) that the proposed respondents represent. The complaint
and motion shall be served by the fastest means available. A signed
certificate of service must accompany the complaint and motion for
temporary relief. If the certificate does not accompany the complaint
and the motion, the Secretary shall not accept the complaint or the
motion and shall promptly notify the submitter. Actual proof of service
(or proof of a serious effort to make service) -- e.g., certified mail
return receipts, courier or overnight delivery receipts, or other proof
of delivery -- need not be filed with the complaint and motion, but
should be retained by the complainant in the event that the complainant
is requested to provide actual proof of service.
(5) Content of the service copies. Any purportedly confidential
business information that is deleted from the nonconfidential service
copies of the complaint and motion for temporary relief must satisfy the
requirements of 201.6(a) (which defines confidential information for
purposes of Commission proceedings). For attachments that are
confidential in their entirety, complaint must provide a nonconfidential
summary of what the document contains. Despite the redaction of
confidential material from the motion for temporary relief and the
complaint, the nonconfidential service copies must contain enough
factual information about each element of the violation alleged in the
complaint and the motion to enable each proposed respondent to
comprehend the allegations against it.
(6) Notice accompanying the service copies. Each service copy of the
complaint motion for temporary relief shall be accompanied by a notice
containing the following text:
Notice is hereby given that the attached complaint and motion for
temporary relief will be filed with the U.S. International Trade
Commission in Washington, DC on , 19 . However, the filing of the
complaint and motion will not institute an investigation on that date,
nor will it begin the period for filing responses to the complaint and
motion pursuant to 19 CFR 210.21 and 210.24(e)(9).
Upon receipt of the complaint, the Commission will examine the
complaint for sufficiency and compliance with 19 CFR 201.8, 210.5,
210.10, and 210.20. The Commission's Office of Unfair Import
Investigations will conduct information investigative activity pursuant
to 19 CFR 210.11 to identify sources of relevant information and to
assure itself of the availability thereof. The motion for temporary
relief will be examined for sufficiency and compliance with 19 CFR
201.8, 210.5, and 210.24(e)(1), (4), (5), (6), and will be subject to
the same type of preliminary investigative activity as the complaint.
Within thirty-five (35) days after receiving the complaint and motion
for temporary relief in accordance with 19 CFR 210.24(e)(1), or within
thirty-five (35) days after filing of the motion for temporary relief
(if it is filed after the complaint pursuant to 19 CFR 210.24(e)(2)),
the Commission will determine whether to institute an investigation on
the basis of the complaint and whether to refer the motion for temporary
relief to a Commission administrative law judge for issuance of an
initial determination in accordance with 19 CFR 210.24(e)(10) and (17).
See 19 CFR 210.12 and 210.24(e)(1) and (8).
If the Commission determines to conduct an investigation of the
complaint and the motion for temporary relief, the investigation will be
formally instituted on the date on which the Commission publishes a
notice of investigation in the Federal Register pursuant to 19 CFR
210.12. If an investigation is instituted, copies of the complaint, the
notice of investigation, the motion for temporary relief, and the
Commission's rules of Practice and Procedure (19 CFR parts 210 and 211)
will be served on each respondent by the Commission pursuant to 19 CFR
210.13. Responses to the complaint, the notice of investigation, and the
motion for temporary relief must be filed within ten (10) days after
Commission service thereof, in accordance with 19 CFR 201.8, 210.5,
210.21, and 210.24(e)(9). See also 19 CFR 201.14 and 210.7 regarding
computation of the 10-day response period.
If, after reviewing the compliant and motion for temporary relief,
the Commmission determines not to institute an investigation, the
complaint and motion will be dismissed and the Commission will notify
the complainant and all proposed respondents in writing of the
Commission's decision and the reason(s) therefore, pursuant to 19 CFR
210.12.
For information concerning the filing of the complaint and its
treatment and to ask general questions concerning section 337 practice
and procedure, contact the Office of Unfair Import Investigations, U.S.
International Trade Commission, 500 E Street, SW., Room 401, Washington,
DC 20436, telephone 202-252-1560. Such inquires will be referred to the
Commission investigative attorney assigned to the complaint. (See also
the Commission's rules of practice andprocedure set forth in 19 CFR
parts 210 and 211.)
To learn the date on which the Commission will vote on whether to
institute an investigation and the publication date of the notice of
investigation (if the Commission decides to institute an investigation),
contact the Office of the Secretary, U.S. International Trade
Commission, 500 E Street, SW., Room 112, Washington, DC 20436, telephone
202-252-1000.
This notice is being provided pursuant to 19 CFR 210.24(e)(6).
(7) Amendment of the motion. A motion for temporary relief may be
amended at any time prior to the institution of an investigation.
However, all material filed to amend the motion (or the complaint) must
be served on all proposed respondents and on the embassies in
Washington, DC, of the foreign governments that they represent, in
accordance with paragraph (e)(4) of this section. If the amendment
expands the scope of the motion or changes the complainant's assertions
on the issue of whether a bond is to be required as a prerequisite to
the issuance of a temporary exclusion order or the appropriate amount of
the bond, the 35-day period allotted under paragraph (e)(8) of this
section for determining whether to institute an investigation and to
initiate temporary relief proceedings shall begin to run anew from the
date the amendment is filed with the Commission. Motions for temporary
relief may not be amended after an investigation is instituted.
(8) Provisional acceptance of the motion. The Commission shall
determine whether to accept a motion for temporary relief at the same
time it determines whether to institute an investigation on the basis of
the complaint. That determination shall be made within thirty-five (35)
days after the complaint and motion for temporary relief are filed.
Before the Commission determines whether to provisionally accept a
motion for temporary relief, the motion will be examined for sufficiency
and compliance with paragraphs (e)(1), (4), (5), and (6) of this section
and 201.8, 210.5 of this chapter, and will be subject to the same type
of preliminary investigative activity as the complaint (see 210.11(b)).
Acceptance of a motion pursuant to this paragraph constitutes
provisional acceptance for referral of the motion to an administrative
law judge for an initial determination pursuant to paragraph (e)(17) of
this section. Commission rejection of an insufficient or improperly
filed complaint will preclude acceptance of a motion for temporary
relief. However, Commission rejection of a motion for temporary relief
will not preclude institution of an investigation of the complaint.
(9) Responses to the motion and the complaint. Any party may file a
response to a motion for temporary relief. Responses shall be filed
within ten (10) days after service of the motion by the Commission upon
institution of an investigation, unless otherwise ordered by the
administrative law judge. The response must comply with the
requirements of 201.8 of this chapter and 210.5, and shall contain the
following information:
(i) A statement that sets forth with particularity any objection to
the motion for temporary relief;
(ii) A statement that sets forth with specificity facts bearing on:
(A) Complainant's probability of success on the merits;
(B) Immediate and substantial harm, if any, to the domestic industry
in the absence of the requested temporary relief;
(C) Harm, if any, to the proposed respondents if the requested
temporary relief is granted; and
(D) The effect, if any, that issuance of the requested temporary
relief would have on the public interest.
(iii) A memorandum of points and authorities in opposition to the
motion:
(iv) Affidavits, where possible, executed by persons with knowledge
of the facts specified in the response. If the motion requests that the
Commission issue a temporary exclusion order, each response to the
motion must address, to the extent possible, the complainant's
assertions regarding whether a bond should be required and the
appropriate amount of the bond. Responses to the motion for temporary
relief also may contain counter proposals concerning the amount of the
bond or the manner in which the bond amount should be calculated. Each
response to the motion for temporary relief must also be accompanied by
a response to the complaint and notice of investigation. Response to
the complaint and notice of investigation must comply with 201.8 of
this chapter and 210.5 and 210.21.
(10) Referral to an administrative law judge. Following provisional
Commission acceptance of a motion for temporary relief and upon
institution of an investigation, the motion for temporary relief shall
be forwarded to an administrative law judge for an initial determination
on whether there is reason to believe there is a violation of section
337 of the Tariff Act, whether temporary relief is appropriate, whether
the complainant should be required to post a bond as a prerequisite to
the issuance of a temporary exclusion order (if such an order is to be
issued) and, if so, the amount of the bond.
(11) Designating an investigation ''more complicated'' for the
purpose of adjudicating a motion for temporary relief. At the time the
Commission determines to institute an investigation and provisionally
accepts a motion for temporary relief pursuant to paragraph (e)(8) of
this section, the Commission may designate the investigation ''more
complicated'' pursuant to 210.59(b) for the purpose of obtaining
additional time to adjudicate the motion for temporary relief. In the
alternative, after the motion for temporary relief is referred to the
administrative law judge for an initial determination under paragraphs
(e)(10) and (17) of this section, the administrative law judge may issue
an order, sua sponte or on motion, designating the investigation ''more
complicated'' for the purpose of obtaining additional time to adjudicate
the motion for temporary relief. Such order shall constitute a final
determination of the Commission, and notice of the order shall be
published in the Federal Register. The ''more complicated'' designation
may be applied by the Commission or the presiding administrative law
judge pursuant to this paragraph on the basis of the complexity of
issues relating to whether there is reason to believe that the
respondents have violated section 337 and whether temporary relief is
appropriate. The ''more complicated'' designation also may be applied
by the Commission or the presiding administrative law judge because of
complications in determining whether the complainant should be required
to post a bond as a prerequisite to the issuance of a temporary
exclusion order and, if so, the amount of the bond.
(12) Discovery and compulsory process. The administrative law judge
shall place such limits upon the kind or amount of discovery to be had
or the period of time during which discovery may be carried out as shall
be consistent with the time limitation set forth in paragraph (e)(17)(i)
of this section relating to issuance of an initial determination
concerning the motion for temporary relief. The administrative law
judge's authority to compel discovery includes discovery relating to the
following issues:
(i) The effect, if any, that issuance of the temporary relief
requested in the motion would have on the public interest;
(ii) The form of temporary relief the Commission should issue if it
determines to grant temporary relief;
(iii) Whether the public interest factors enumerated in the statute
preclude that form of relief;
(iv) The amount of the bond under which the respondent(s)'
merchandise will be permitted to enter the United States during the
pendency of any temporary relief order issued by the Commission;
(v) Whether the complainant should be required to post a bond as a
prerequisite to the issuance of a temporary exclusion order; and, if
so,
(vi) The amount of bond.
As part of the standard analysis for determining whether to grant a
motion for temporary relief (see paragraphs (e) (1)(i) and (9) of this
section), the administrative law judge should make findings on the issue
specified in paragraphs (e)(12) (v) and (vi) of this section. The
administrative law judge may, but is not required to, make findings on
issues specified in paragraphs (e)(12) (ii), (iii), and (iv) of this
section. Evidence and information obtained through discovery on those
issues will be used by the parties and considered by the Commission in
the context of the parties' written submissions on remedy, the public
interest, and bonding by respondents, which are filed with the
Commission pursuant to paragraph (e)(18) of this section.
(13) Evidentiary hearing. A motion for temporary relief and the
matter of bonding by the complainant may be ruled upon without a hearing
by the administrative law judge when a motion for summary determination
under 210.50(a) is granted in favor of respondents or other parties
opposing the motion for temporary relief, or if the administrative law
judge determines that the motion should be dismissed for some other
reason (e.g., failure to comply with some portion of paragraph (e)(1) of
this section). (Such rulings by the administrative law judge shall be
in the form of an initial determination issued under paragraph
(e)(17)(i) of this section.) If a hearing is conducted, the precise form
and scope of the hearing are left to the discretion of the
administrative law judge. At the hearing or as directed by the
administrative law judge, the parties shall address the following
issues:
(i) Whether there is reason to believe that there is a violation of
section 337 of the Tariff Act;
(ii) Whether temporary relief is appropriate;
(iii) Whether the complainant should be required to post a bond as a
prerequisite to the issuance of a temporary exclusion order (if such an
order is to be issued); and, if so,
(iv) The amount of the bond.
The administrative law judge may, but is not required to take
evidence at the hearing concerning remedy, the public interest, and
bonding by respondents as specified in paragraphs (e)(12) (ii), (iii) ,
and (iv) of this section. However, as part of the standard analysis for
determining whether to grant or deny a motion for temporary relief (see
paragraphs (e) (1) and (9) of this section), the administrative law
judge should take evidence on the question of what effect the form of
temporary relief requested in the motion for temporary relief would have
on the public interest, and the question of whether the complainant
should be required to post a bond as a prerequisite to the issuance of a
temporary exclusion order (if applicable) and, if so, the amount of the
bond.
(14) Proposed findings and conclusions and briefs. The
administrative law judge shall determine whether and, if so, to what
extent the parties shall be permitted to file proposed findings of fact,
proposed conclusions of law, and/or briefs (pursuant to 210.52)
concerning:
(i) The grant or denial of temporary relief;
(ii) Whether the complainant should be required to post a bond as a
prerequisite to the issuance of a temporary exclusion order (if such an
order is to be issued); and, if so,
(iii) The amount of the bond.
(15) Interlocutory appeals and review by the Commission. There will
be no interlocutory appeals to the Commission (pursuant to 210.71) of
the administrative law judge's ruling on any matter delegated to him or
her for decision under a provision of paragraph (e) of this section.
After the administrative law judge has certified the following materials
to the Commission (pursuant to paragraphs (e) (16) and (17) of this
section) an initial determination granting or denying a motion for
temporary relief, a ruling on the issue of bonding by the complainant as
a prerequisite to the issuance of a temporary exclusion order, and the
administrative record upon which the initial determination is based, the
Commission's review of the administrative law judge's actions and
rulings relating to the motion for temporary relief and the question of
bonding by the complainant will be limited to the issues specified in
paragraph (e)(17)(ii) of this section.
(16) Certification of the record. At the close of the reception of
evidence in any hearing held pursuant to paragraph (e)(13) of this
section or as soon as possible thereafter, the administrative law judge
shall certify the record to the Commission prior to issuance of an
initial determination concerning temporary relief and, if applicable,
bonding by the complainant as a prerequisite to the issuance of a
temporary exclusion order. However, if such advance certification is
not feasible, the record shall be certified to the Commission when the
administrative law judge issues the aforesaid initial determination, in
accordance with paragraph (e)(17)(i) of this section.
(17) Initial determination concerning temporary relief and Commission
action thereon. (i) On the 70th day after publication of the notice of
investigation in an ordinary investigation, or on the 120th day after
such publication in a ''more complicated'' investigation, the
administrative law judge will issue an initial determination concerning
whether there is reason to believe that respondents have violated
section 337 of the Tariff Act and, if applicable, the issue of bonding
by the complainant as a prerequisite to the issuance of a temporary
exclusion order. The initial determination may, but is not required to,
address appropriate relief, the public interest, and bonding by the
respondents as specified in paragraphs (e)(12), (ii), (iii), and (iv) of
this section. However, as part of the standard analysis for determining
whether to grant or deny a motion for temporary relief (see paragraphs
(e) (1) and (9) of this section), the initial determination shall
address the questions of:
(A) What effect the form of relief requested in the motion would have
on the public interest (except when the initial determination is
granting a summary determination denying the motion for temporary relief
(pursuant to paragraph (e)(13) of this section);
(B) Whether the complainant should be required to post a bond as a
prerequisite to the issuance of a temporary exclusion order (if such an
order is to be issued); and, if so,
(C) The amount of the bond.
(ii) The initial determination will become the Commission's
determination twenty (20) calendar days after issuance thereof in an
ordinary case, and thirty (30) calendar days after issuance in a ''more
complicated'' investigation, unless the Commission modifies or vacates
the initial determination within that period. Such modification or
vacation may be ordered on the basis of errors of law or for policy
matters (including policy considerations related to bonding and the
public interest). No review will be ordered solely on the basis of
alleged errors of fact. In computing the aforesaid 20-day and 30-day
deadlines, intermediary Saturdays, Sundays, and federal holidays shall
be included. However, if the last day of the period is a Saturday,
Sunday, or federal holiday as defined in 201.14(a) of this chapter, the
filing deadline shall be extended to the next business day. Because of
the time constraints imposed by the statutory deadlines for determining
whether to order temporary relief under section 337 of the Tariff Act,
the additional time ordinarily allotted under 201.16(d) of this chapter
cannot be provided.
(iii) In order to assist the Commission to determine whether
modification or revocation of the initial determination is warranted,
all parties may file written comments concerning the presence (or
absence) of errors of law in the initial determination and/or matters of
policy (including policy considerations related to bonding and the
public interest) that justify such action (or show that it would not be
justified). Such comments will be limited to thirty-five (35) pages and
must be filed no later than seven (7) calendar days after service of the
initial determination in an ordinary case and ten (10) calendar days
after service of the initial determination in a ''more complicated''
investigation. In computing the aforesaid 7-day and 10-day deadlines,
intermediary Saturdays, Sundays, and federal holidays shall be included.
However, if the last day of the period is a Saturday, Sunday, or
federal holiday as defined in 201.14(a) of this chapter, the filing
deadline shall be extended to the next business day. Because of the
time constraints imposed by the statutory deadlines for determining
whether to order temporary relief under section 337 of the Tariff Act,
the additional time ordinarily allotted under 201.16(d) of this chapter
cannot be provided.
(iv) Nonconfidential copies of the initial determination also will be
served on other agencies, and they will be given ten (10) calendar days
in which to file comments on the initial determination.
(v) Each party may file a response to other parties' comments within
ten (10) calendar days after issuance of the initial determination in an
ordinary case, and within fourteen (14) calendar days after issuance of
an initial determination in a ''more complicated'' investigation. The
reply comments will be limited to twenty (20) pages. If the last day of
the 10-day or 14-day period is a Saturday, Sunday, or federal holiday as
defined in 201.12(a) of this chapter, the filing deadline shall be
extended to the next business day. Because of the constraints imposed
by the statutory deadlines, additional time ordinarily allotted under
201.16(d) of this chapter will not be provided. The parties are
expected to facilitate the filing of timely and useful responses to each
other's initial comments by serving the initial comments by the fastest
means available.
(vi) If the Commission determines to modify or vacate the initial
determination within twenty (20) calendar days after issuance thereof in
an ordinary case, or thirty (30) calendar days after issuance in a
''more complicated'' case, a notice and (if appropriate) a Commission
opinion will be issued. If the Commission does not modify or vacate the
administrative law judge's initial determination within the time
provided, the initial determination will automatically become the
determination of the Commission and a notice of that fact will not be
issued. However, if the Commission determines (either by reversing or
modifying the administrative law judge's initial determination, or by
adopting the initial determination) that a temporary exclusion order
should be issued and that the complainant must post a bond as a
prerequisite to the issuance of the order, the Commission may issue (on
the statutory deadline for determining whether to grant temporary relief
or as soon as possible thereafter) a notice setting forth conditions for
the bond if any (in addition to those outlined in the initial
determination) and the deadline for filing the bond with the Commission.
(18) Remedy, the public interest, and bonding by respondents. The
procedure for arriving at the Commission's determination of the issues
of the appropriate form of temporary relief, whether the public interest
factors enumerated in the statute preclude such relief, and the amount
of the bond under which the respondents' merchandise will be permitted
to enter the United States during the pendency of any temporary relief
order issued by the Commission, is as follows:
(i) While the motion for temporary relief is before the
administrative law judge, he or she may compel discovery on matters
relating to remedy, the public interest, and bonding by respondents (as
provided in paragraph (e)(12) of this section). The administrative law
judge also is authorized to make findings pertaining to the public
interest, as provided in paragraph (e)(17)(i) of this section. However,
such findings may be superseded by Commission findings on that issue as
provided in paragraph (e)(18)(iii) of this section.
(ii) On the 60th day after institution in an ordinary case or on the
105th day after institution in a ''more complicated'' investigation, all
parties may file written submissions with the Commission addressing
those issues. The submissions shall refer to information and evidence
already on the record, but additional information and evidence germane
to the issues of appropriate relief, the statutory public interest
factors, and bonding by respondents may be provided along with the
parties' submissions.
(iii) On or before the 90-day or 150-day statutory deadline for
determining whether to order temporary relief under subsection (b) of
section 337 of the Tariff Act, the Commission will determine what relief
is appropriate in light of any violation that appears to exist, whether
the public interest factors enumerated in the statute preclude the
issuance of such relief, and the amount of the bond under which the
respondents' merchandise will be permitted to enter the United States
during the pendency of any temporary relief order issued by the
Commission. In the event that Commission's findings on the public
interest pursuant to paragraph (e)(18)(iii) of this section are
inconsistent with findings made by the administrative law judge in the
initial determination pursuant to paragraph (e)(17)(i) of this section,
the Commission's findings are controlling.
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49129, Dec. 6, 1988)
19 CFR 210.25 Default.
(a) Definition of default. Failure of a respondent to take actions
including but not limited to the following may be deemed to constitute a
waiver of the respondent's right to appear, to be served with documents,
and to contest the allegations at issue in the investigations: file a
response to the complaint and notice pursuant to 210.21 (or
210.24(e)(9)) within the time provided, respond to a motion for summary
determination, respond to a motion that materially alters the scope of
the investigation, or appear at a hearing before the administrative law
judge on the issue of violation of section 337 of the Tariff Act.
(b) Procedure for determining default. If a respondent has failed to
respond or appear in the manner described in paragraph (a) of this
section, the administrative law judge upon motion of his own initiative
shall order such respondent to show cause why it should not be found in
default. If the respondent fails to show cause why it should not be
found in default, the administrative law judge may make any orders
appropriate to paragraph (a) of this section.
(c) Relief against a respondent in default. The complainant shall
declare at the time the last remaining respondent is found to be in
default whether the complainant is seeking a general or limited
exclusion order, or a cease and desist order, or both. In cases in
which the complainant is seeking relief solely affecting the respondent
found to be in default, the Commission shall presume the facts alleged
in the complaint to be true and shall, upon request, issue an exclusion
order or cease and desist order, or both, which affects only that
respondent unless, after considering the effect of such order(s) upon
the public health and welfare, competitive conditions in the U.S.
economy, the production of like or directly competitive articles in the
United States, and U.S. consumers, the Commission finds that the order
should not be issued. In cases in which the record developed by the
administrative law judge contains substantial, reliable, and probative
evidence of a violation of section 337 of the Tariff Act, the Commission
may issue a general exclusion order (in addition to or in lieu of cease
and desist orders) regardless of the source or importer of the articles
concerned, unless the public interest considerations enumerated above
preclude such relief. In considering whether a prima facie case of
violation of section 337 has been presented, the administrative law
judge and the Commission may draw appropriate adverse inferences as
provided in 210.36 against a respondent or respondents in default with
respect to those issues for which complainant has made a good faith but
unsuccessful effort to obtain evidence.
19 CFR 210.26 Intervention.
Any person desiring to intervene in an investigation under this part
shall make written application in the form of a motion setting forth a
sufficient basis therefore. Such application shall have attached to it
a certificate showing service thereof upon each party to the
investigation in accordance with the provisions of 210.16 of this
chapter. A similar certificate shall be attached to the answer filed by
any party with respect to the application showing service of such answer
upon the applicant and all other parties. The Commission, or the
administrative law judge by initial determination, may permit the
intervention of such person to such extent and upon such terms as may be
deemed proper under the circumstances.
19 CFR 210.26 Subpart D -- Discovery and Compulsory Process
19 CFR 210.30 General provisions governing discovery.
(a) Discovery methods. The parties to an investigation may obtain
discovery by one or more of the following methods: depositions upon
oral examination or written questions, interrogatories, production of
documents or things for inspection and other purposes, requests for
admissions, and entry upon land or other property.
(b) Scope of discovery. Unless otherwise ordered by the
administrative law judge, a party may obtain discovery regarding any
matter, not privileged, that is relevant to the claim or defense of any
other party, including the existence, description, nature, custody,
condition and location of any books, documents or other tangible things,
and the identity and location of persons having knowledge of any
discoverable matter. It is not ground for objection that the
information sought appears reasonably calculated to lend to the
discovery of admissible evidence.
(c) Discovery and compulsory process. The administrative law judge
shall place such limits upon the kind or amount of discovery to be had
or the period of time during which discovery may be carried out as shall
be consistent with the time limitations set forth in 210.24(e)(17)
relating to the issuance of initial determinations concerning motions
for temporary relief or in 210.53(a) relating to the issuance of
initial determinations concerning whether there is a violation of
section 337 of the Tariff Act.
(d) Supplementation of responses. A party who has responded to a
request for discovery with a response that was complete when made is
under no duty to supplement his response to include information
thereafter acquired, except as follows:
(1) A party is under a duty to seasonably supplement his response
with respect to any question directly addressed to --
(i) The identity and location of persons having knowledge of
discoverable matters; and
(ii) The identity of each person expected to be called as an expert
witness at a hearing, the subject matter on which he is expected to
testify, and the substance of his testimony.
(2) A party is under a duty to seasonably amend a prior response if
he obtains information upon the basis of which --
(i) He knows that the response was incorrect when made; or
(ii) He knows that the response, though correct when made, is no
longer true, and the circumstances are such that a failure to amend the
response is in substance a knowing concealment.
(3) A duty to supplement responses may be imposed by order of the
administrative law judge, agreement of the parties, or at any time prior
to a hearing through new requests for supplementation of prior
responses.
19 CFR 210.31 Depositions.
(a) When depositions may be taken. After the date of publication in
the Federal Register of the notice instituting the investigation, any
party may take the testimony of any person, including a party, by
deposition upon oral examination or written questions. Leave of the
administrative law judge must be obtained only if the complaintant seeks
to take a deposition prior to the expiration of twenty (20) days after
the date of service of the complainant and notice of investigation.
(b) Persons before whom depositions may be taken. Depositions may be
taken before a person having power to administer oaths by the laws of
the United States or of the place where the examination is held.
(c) Notice of examination. A party desiring to take the deposition
of a person shall give notice in writing to every other party to the
investigation of not less than ten (10) days if the deposition is to be
taken within the United States, and not less than fifteen (15) days if
the deposition is to be taken elsewhere. The administrative law judge
may designate a shorter or longer time. The notice shall state the time
and place for taking the deposition and the name and address of each
person to be examined, if known, and, if the name is not known, a
general description sufficient to identify him or the particular class
or group to which he belongs. A notice may provide for the taking of
testimony by telephone, but the administrative law judge may, on motion
of any party, require that the deposition be taken in the presence of
the deponent. The parties may stipulate in writing, or the
administrative law judge may upon motion order, that the testimony at a
deposition be recorded by other than stenographic means. If a subpoena
duces tecum is to be served on the person to be examined, the
designation of the materials to be produced as set forth in the subpoena
shall be attached to or included in the notice.
(d) Taking of deposition. Each deponent shall be duly sworn, and any
adverse party shall have the right to cross-examine. Objections to
questions or documents shall be in short form, stating the grounds of
objections relied upon. Evidence objected to shall be taken subject to
the objections, except that privileged communications and subject matter
need not be disclosed. The questions propounded and the answers
thereto, together with all objections made, shall be reduced to writing,
after which the deposition shall be subscribed by the deponent (unless
the parties by stipulation waive signing or the deponent is ill or
cannot be found or refuses to sign) and certified by the person before
whom the deposition was taken. If the deposition is not subscribed by
the deponent, the person administering the oath shall state on the
record such fact and the reason therefor. When a deposition is recorded
by stenographic means, the stenographer shall certify on the transcript
that the witness was sworn in the stenographers presence and that the
transcript is a true record of the testimony of the witness. When a
deposition is recorded by other than stenographic means and is
thereafter transcribed, the person transcribing it shall certify that
the person heard the witness sworn on the recording and that the
transcript is correct writing of the recording. Thereafter, that person
shall forward one (1) copy to each party who was present or represented
at the taking of the deposition.
(e) Depositions of nonparty officers or employees of the Commission
or of other Government agencies. A party desiring to take the
deposition of an officer or employee of the Commission other than the
Commission investigative attorney, or of an officer or employee of
another Government agency, or to obtain documents or other physical
exhibits in the custody, control, and possession of such officer or
employee, shall proceed by written motion to the administrative law
judge for leave to apply for a subpoena under 210.35(c). Such a motion
shall be granted only upon a showing that the information expected to be
obtained thereby is within the scope of discovery permitted by
210.30(b) and cannot be obtained without undue hardship by alternative
means.
(f) Filing of depositions. The party taking the deposition shall
file one (1) copy thereof with the Commission investigative attorney,
and shall give prompt notice of such filing to all other parties.
(g) Admissibility of depositions. The fact that a deposition is
taken and filed with the Commission investigative attorney as provided
in this section does not constitute a determination that it is
admissible in evidence or that it may be used in the investigation.
Only such part of a deposition as is received in evidence at a hearing
shall constitute a part of the record in such investigation upon which a
determination may be based. Objections may be made at the hearing to
receiving in evidence any deposition or part thereof for any reason that
would require the exclusion of the evidence if the witness were then
present and testifying.
(h) Use of depositions. A deposition may be used as evidence against
any party who was present or represented at the taking of the deposition
or who had reasonable notice thereof, in accordance with any of the
following provisons:
(1) Any deposition may be used by any party for the purpose of
contradicting or impeaching the testimony of a deponent as a witness,
(2) The deposition of a party may be used by an adverse party for any
purpose,
(3) The deposition of a witness, whether or not a party, may be used
by any party for any purposes if the administrative law judge finds --
(i) That the witness is dead; or
(ii) That the witness is out of the United States, unless it appears
that the absence of the witness was procured by the party offering the
deposition; or
(iii) That the witness is unable to attend or testify because of age,
illness, infirmity, or imprisonment; or
(iv) That the party offering the deposition has been unable to
procure the attendance of the witness by subpoena; or
(v) Upon application and notice, that such exceptional circumstances
exist as to make it desirable, in the interest of justice and with due
regard to the importance of presenting the oral testimony of witnesses
at a hearing, to allow the deposition to be used.
(4) If only part of a deposition is offered in evidence by a party,
an adverse party may require him to introduce any other part that ought
in fairness to be considered with the part introduced, and any party may
introduce any other parts.
19 CFR 210.32 Interrogatories.
(a) Scope; use at hearing. Any party may serve upon any other party
written interrogatories to be answered by the party served.
Interrogatories may relate to any matters that can be inquired into
under 210.30(b), and the answers may be used to the extent permitted by
the rules of evidence.
(b) Procedure. (1) Interrogatories may be served upon any party
after the date of publication in the Federal Register of the notice of
investigation.
(2) Parties answering interrogatories shall repeat the
interrogatories being answered immediately preceding the answers. Each
interrogatory shall be answered separately and fully in writing under
oath, unless it is objected to, in which event the reasons for objection
shall be stated in lieu of an answer. The answers are to be signed by
the person making them, and the objections are to be signed by the
attorney making them. The party upon whom the interrogatories have been
served shall serve a copy of the answers, and objections if any, within
ten (10) days after the service of the interrogatories. The
administrative law judge may allow a shorter or longer time. The party
submitting the interrogatories may move for an order under 210.36(a)
with respect to any objection to or other failure to answer an
interrogatory.
(3) An interrogatory otherwise proper is not necessarily
objectionable merely because an answer to the interrogatory involves an
opinion or contention that relates to fact or the application of law to
fact, but the administrative law judge may order that such an
interrogatory need not be answered until after designated discovery has
been completed or until a prehearing conference or a later time.
(c) Option to produce records. When the answer to an interrogatory
may be derived or ascertained from the records of the party upon whom
the interrogatory has been served or from an examination, audit, or
inspection of such records, or from a compilation, abstract, or summary
based thereon, and the burden of deriving or ascertaining the answer is
substantially the same for the party serving the interrogatory as for
the party served, it is a sufficient answer to such interrogatory to
specify the records from which the answer may be derived or ascertained
and to afford to the party serving the interrogatory reasonable
opportunity to examine, audit, or inspect such records and to make
copies, compilations, abstracts, or summaries. The specifications
provided shall include sufficient detail to permit the interrogating
party to identify readily the documents from which the answer may be
ascertained.
19 CFR 210.33 Request for production of documents and things and entry
upon land.
(a) Scope. Any party may serve on any other party a request:
(1) To produce and permit the party making the request, or someone
acting on his behalf, to inspect and copy any designated documents
(including writings, drawings, graphs, charts, photographs, and other
data compilations from which information can be obtained), or to inspect
and copy, test, or sample any tangible things that are in the
possession, custody, or control of the party upon whom the request is
served; or
(2) To permit entry upon designated land or other property in the
possession or control of the party upon whom the request is served for
the purpose of inspecting and measuring, surveying, photographing,
testing, or sampling the property or any designated object or operation
thereon, within the scope of 210.30(b).
(b) Procedure. (1) The request may be served upon any party after
the date of publication in the Federal Register of the notice of
investigation. The request shall set forth the items to be inspected,
either by individual item or by category, and describe each item and
category with reasonable particularity. The request shall specify a
reasonable time, place, and manner of making the inspection and
performing the related acts.
(2) The party upon whom the request is served shall serve a written
response within ten (10) days after the service of the request. The
administrative law judge may allow a shorter or longer time. The
response shall state, with respect to each item or category, that
inspection and related activities will be permitted as requested, unless
the request is objected to, in which event the reasons for objection
shall be stated. If objection is made to part of any item or category,
the part shall be specified. The party submitting the request may move
for an order under 210.36(a) with respect to any objection to or other
failure to respond to the request or any part thereof, or any failure to
permit inspection as requested. A party who produces documents for
inspection shall produce them as they are kept in the usual course of
business or shall organize and label them to correspond to the
categories in the request.
(c) Persons not parties. This rule does not preclude issuance of an
order against a person not a party to permit entry upon land.
19 CFR 210.34 Request for admission.
(a) Form, content, and service of request for admission. Any party
may serve on any other party a written request for admission of the
truth of any matters relevant to the investigation and set forth in the
request that relate to statements or opinions of fact or of the
application of law to fact, including the genuineness of any documents
described in the request. Copies of documents shall be served with the
request unless they have been otherwise furnished or are known to be,
and in the request are stated as being, in the possession of the other
party. Each matter as to which an admission is requested shall be
separately set forth. The request may be served upon a party whose
complaint is the basis for the investigation after the date of
publication the Federal Register of the notice of investigation. The
request may be served upon any other party at any time twenty (20) days
after the date of service of complaint and notice investigation, unless
leave of the administration law judge is obtained to serve the request
at an earlier date.
(b) Answer and objections to requests for admissions. A party
answering a request for admission shall repeat the request for admission
immediately preceding his answer. The matter may be deemed admitted
unless, within ten (10) days after service of the request, or within
such shorter or longer time as the administrative law judge may allow,
the party to whom the request is directed serves upon the party
requesting the admission a sworn written answer or objection addressed
to the matter. If objection is made, the reason therefor shall be
stated. The answer shall specifically deny the matter or set forth in
detail the reasons why the answering party cannot truthfully admit or
deny the matter. A denial shall fairly meet the substance of the
requested admission, and when good faith requires that a party qualify
his answer or deny only a part of the matter as to which an admission is
requested, he shall specify so much of it as is true and qualify or deny
the remainder. An answering party may not give lack of information or
knowledge as a reason for failure to admit or deny unless he states that
he has made reasonable inquiry and that the information known to or
readily obtainable by him is insufficient to enable him to admit or
deny. A party who considers that a matter as to which an admission has
been requested presents a genuine issue for a hearing may not object to
the request on that ground alone; he may deny the matter or set forth
reasons why he cannot admit or deny it.
(c) Sufficiency of answers. The party who has requested the
admissions may move to determine the sufficiency of the answers or
objections. Unless the objecting party sustains his burden of showing
that the objection is justified, the administrative law judge shall
order that an answer be served. If the administrative law judge
determines that an answer does not comply with the requirements of this
section, he may order either that the matter is admitted or that an
amended answer be served. The administrative law judge may, in lieu of
these orders, determine that final disposition of the request be made at
a prehearing conference or at a designated time prior to a hearing under
this part.
(d) Effect of admissions; withdrawal or amendment of admission. Any
matter admitted under this rule may be conclusively established unless
the administrative law judge on motion permits withdrawal or
''amendment'' of the admission. The administrative law judge may permit
withdrawal or amendment when the presentation of the issues of the
investigation will be subserved thereby and the party who obtained the
admission fails to satisfy the administrative law judge that withdrawal
or amendment will prejudice him in maintaining his position on the issue
of the investigation. Any admission made by a party under this section
is for the purpose of the pending investigation only and is not an
admission by him for any other purpose nor may it be used against him in
any other proceeding.
19 CFR 210.35 Subpoenas.
(a) Application for issuance of a subpoena -- (1) Subpoena ad
testificandum. An application for issuance of a subpoena requiring a
person to appear and depose or testify at the taking of a deposition or
at a hearing shall be made to the administrative law judge.
(2) Subpoena duces tecum. An application for issuance of a subpoena
requiring a person to appear and depose or testify and to produce
specified documents, papers, books, or other physical exhibits at the
taking of a deposition, at a prehearing conference, at a hearing, or
under any other circumstances, shall be made in writing to the
administrative law judge and shall specify the material to be produced
as precisely as possible, showing the general relevancy of the material
and the reasonableness of the scope of the subpoena.
(b) Use of subpoena for discovery. Subpoenas may be used by any
party for purposes of discovery or for obtaining documents, papers,
books or other physical exhibits for use in evidence, or for both
purposes. When used for discovery purposes, a subpoena may require a
person to produce and permit the inspection and copying of nonprivileged
documents, papers, books, or other physical exhibits that constitute or
contain evidence relevant to the subject matter involved and that are in
the possession, custody, or control of such person.
(c) Application for subpoenas for nonparty Commission records or
personnel or for records and personnel of other Government agencies --
(1) Procedure. An application for issuance of a subpoena requiring the
production of nonparty documents, papers, books, physical exhibits, or
other material in the records of the Commission, or requiring the
production of records or personnel of other Government agencies shall
specify as precisely as possible the material to be produced, the nature
of the information to be disclosed, or the expected testimony of the
official or employee, and shall contain a statement showing the general
relevancy of the material, information, or testimony and the
reasonableness of the scope of the application, together with a showing
that such material, information, or testimony or their substantial
equivalent could not be obtained without undue hardship or by
alternative means.
(2) Ruling. Such applications shall be ruled upon by the
administrative law judge. To the extent that the motion is granted, the
administrative law judge shall provide such terms and conditions for the
production of the material, the disclosure of the information, or the
appearance of the official or employee as may appear necessary and
appropriate for the protection of the public interest.
(3) Application for subpoena grounded upon the Freedom of Information
Act. No application for a subpoena for production of documents grounded
upon the Freedom of Information Act (5 U.S.C. 552) shall be entertained
by the administrative law judge.
(d) Motion to limit or quash. Any motion to limit or quash a
subpoena shall be filed within ten (10) days after service thereof, or
within such other time as the administrative law judge may allow.
(e) Ex parte rulings on applications for subpoenas. Applications for
the issuance of the subpoenas pursuant to the provisions of this section
may be made ex parte, and, if so made, such applications and rulings
thereon shall remain ex parte unless otherwise ordered by the
administrative law judge.
19 CFR 210.36 Failure to make discovery; sanctions.
(a) Motion for order compelling discovery. A party may apply to the
administrative law judge for an order compelling discovery upon
reasonable notice to other parties and all persons affected thereby.
(b) Failure to comply with order compelling discovery. If a party or
an officer or agent of a party fails to comply with an order including,
but not limited to, an order for the taking of a deposition or the
production of documents, an order to answer interrogatories, an order
issued pursuant to a request for admissions, or an order to comply with
a subpoena, the administrative law judge, for the purpose of permitting
resolution of relevant issues and disposition of the investigation
without unnecessary delay despite the failure to comply, may take such
action in regard thereto as is just, including, but not limited to, the
following:
(1) Infer that the admission, testimony, documents, or other evidence
would have been adverse to the party;
(2) Rule that for the purposes of the investigation the matter or
matters concerning the order or subpoena issued be taken as established
adversely to the party;
(3) Rule that the party may not introduce into evidence or otherwise
rely upon testimony by the party, officer, or agent, or documents, or
other material, in support of his position in the investigation;
(4) Rule that the party may not be heard to object to introduction
and use of secondary evidence to show what the withheld admission,
testimony, documents, or other evidence would have shown;
(5) Rule that a motion or other submission by the party concerning
the order or subpoena issued be stricken or rule by initial
determination that a determination in the investigation be rendered
against the party, or both. Any such action may be taken by written or
oral order issued in the course of the investigation or by inclusion in
the initial determination of the administrative law judge. It shall be
the duty of the parties to seek, and that of the administrative law
judge to grant, such of the foregoing means of relief or other
appropriate relief as may be sufficient to compensate for the lack of
withheld testimony, documents, or other evidence. If in the
administrative law judge's opinion such relief would not be sufficient,
the administrative law judge shall certify to the Commission a request
that court enforcement of the subpoena or other discovery order be
sought.
19 CFR 210.37 Protective orders.
(a) Issuance of protective order. Upon motion by a party or by the
person from whom discovery is sought or by the administrative law judge
on his own initiative, and for good cause shown, the administrative law
judge may make any order that may appear necessary and appropriate for
the protection of the public interest or that justice requires to
protect a party or person from annoyance, embarrassment, oppression, or
undue burden or expense, including one or more of the following:
(1) That discovery not be had:
(2) That the discovery may be had only on specified terms and
conditions, including a designation of the time or place;
(3) That discovery may be had only by a method of discovery other
than that selected by the party seeking discovery;
(4) That certain matters not be inquired into, or that the scope of
discovery be limited to certain matters;
(5) That discovery be conducted with no one present except persons
designated by the administrative law judge;
(6) That a deposition, after being sealed, be opened only by order of
the Commission or the administrative law judge;
(7) That a trade secret or other confidential research, development,
or commercial information not be disclosed or be disclosed only in a
designated way; and
(8) That the parties simultaneously file specified documents or
information enclosed in sealed envelopes to be opened as directed by the
Commission or the administrative law judge.
If the motion for a protective order is denied, in whole or in part,
the Commission or the administrative law judge may, on such terms and
conditions as are just, order that any party or person provide or permit
discovery.
(b) Unauthorized disclosure of information. If confidential business
information submitted in accordance with the terms of a protective order
is disclosed to any person other than in a manner authorized by the
protective order, the party responsible for the disclosure must
immediately bring all pertinent facts relating to such disclosure to the
attention of the submitter of the information and the administrative law
judge or the Commission, and, without prejudice to other rights and
remedies of the submitter of the information, make every effort to
prevent further disclosure of such information by the party or the
recipient of such information.
(c) Violation of protective order. An individual who has agreed to
be bound by the terms of a protective order issued pursuant to paragraph
(a) of this section, and who is determined by the Commission or the
administrative law judge to have violated the terms of the protective
order may be subject to one or more of the following penalties:
(1) An official reprimand by the Commission;
(2) Disqualification from or limitation of further participation in a
pending investigation;
(3) Temporary or permanent disqualification from practicing in any
capacity before the Commission pursuant to 201.15(a) of this chapter;
(4) Referral of the facts underlying the violation to the appropriate
licensing authority in the jurisdiction in which the individual is
licensed to practice;
(5) Sanctions as enumerated in 210.36, or such other action as may
be appropriate.
Such sanctions may be imposed upon the filing of a motion by a party
or upon the administrative law judge's own motion. The administrative
law judge shall allow the parties to make written submissions and if
warranted to present oral argument. The administrative law judge shall
grant or deny a motion for sanctions by filing with the Commission an
initial determination pursuant to 210.53(c).
19 CFR 210.37 Subpart E -- Prehearing Conferences and Hearings
19 CFR 210.40 Prehearing conferences.
(a) When appropriate. The administrative law judge in any
investigation may direct counsel or other representatives for all
parties to meet with him for one or more conferences to consider any or
all of the following:
(1) Simplification and clarification of the issues:
(2) Scope of the hearing;
(3) Necessity or desirability of amendments to pleadings subject,
however, to the provisions of 210.22;
(4) Stipulations and admissions of either fact or the content and
authenticity of documents;
(5) Expedition in the discovery and presentation of evidence
including, but not limited to, restriction of the number of expert,
economic, or technical witnesses; and
(6) Such other matters as may aid in the orderly and expeditious
disposition of the investigation including disclosure of the names of
witnesses and the exchange of documents or other physical exhibits that
will be introduced in evidence in the course of the hearing.
(b) Subpoenas. Prehearing conferences may be convened for the
purpose of accepting returns on subpoenas duces tecum issued pursuant to
the provisions of 210.35(a)(2).
(c) Reporting. In the discretion of the administrative law judge,
prehearing conferences may or may not be stenographically reported and
may or may not be public.
(d) Order. The administrative law judge may enter in the record an
order that recites the results of the conference. Such order shall
include the administrative law judge's rulings upon matters considered
at the conference, together with appropriate direction to the parties.
The administrative law judge's order shall control the subsequent course
of the hearing, unless modified to prevent manifest injustice.
19 CFR 210.41 General provisions for hearings.
(a) Purpose of hearings. Unless otherwise ordered by the Commission:
(1) An opportunity for a hearing shall be provided in each
investigation under section 337 of the Tariff Act to take evidence and
hear argument for the purpose of determining whether there is a
violation of section 337 of the Tariff Act.
(2) Except as provided under 210.24(e)(13), an opportunity for a
hearing shall also be provided to take evidence and hear argument for
the purpose of determining whether there is reason to believe there is a
violation of section 337 of the Tariff Act, whether the complainant
should be required to post a bond as a prerequisite to the issuance of a
temporary exclusion order (if such an order is being requested) and, if
so, the amount of the bond.
(b) Public hearings. All hearings in investigations under this part
shall be public unless otherwise ordered by the administrative law
judge.
(c) Expedition. Hearings shall proceed with all reasonable
expedition, and, insofar as practicable, shall be held at one place,
continuing until completed unless otherwise ordered by the
administrative law judge.
(d) Rights of the parties. Every party shall have the right of due
notice, cross examination, presentation of evidence, objection, motion,
argument, and all other rights essential to a fair hearing.
(e) Presiding official. An administrative law judge shall preside
over each hearing unless the Commission shall otherwise order.
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49133, Dec. 6, 1988)
19 CFR 210.42 Evidence.
(a) Burden of proof. The proponent of any factual proposition shall
be required to sustain the burden of proof with respect thereto.
(b) Admissibility. Relevant, material, and reliable evidence shall
be admitted. Irrevelent, immaterial, unrealiable, and unduly
repetitious evidence shall be excluded. Immaterial or irrelevant parts
of an admissible document shall be segregated and excluded as far as
practicable.
(c) Information obtained in investigations. Any documents, papers,
books, physical exhibits, or other materials or information obtained by
the Commission under any of its powers may be disclosed by the
Commission investigative attorney when necessary in connection with
investigations and may be offered in evidence by the Commission
investigative attorney.
(d) Official notice. When any decision of the administrative law
judge rests, in whole or in part, upon the taking of official notice of
a material fact not appearing in evidence of record, opportunity to
disprove such noticed fact shall be granted any party making timely
motion therefor.
(e) Objections. Objections to evidence shall be made in timely
fashion and shall briefly state the grounds relied upon. Rulings on all
objections shall appear on the record.
(f) Exceptions. Formal exception to an adverse ruling is not
required.
(g) Excluded evidence. When objection to a question propounded to a
witness is sustained, the examining party may make a specific offer of
what he expects to prove by the answer of the witness, or the
administrative law judge may in his discretion receive and report the
evidence in full. Rejected exhibits, adequately marked for
identification, shall be retained with the record so as to be available
for consideration by any reviewing authority.
19 CFR 210.43 Record.
(a) Definition of the record. The record shall consist of all
pleadings, the notice of investigation, motions and responses, and other
documents and things properly filed with the Secretary in accordance
with 210.5(b), in addition to all orders, notices, and initial
determinations of the administrative law judge, order and notices of the
Commission, hearing and conference transcripts, evidence admitted into
the record, and any other items certified into the record by the
administrative law judge or the Commission.
(b) Reporting and transcription. Hearings shall be reported and
transcribed by the official reporter of the Commission under the
supervision of the administrative law judge, and the transcript shall be
a part of the record.
(c) Corrections. Corrections of the transcript may be made only when
they involve errors affecting substance and then only in the manner
herein provided. Corrections ordered by the administrative law judge or
agreed to in a written stipulation signed by all counsel and parties not
represented by counsel and approved by the administrative law judge
shall be included in the record, and such stipulations, except to the
extent that they are capricious or without substance, shall be approved
by the administrative law judge. Corrections shall not be ordered by
the administrative law judge except upon notice and opportunity for the
hearing of objections. Such corrections shall be made by the official
reporter by furnishing substitute typed pages, under the usual
certificate of the reporter, for insertion in the transcript. The
original uncorrected pages shall be retained in the files of the
Commission.
(d) Certification of record. Except as provided in 210.24(e)(16) in
connection with the disposition of motions for temporary relief, the
record shall be certified to the Commission by the administrative law
judge upon his filing of an initial determination or at such earlier
time as the Commission may order.
19 CFR 210.44 In camera treatment of confidential information.
(a) Definition. Except as hereinafter provided and consistent with
210.6 and 210.37, confidential documents and testimony made subject to
protective orders or orders granting in camera treatment are not made
part of the public record and are kept confidential in an in camera
record. Only the persons identified in a protective order, persons
identified in 210.6(b), and court personnel concerned with judicial
review shall have access to confidential information on the in camera
record. The right of the adminstrative law judge and the Commission to
disclose confidential data under a protective order (pursuant to
210.37) to the extent necessary for the proper disposition of each
proceeding is specifically reserved.
(b) In camera treatment of documents and testimony. In
administrative law judge shall have authority to order documents or oral
testimony offered in evidence, whether admitted or rejected, to be
placed in camera.
(c) Part of confidential record. In camera documents and testimony
shall constitute a part of the confidential record of the Commission.
(d) References to in camera information. In the submittal of
proposed findings, briefs, or other papers, counsel for all shall make
an attempt in good faith to refrain from disclosing the specific details
of in camera documents and testimony. This shall not preclude
references in such proposed findings, briefs, or other papers to such
documents or testimony including generalized statements based on their
contents. To the extent that counsel consider it necessary to include
specific details of in camera data in their presentations, such data
shall be incorporated in separate proposed findings, briefs, or other
papers marked ''Business Confidential,'' which shall be placed in camera
and become a part of the confidential record.
(e) Motions to declassify. Any party may move to declassify
documents (or portions thereof) that have been designated confidential
by the submitter but that do not satisfy the confidentiality criteria
set forth in 201.6(a). All such motions, whether brought at any time
during the investigation or after conclusion of the investigation shall
be addressed to and ruled upon by the presiding administrative law
judge, or if the investigation is not before a presiding administrative
law judge, by the chief administrative law judge or such administrative
law judge as he or she may designate.
19 CFR 210.44 Subpart F -- Determinations and Actions Taken
19 CFR 210.50 Summary determinations.
(a) Motions for summary determinations. Any party may move with any
necessary supporting affidavits for a summary determination in his favor
upon all or any part of the issues to be determined in the
investigation. Counsel or other representatives in support of the
complaint may so move at any time after twenty (20) days following the
date of service of the complaint and notice instituting the
investigation, and any other party, or a respondent, may so move at any
time after the date of publication in the Federal Register of the notice
of investigation. Any such motion by any party, however, must be filed
at least thirty (30) days before the date fixed for any hearing provided
for in 201.41.
(b) Opposing affidavits; oral argument; time and basis for
determination. Any nonmoving party may, within ten (10) days after
service of the motion, file opposing affidavits. The administrative law
judge may in his discretion or may at the request of any party set the
matter for oral argument and call for the submission of briefs or
memoranda. The determination sought by the moving party shall be
rendered if the pleadings and any depositions, admissions on file, and
affidavits show that there is no genuine issue as to any material fact
and that the moving party is entitled to a summary determination as a
matter of law.
(c) Affidavits. Affidavits shall set forth such facts as would be
admissible in evidence and shall show affirmatively that the affiant is
competent to testify to the matters stated therein. The administrative
law judge may permit affidavits to be supplemented or opposed by
depositions or further affidavits. When a motion for summary
determination is made and supported as provided in this rule, a party
opposing the motion may not rest upon mere allegations or denials in his
pleadings; his response, by affidavits or as otherwise provided in this
rule, must set forth specific facts showing that there is a genuine
issue of fact for hearing. If no such response is filed, a summary
determination, if appropriate, shall be rendered.
(d) Refusal of application for summary determination; continuances
and other orders. Should it appear from the affidavits of a party
opposing the motion that he cannot, for reasons stated, present facts
essential to justify his opposition, the administrative law judge may
refuse the application for summary determination or may order a
continuance to permit affidavits to be obtained or depositions or other
discovery to be had, or make such other order as is appropriate, and a
ruling to that effect shall be made a matter of record.
(e) Order establishing facts. If on motion under this rule a summary
determination is not rendered upon all the allegations for all the
relief asked and a hearing is necessary, the administrative law judge
shall make an order specifying the facts that appear without substantial
controversy and directing further proceedings in the investigation. The
facts so specified shall be deemed established.
(f) Order of summary determination. An order of summary
determination shall constitute an initial determination of the
administrative law judge under 210.53 or 210.24(e)(17).
19 CFR 210.51 Termination of investigation.
(a) Motions for termination. Any party may move at any time for an
order to terminate an investigation in whole or in part as to any or all
respondents.
(b) Settlement by licensing or other agreement. (1) An investigation
before the Commission may be terminated as provided in paragraph (a) of
this section and pursuant to subsection (c) of section 337 of the Tariff
Act on the basis of a licensing or other settlement agreement entered
into between the complainant (all of the complainants if there is more
than one) and one or more of the respondents. A motion for termination
by such parties shall contain copies of the licensing or other
settlement agreement, and any agreements supplemental thereto, and a
statement that there are no other agreements, written or oral, express
or implied between the parties concerning the subject matter of the
investigation. If the licensing or other settlement agreement contains
confidential business information within the meaning of 201.6(a) of
this chapter, a copy of the agreement with such information deleted
shall accompany the motion.
(2) The motion, licensing or other agreement and any agreements
supplemental thereto, shall be certified by the administrative law judge
to the Commission with an initial determination regarding the motion for
termination. If the licensing or other agreement or the initial
determination contains confidential business information, copies of the
agreement and initial determination with confidential business
information deleted shall be certified to the Commission simultaneously
with the confidential versions of such documents. the Commission shall
promptly publish a notice in the Federal Register stating that an
initial determination has been received terminating the respondent or
respondents in question on the basis of a licensing or other settlement
agreement, that nonconfidential versions of the initial determination
and the agreement are available for inspection in the Office of the
Secretary, and that interested persons may submit written comments
concerning termination of the respondents in question within ten (10)
days of the date of publication of notice in the Federal Register. In
accordance with subsection (c) of section 337 of the Tariff Act, an
order of termination based upon such licensing or other settlement
agreement need not constitute a determination as to violation of section
337.
(c) Settlement by consent order. An investigation before the
Commission may be terminated as provided in paragraph (a) of this
section and pursuant to subsection (c) of section 337 of the Tariff Act
on the basis of a consent order settlement under 211.20(b) of this
chapter. In accordance with subsection (c) of section 337 of the Tariff
Act, an order of termination based upon such a settlement need not
constitute a determination as to violation of section 337.
(d) Effect of termination. Except as provided in paragraphs (b) and
(c) of this section, an order of termination issued by the Commission
shall constitute a determination of the Commission under 210.56(c), and
an order of termination issued by the adminstrative law judge shall
constitute an initial determination under 210.53.
19 CFR 210.52 Proposed findings and conclusions.
At the time a motion for summary determination under 210.50(a) or a
motion for termination under 210.51(a) is made, or when it is found
that a party is in default under 210.25, or at the close of the
reception of evidence in any hearing held pursuant to this part (except
as provided in 210.24(e)(14)), or within a reasonable time thereafter
fixed by the administrative law judge, any party may file proposed
findings of fact and conclusions of law, together with reasons therefor.
When appropriate, briefs in support of the proposed findings of fact
and conclusions of law may be filed with the administrative law judge
for his consideration. Such proposals and briefs shall be in writing,
shall be served upon all parties in accordance with 210.08, and shall
contain adequate references to the record and the authorities on which
the submitter is relying.
19 CFR 210.53 Initial determination.
(a) On issues concerning permanent relief. Except as may otherwise
be ordered by the Commission, within nine (9) months, or within fourteen
(14) months in a more complicated case, of the date of publication in
the Federal Register of the notice of investigation, the administrative
law judge shall certify the record to the Commission and shall file with
the Commission an initial determination as to whether there is a
violation of section 337 of the Tariff Act.
(b) On issues concerning temporary relief. The disposition of an
initial determination concerning temporary relief (and if appropriate,
the posting of a bond by the complainant and the amount of the bond) is
governed by the provisions of 210.24(c)(17).
(c) On motions for summary determination, termination, finding of
default, intervention, amendment to the complaint, or notice of
investigation, a ''more complicated'' designation (except as provided in
210.24(e)(11)), a ''complicated'' designation, suspension of an
investigation, or sanctions for violation of a protective order. (1)
The administrative law judge shall grant by filing with the Commission
an initial determination or shall deny by issuing an order directing
denial the following types of motions after they have been filed: a
motion for summary determination pursuant to 210.50; a motion for
termination pursuant to 210.51; a motion for a finding of default
pursuant to 210.25; a motion for intervention pursuant to 210.26; a
motion to amend the complaint or notice of investigation pursuant to
210.22; a motion to designate an investigation ''more complicated''
pursuant to 210.59(a) (except as provided in 210.24(e)(11)); a motion
to designate an investigation ''complicated'' pursuant to 210.59(b);
or a motion to suspend an investigation pursuant to 210.59(a) or (b).
(2) Following a motion for a sanction for violation of a protective
order 210.37, the administrative law judge shall grant or deny such
motions by filing with the Commission an initial determination.
(d) Contents. The initial determination shall include: an opinion
stating findings (with specific page references to principal supporting
items of evidence in the record) and conclusions and the reasons or
bases therefor necessary for the disposition of all material issues of
fact, law, or discretion presented in the record; and a statement that
pursuant to 210.53(h) of these rules, the initial determination shall
become the determination of the Commission unless a party files a
petition for review of the initial determination pursuant to 210.54 or
the Commission pursuant to 210.55 orders on its own motion a review of
the initial determination or certain issues therein.
(e) Notice to and advice from departments and agencies. The
Department of Health and Human Services, the Department of Justice, the
Federal Trade Commission, and such other departments and agencies as the
Commission deems appropriate shall be served with a copy of the initial
determination. The Commission shall consider comments, limited to
issues raised by the record, the initial determination, and the
petitions for review, received from such agencies when deciding whether
to initiate review or the scope of review. The Commission shall allow
such agencies twenty (20) days after the service of an initial
determination filed pursuant to 210.53(a) or ten (10) days after the
service of an initial determination filed pursuant to 210.53 (b) or (c)
to submit their comments.
(f) Initial determination made by the administrative law judge. The
initial determination shall be made and filed by the administrative law
judge who presided over the investigation, except when that person is
unavailable to the Commission.
(g) Reopening of proceedings by the administrative law judge. At any
time prior to the filing of the initial determination, the
administrative law judge may reopen the proceedings for the reception of
additional evidence.
(h) Effect. An initial determination filed pursuant to 210.53(a)
shall become the determination of the Commission forty-five (45) days
after the date of service of the initial determination, unless the
Commission, within forty-five (45) days after the date of such service
shall have ordered review of the initial determination or certain issues
therein pursuant to 210.54(b) or 210.55, or by order shall have
changed the effective date of the initial determination. An initial
determination filed pursuant to 210.53(b) or (c) shall become the
determination of the Commission thirty (30) days after the date of
service of the initial determination, except that the disposition of an
initial determination granting or denying a motion for temporary relief
is governed by the provisions of 210.24(e).
(i) Notice of determination. Except as provided in 210.24(e)(17),
in the event an initial determination becomes the determination of the
Commission, the parties shall be notified thereof by the Secretary.
(j) Concerning the possible forfeiture of a complainant's temporary
relief bond in whole or in part. The disposition of an initial
determination pursuant to 210.58(c) concerning the possible forfeiture
of a complainant's temporary relief bond in whole or in part shall be
governed by the provisions of 210.54 through 210.56(c). The initial
determination shall become the determination of the Commission
forty-five (45) days after the date on which it is served on the parties
by the Secretary unless the Commission orders a review pursuant to
210.54(b) or 210.55 or extends the deadline for determining whether to
order a review.
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49133, Dec. 6, 1988)
19 CFR 210.54 Petition for review.
(a) The petition and responses. (1) Except as provided in
210.24(e)(17), any party to an investigation may request a review by the
Commission of an initial determination by filing with the Secretary a
petition for review, except that a party who has defalted may not
petition for review of any issue regarding which the party is in
default. A petition for review of an initial determination filed
pursuant to 210.53(a) or (j) shall be filed within ten (10) days after
the service of the initial determination. A petition for review of an
initial determination filed pursuant to 210.53(c) shall be filed within
five (5) days after the service of the initial determination, except
that a party or proposed respondent who has not responded to the motion
before the administrative law judge pursuant to 210.24(c) may be deemed
to have consented to the relief requested and may not petition for
review of the issues raised in the subject motion. A petition for
review filed under this section shall:
(i) Identify the party seeking review;
(ii) Specify the issues upon which review of the initial
determination is sought;
(A) A finding or conclusion of material fact is clearly erroneous;
(B) A legal conclusion is erroneous, without governing precedent,
rule or law, or constitutes an abuse of discretion; or
(C) The determination is one affecting Commission policy.
(iii) Set forth a concise statement of the facts material to the
consideration of the stated issues; and
(iv) Present a concise argument setting forth the reasons why review
by the Commission is necessary or appropriate to resolve an important
issue of fact, law, or policy.
(2) Any issue not raised in the petition for review filed under this
section will be deemed to have been abandoned and may be disregarded by
the Commission in reviewing an initial determination.
(3) Any party may file a response to the petition for review within
five (5) days after service of the petition, except that a party who has
defaulted may not file a response to any issue regarding which the party
is in default.
(b) Grant or denial or review. (1) The Commission shall decide
whether to grant, in whole or in part, a petition for review filed
pursuant to 210.53(a) or (j) within forty-five (45) days of the service
of the initial determination on the parties, or by such other time as
the Commission may order. The Commission shall decide whether to grant,
in whole or in part, a petition for review filed pursuant to 210.53(c)
within thirty (30) days of the service of the initial determination on
the parties, or by such other time as the Commission may order.
(2) The Commission shall decide whether to grant a petition for
review, based upon the petition and response thereto, without oral
argument or further written submissions unless the Commission shall
order otherwise. The standards for granting review of an initial
determination are set forth in paragraph (a)(1)(ii) of this section.
(3) The Commission shall grant a petition for review and order review
of an initial determination or certain issues therein when at least one
of the participating Commissioners votes for ordering review. In its
notice, the Commission shall establish the scope of the review and the
issues that will be .( considered and make provisions for filing of
briefs and oral argument if deemed appropriate by the Commission. The
notice that the Commission has granted the petition for review shall be
served by the Secretary on all parties, the Department of Health and
Human Services, the Department of Justice, the Federal Trade Commission,
and such other departments and agencies as the Commission deems
appropriate.
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49133, Dec. 6, 1988)
19 CFR 210.55 Commission review on its own motion.
Within the time provided in 210.53(h), the Commission on its own
initiative may order review of an initial determination or certain
issues therein when at least one of the participating Commissioners
votes for ordering review. The standards for granting review of an
initial determination are set forth in 210.54(a)(1)(ii). This section
does not apply to initial determinations issued pursuant to
210.24(e)(17) or determinations issued by the presiding administrative
law judge pursuant to 210.24(e)(11).
19 CFR 210.56 Review by Commission.
(a) Briefs and oral argument. In the event the Commission orders
review of an initial determination, the parties may be requested to file
review briefs concerning the issues on review at a time and of a size
and nature set forth in the notice of review. The parties, within the
time provided for filing the review briefs, may submit a written request
for a hearing to present oral argument before the Commission, which the
Commission in its discretion may grant or deny. The Commission shall
grant the request when at least one of the participating Commissioners
votes in favor of the request.
(b) Scope of review. Only the issues set forth in the notice of
review, and all subsidiary issues therein, will be considered by the
Commission.
(c) Determination on review. On review, the Commission may affirm,
reverse, modify, set aside or remand for further proceedings, in whole
or in part, the initial determination of the administrative law judge
and make any findings or conclusions that in its judgment are proper
based on the record in the proceeding.
(d) Initial determinations concerning temporary relief and bonding by
the complainant and the respondents. Commission action on an initial
determination concerning temporary relief and, possibly, bonding by the
complainant and the respondents is governed by the provisions of
210.24(e)(17) and (18).
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49133, Dec. 6, 1988)
19 CFR 210.57 Implementation of Commission action.
(a) Service of Commission determination upon the parties. A
Commission determination pursuant to 210.56(c) or a termination on the
basis of a licensing or other agreement or consent settlement pursuant
to 210.51 (b) and (c), respectively, shall be served upon each party to
the investigation.
(b) Publication and transmittal to the President. A Commission
determination that there is a violation of section 337, or that there is
reason to believe that there is such a violation, together with the
action taken relative to such determination, or Commission action
pursuant to subparts B and C of part 211 of this chapter shall be
immediately published in the Federal Register and transmitted to the
President, together with the record upon which it is based.
(c) Enforceability of Commission action. Unless otherwise specified,
any Commission action, other than an exclusion order or order directing
seizure and forfeiture of articles imported in violation of an
outstanding exclusion order shall be enforceable upon receipt by the
affected party of notice of such action. Exclusion orders and seizure
and forfeiture orders shall be inforceable upon receipt of notice
thereof by the Secretary of the Treasury.
(d) Finality of affirmative Commission action. If the President does
not disapprove for policy reasons such Commission action within a period
of sixty (60) days beginning on the day after delivery of a copy of such
Commission action to the President, or if the President notifies the
Commission before the close of such period that he approves such
Commission action, then such Commission action shall become final on the
day after the close of such period, or the day on which the President
notifies the Commission of his approval, as the case may be.
(e) Duration. Final Commission action shall remain in effect as
provided in subpart C of part 211 of this chapter.
19 CFR 210.58 Commission action, public interest factor, and bonding.
(a) During the course of each proceeding under this part when an
investigation has been instituted, the Commission shall --
(1) Consider what action (general or limited exclusion of articles
from entry and/or a cease and desist order, or exclusion of articles
from entry under bond and/or a temporary cease and desist order), if
any, it should take, and, when appropriate, take such action;
(2) Consult with and seek advice and information from the Department
of Health and Human Services, the Department of Justice, the Federal
Trade Commission, and such other departments and agencies as it
considers appropriate, concerning the subject matter of the complaint
and the effect its actions (general or limited exclusion of articles
from entry and/or a cease and desist order, or exclusion of articles
from entry under bond and/or a temporary cease and desist order) under
section 337 of the Tariff Act shall have upon the public health and
welfare, competitive conditions in the U.S. economy, the production of
like or directly competitive articles in the United States, and U.S.
consumers;
(3) Determine the amount of the bond to be posted pursuant to
paragraph (3) of subsection (j) of section 337 of the Tariff Act taking
into account, among other things, the amount that would offset any
competitive advantage resulting from the alleged unfair methods of
competition and unfair acts enjoyed by persons benefitting from the
importation of the articles in question.
(4) Receive submissions from the parties, other interested persons,
Government agencies and departments, and the public with respect to the
subject matter of paragraphs (a) (1), (2), and (3), of this section,
which submissions shall be served upon the parties and be available to
the public in the Office of the Secretary. The Commission will consider
motions for oral argument or, when necessary, for a hearing with respect
to the subject matter of this section, except with respect to the grant
or denial of temporary relief on a motion filed pursuant to 210(e).
(b)(1) With respect to addressing the issues of appropriate
Commission action, the public interest, and bonding by the respondents
for purposes of an initial determination concerning the grant or denial
of a motion for temporary relief, see 210.24(e)(12), (13), and (17).
Unless otherwise ordered by the Commission or permitted by this
paragraph, and except as provided in 210.24(e)(12) and (13), the
administrative law judge shall not take evidence or other information or
hear arguments from the parties and other interested persons with
respect to the subject matter of paragraphs (a)(1), (2), (3) and (4) of
this section.
(2) Regarding settlements by agreement or consent order under 210.51
(b) and (c), the parties may file statements regarding the impact of the
proposed settlement on the public interest, and the administrative law
judge may in his or her discretion hear argument, although no discovery
may be compelled with respect to issues relating solely to the public
interest. Thereafter, the administrative law judge shall consider and
make appropriate findings in the initial determination regarding the
effect of the proposed settlement on the public health and welfare,
competitive conditions in the U.S. economy, the production of like or
directly competitive articles in the United States, and U.S. consumers.
(3) Regarding the issuance of an initial determination concerning the
granting of a motion for a temporary exclusion order and whether the
complainant should be required to post a bond as a prerequisite to the
issuance of such an order, see 210.24(e)(1), (9), (10), (12), (13), and
(17). If the Commission determines under 210.24(e)(17)(ii) that the
complainant must post a bond as a prerequisite to the issuance of a
temporary exclusion order, the ''bond'' which the complainant submits
may consist of one or more of the following:
(i) The surety bond of a surety or guarantee corporation that is
licensed to do business with the United States in accordance with 31
U.S.C. 9304-9306 and 31 CFR parts 223 and 224;
(ii) The surety bond of an individual, a trust, an estate, or a
partnership, pursuant to 31 U.S.C. 9301 and 9303(c), whose solvency and
financial responsibility will be investigated and verified by the
Commission; or
(iii) A certified check, a bank draft, a post office money order,
cash, a United States bond, a Treasury note, or other Government
obligation within the meaning of 31 U.S.C. 9301 and 31 CFR part 225,
which are owned by the complainant and tendered in lieu of a surety
bond, pursuant to 31 U.S.C. 9303(c) and 31 CFR part 225.
The same restrictions and requirements relating to individual and
corporate sureties on Customs bonds, which are set forth in 19 CFR part
113, shall apply with respect to bonds posted by complainants pursuant
to an order, notice, determination or opinion of the Commission issued
pursuant to this paragraph or 210.24(e)(17). If the survey is an
individual, the individual must file an affidavit of the type shown in
Appendix A to 210.58. Unless otherwise ordered by the Commission, while
the bond of the individual surety is in effect, an updated affidavit
must be filed every four months (computed from the date on which the
bond was approved by the Secretary or the Commission).
(4) The ''bond'' and accompanying documentation must be submitted to
the Commission within the time specified in the Commission notice,
order, determination, or opinion requiring the posting of a bond, or
within such other time as the Commission may order. If the bond is not
submitted within the specified period (and an extension of time has not
been granted), a temporary exclusion order will not be issued.
(5) The corporate or individual surety on a bond or the person
posting a certified check, a bank draft, a post office money order,
cash, a United States bond, a Treasury note, or other Government
obligation in lieu of a surety bond must provide the following
information on the face of the bond or in the instrument authorizing the
Government to collect or sell the bond, certified check, bank draft,
post office money order, cash, United States bond, Treasury note, or
other Government obligation in response to a Commission order requiring
forfeiture of the bond pursuant to paragraph (c) of this section:
(i) The investigation caption and docket number;
(ii) The names, addresses, and seals (if appropriate) of the
principal, the surety, the obligee, as well as the ''attorney in fact''
and the registered process agent (if applicable) (see Customs Service
regulations 19 CFR part 113 and Treasury Department regulations in 31
CFR parts 223, 224, and 225);
(iii) The terms and conditions of the bond obligation, including the
reason the bond is being posted, the amount of the bond, the effective
date and duration of the bond (as prescribed by the Commission order,
notice, determination, or opinion requiring the complainant to post a
bond); and
(iv) A section at the bottom of the bond or other instrument for the
date and authorized signature of the Commission Secretary to reflect
Commission approval of the bond.
(6) Complainants who wish to post a certified check, a bank draft, a
post office money order, cash, a United States bond, a Treasury note, or
other Government obligation in lieu of a surety bond must notify the
Commission in writing immediately upon receipt of the Commission
document requiring the posting of a bond, and must contact the Secretary
to make arrangements for Commission receipt, handling, management, and
deposit of the certified check, bank draft, post office money order, or
cash in accordance with 31 U.S.C. 9303, 31 CFR parts 202, 206, 225 and
240, and other governing Treasury regulations and circular(s). If
required by the governing Treasury regulations and circular, a certified
check, a bank draft, a post office money order, cash, a United States
bond, a Treasury note, or other Government obligation tendered in lieu
of a surety bond may have to be collateralized. See, e.g., 31 CFR 202.6
and the appropriate Treasury Circular.
(7) In accordance with 31 U.S.C. 9304(b), all bonds posted by
complainants must be approved by the Commission before the temporary
exclusion order which the bond will secure will be issued. See 31
U.S.C. 9303(a) and 9304(b) and 31 CFR 225.1 and 225.20. The Commission's
''bond approval officer'' within the meaning of 31 CFR 225.1 and 255.20
shall be the Commission Secretary. The bond approval process will
entail investigation by the Secretary or the Commission's Office of
Investigations to determine the veracity of all factual information set
forth in the bond and the accompanying documentation (e.g., powers of
attorney), as well as any additional verification required by 31 CFR
parts 223, 224, and 225, or the Commission rules. The Secretary may
reject a bond on one or more of the following grounds:
(i) Failure to comply with the instructions in the Commission
determination, order, or notice directing the complainant to post a
bond;
(ii) Failure of the surety or the bond to provide information or
supporting documentation required by the Commission rules, 31 U.S.C.
9304 and 31 CFR parts 223 and 224, or governing Treasury circulars or
because of a limitation prescribed in a governing statute, regulation,
or circular;
(iii) Failure of an individual surety to execute and file with the
bond, an affidavit of the type shown in Appendix A to 210.58, which
corresponds to Customs Form 3579 (19 CFR 113.35) and sets forth
information about the surety's assets, liabilities, net worth, real
estate and other property of which the individual surety is the sole
owner, other bonds on which the individual surety is a surety (and which
must be updated at 4-month intervals while the bond is in effect,
measured from the date on which the bond is approved by the Secretary on
behalf of the Commission or by the Commission);
(iv) Any question about the solvency or financial responsibility of
the surety, or any question of fraud, misrepresentation, or prejury
which comes to light as a result of the verification inquiry during the
bond approval process; and
(v) Any other reason deemed appropriate by the Secretary.
If the complainant believes that the Secretary's rejection of the
bond was erroneous as a matter of law, the complainant may appeal the
Secretary's rejection of the bond by filing a petition with the
Commission in the form of a letter to the Chairman, within ten (10) days
after service of the rejection letter.
(8) After the bond is approved and the temporary exclusion order it
secures is issued, if any question concerning the continued solvency of
the individual or the legality or enforceability of the bond or
undertaking develops, the Commission may take the following action, sua
sponte or on motion;
(i) Revoke the Commission approval of the bond and require
complainant to post a new bond; or
(ii) Revoke or vacate the temporary exclusion order for public
interest reasons or changed conditions of law or fact (criteria that are
the basis for modification or rescission of final Commission action
pursuant to 211.57(a)(1) of this chapter); and/or
(iii) Notify the Treasury Department if the problem involves a
corporate surety licensed to do business with the United States under 31
U.S.C. 9303-9306 and 31 CFR parts 223 and 224; and/or
(iv) Refer the matter to the U.S. Department of Justice if there is a
suggestion of fraud, perjury, or related conduct.
(c) Forfeiture of complainant's bonds.
(1) When the Commission determines that one or more of the
respondents whose merchandise was covered by the temporary exclusion
order have not violated section 337 to the extent alleged in the motion
for temporary relief and provided for in the temporary exclusion order,
the complainant must file within thirty (30) days after the effective
date of the aforesaid Commission determination, a written submission
discussing whether the Commission should or should not order forfeiture
of the bond. The factors the Commission will consider (and which the
complainant's submission must address) in determining whether forfeiture
of the bond should be ordered in whole or in part include the following:
(i) The extent to which the Commission has determined that section
337 has not been violated;
(ii) Whether the complainant's assertions with respect to the
violation alleged as the basis for obtaining a temporary exclusion order
were substantially justified, taking into account the record of the
investigation as a whole;
(iii) Whether forfeiture would be consistent with the legislative
intent of the forfeiture authority (which is to provide a
''disincentive'' to the abuse of temporary relief by complainants);
(iv) Whether forfeiture would be in the public interest; and
(v) Any other legal, equitable, or policy considerations that are
relevant to the issue of forfeiture.
(2) The other parties to the investigation may file responses to the
complainant's submission that address the aforesaid issues within
fifteen (15) days after service of the complainant's submission.
(3) If the investigation is terminated on the basis of a settlement
agreement or a consent order with no concurrent determination concerning
the violation of section 337, the parties will not address, and the
Commission will not determine the issue of whether the bond should be
forfeited.
(4) The Commission's determination on whether to order forfeiture of
the bond will be made by using the initial determination/discretionary
Commission review procedure set forth in 210.53(j) and 210.54 through
210.56(c), which allow for longer filing deadlines, petitions for review
and responses thereto with no page limitations, and broader criteria for
reviewing, modifying and reversing an initial determination than the
procedures and criteria set forth in 210.24(e) (17) and (18) which
govern the disposition of motions for temporary relief and the posting
of bonds by complainants. In accordance with 210.53 (a) and (h), the
initial determination on forfeiture of the bond will become the
determination of the Commission within forty-five (45) days after
issuance of the presiding administrative law judge's initial
determination on forfeiture unless the Commission orders a review or
extends the deadline for determining whether to order a review.
(5) Motions to stay forfeiture proceedings or the effective date of a
forfeiture order pending the outcome of judicial review of the violation
determination will not be granted. If the negative violation
determination supporting the forfeiture order is reversed on judicial
review, within sixty (60) days after the judgment or judicial order
becomes final, the complainant may file a petition with the Commission
for a refund of the amount of the bond forfeited to the Treasury (if
any). The other parties to the investigation may file responses to the
forfeiture refund petition within ten (10) days after service of the
petition. If the Commission determines in response to the complainant's
petition or sua sponte that the bond amount forfeited to the Treasury
should be refunded in whole or in part, the Commission shall issue an
order directing that the appropriate sum be refunded as expeditiously as
possible in accordance with the governing Treasury procedures and
regulations.
Insert illustration 0 664
Insert illustration 0 665
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49133, Dec. 6, 1988)
19 CFR 210.59 Period for concluding Commission investigation.
(a) Each investigation instituted under this part shall be concluded
and a final order issued no later than twelve (12) months after the date
of publication in the Federal Register of the notice instituting the
investigation, except that the Commission may designate the
investigation as a ''more complicated'' investigation and require that
it be concluded no later than eighteen (18) months after the date of
publication in the Federal Register of the notice of investigation. A
''more complicated'' investigation refers to an investigation that is of
an involved nature owing to the subject matter, difficulty in obtaining
information, the large number of parties involved, or other significant
factors. The Commission shall publish its reasons for designating the
investigation as a ''more complicated'' investigation in the Federal
Register. In computing the 12-month and 18-month periods prescribed by
this paragraph, there shall be excluded any period of time during which
the investigation is suspended because of proceedings in a court or
agency of the United States involving similar questions concerning the
subject matter of such investigation.
(b) An investigation may be designated ''more complicated'' by the
Commission or the presiding administrative law judge pursuant to
210.24(e)(11) for the purpose of extending the statutory deadline for
determining whether to grant or deny a motion for temporary relief, as
well as the issues of bonding by the complainant if a temporary
exclusion order is to be issued and the amount of the bond. The
Commission's or the administrative law judge's reasons for designating
the investigation ''more complicated'' for that purpose shall be
published in the Federal Register. In computing the statutory deadline
for determining whether to grant or deny a motion for temporary relief
in an investigation designated ''more complicated'' pursuant to this
paragraph (and 210.24(e)(11), there shall be excluded any period of
time during which the investigation is suspended because of proceedings
in a court or agency of the United States involving similar questions
concerning the subject matter of such investigation.
(c) Notwithstanding any provision of paragraph (a) of this section,
the Commission may extend, by not more than ninety (90) days, the
12-month or 18-month period within which the Commission is required to
make a final determination in an investigation if the Commission would
be required to make such determination before the 180th day after the
date of enactment of the Omnibus Trade and Competitiveness Act of 1988
and the Commission finds that the investigation is ''complicated.'' A
''complicated'' investigation is one in which the following
circumstances exist:
(1) Previously established deadlines or procedures must be changed in
order to comply with provisions of the Omnibus Trade and Competitiveness
Act of 1988 which amend section 337 of the Tariff Act; and
(2) The altered deadlines or procedures are impracticable, prejudice
the rights of the parties, adversely affect the public interest, or
create the possibility that the Commission will be unable to conclude
the investigation by the prescribed 12 months or 18-month statutory
deadline.
Unless otherwise ordered by the Commission, in order to obtain and
implement the ''complicated'' designation and resulting extension of
time, the parties, the administrative law judge, and the Commission
shall follow the procedures used to obtain and implement a ''more
complicated'' designation. (See 210.53(c)-(i), 210.54, 210.55,
210.56(a) through (c), and 210.57(a)). The Commission shall publish its
reasons for designating an investigation ''complicated'' in the Federal
Register. In computing the new termination deadline resulting from such
designation, there shall be excluded any period of time during which the
investigation is suspended because of proceedings in a court or agency
of the United States involving similar questions concerning the subject
matter of such investigation.
(53 FR 33055, Aug. 29, 1988, as amended at 53 FR 49138, Dec. 6, 1988)
19 CFR 210.59 Subpart G -- Appeals
19 CFR 210.60 Petition for reconsideration.
Within fourteen (14) days after service of a Commission
determination, any party may file with the Commission a petition for
reconsideration of such determination or any action ordered to be taken
thereunder, setting forth the relief desired and the grounds in support
thereof. Any petition filed under this section must be confined to new
questions raised by the determination or action ordered to be taken
thereunder and upon which the petitioner had no opportunity to submit
arguments. Any party desiring to oppose such a petition shall file an
answer thereto within five (5) days after service of the petition upon
such party. The filing of a petition for reconsideration shall not stay
the effective date of the determination or action ordered to be taken
thereunder or toll the running of any statutory time period affecting
such determination or action ordered to be taken thereunder unless
specifically so ordered by the Commission.
19 CFR 210.61 Disposition of petition of reconsideration.
The Commission may affirm, set aside, or modify its determination,
including any action ordered by it to be taken thereunder. When
appropriate, the Commission may order the administrative law judge to
take additional evidence.
19 CFR 210.70 Interlocutory appeals.
Rulings by the administrative law judge on motions may not be
appealed to the Commission prior to the administrative law judge's
issuance of his initial determination, except in the following
circumstances:
(a) Appeals without leave of the administrative law judge. The
Commission may in its discretion entertain interlocutory appeals, except
as provided in 210.24(e)(15), when a ruling of the administrative law
judge:
(1) Requires the disclosure of the Commission records or requires the
appearance of Government officials pursuant to 210.35(c); or
(2) Denies an application for intervention pursuant to the provisions
of 210.26. Appeals from such ruling may be sought by filing an
application for review, not to exceed fifteen (15) pages with the
Commission within five (5) days after notice of the administrative law
judge's ruling. An answer to the application for review may be filed
within five (5) days after service of the application. The application
for review should specify the person or party taking the appeal,
designate the ruling or part thereof from which appeal is being taken,
and specify the reasons and present arguments as to why review is being
sought. The Commission may, upon its own motion, enter an order staying
the return date of an order issued by the administrative law judge
pursuant to 210.35(c) or an order placing the matter on the
Commission's docket for review. Any order placing the matter on the
Commission's docket for review will set forth the scope of the review
and the issues that will be considered and will make provision for the
filing of briefs if deemed appropriate by the Commission.
(b) Appeals with leave of the administrative law judge. Except as
otherwise provided in paragraph (a) of this section and 210.24(e)(15),
applications for review of a ruling by an administrative law judge may
be allowed only upon request made to the administrative law judge and
upon determination by the administrative law judge in writing, with
justification in support thereof, that the ruling involves a controlling
question of law or policy as to which there is substantial ground for
difference of opinion, and that either an immediate appeal from the
ruling may materially advance the ultimate completion of the
investigation or subsequent review will be an inadequate remedy.
Applications for review in writing, not to exceed fifteen (15) pages,
may be filed within five (5) days after notice of the administrative law
judge's determination. An answer to the application for review may be
filed within five (5) days after service of the application for review.
Thereupon, the Commission may, in its discretion, permit an appeal.
Commission review, if permitted, shall be confined to the application
for review and answer thereto, without oral argument or further briefs,
unless otherwise ordered from the Commission.
(c) Investigation not stayed. Application for review under this
section shall not stay the investigation before the administrative law
judge unless the administrative law judge or the Commission shall so
order.
19 CFR 210.71 Appeals of final determination to the United States Court
of Appeals for the Federal Circuit.
Any person adversely affected by a final determination of the
Commission under subsection (d), (e), (f) or (g) of section 337 of the
Tariff Act may appeal such determination to the United States Court of
Appeals for the Federal Circuit.
19 CFR 210.71 PART 211 -- ENFORCEMENT PROCEDURES
Sec.
211.01 Purpose.
211.10 Informal disposition through voluntary compliance.
211.20 Opportunity to submit proposed consent order.
211.21 Settlement by consent.
211.22 Contents of consent order agreement.
211.50 Applicability, purpose, and retroactivity.
211.51 Information gathering.
211.52 Confidentiality of information.
211.53 Review of reports.
211.54 Advice concerning Commission orders.
211.55 Modification of information requirements.
211.56 Proceedings to enforce Commission orders.
211.57 Modification or rescission of final Commission actions.
211.58 Temporary emergency action.
211.59 Notice of enforcement action to Government agencies.
Authority: 19 U.S.C. 1333, 1335, and 1337.
Source: 53 FR 33073, Aug. 29, 1988, unless otherwise noted.
19 CFR 211.01 Purpose.
This part sets forth procedures for the settlement by consent of
matters that involve alleged violations of section 337 of the Tariff Act
of 1930 and for the enforcement, modification, and revocation of final
Commission actions. Definitions applicable to part 210 apply to this
part unless specifically provided otherwise.
19 CFR 211.01 Subpart A -- Informal Enforcement Procedure
19 CFR 211.10 Informal disposition through voluntary compliance.
(a) Opportunity for informal disposition. When the Commission has
information obtained during the course of an informal inquiry or
preliminary investigation pursuant to section 603 of the Trade Act of
1974 (19 U.S.C. 2482) indicating that a person may be engaging in a
practice that may involve a violation of section 337 of the Tariff Act
of 1930, it may afford such person the opportunity to have the matter
disposed of on an informal administrative basis if it deems that the
public-interest factors set forth in 210.58(a)(2) of this chapter will
be fully safeguarded thereby.
(b) Public-interest factors to be considered. In determining whether
the public-interest factors set forth in 210.58(a)(2) of this chapter
will be fully safeguarded through such informal administrative action,
the Commission will consider:
(1) The nature and gravity of the practice;
(2) Whether the practice is likely to recur;
(3) The prior record and good faith of the person involved;
(4) The adequacy of assurance of voluntary compliance; and
(5) Any other relevant factor that the Commission deems appropriate.
19 CFR 211.10 Subpart B -- Consent Order Procedure
19 CFR 211.20 Opportunity to submit proposed consent order.
(a) Prior to institution of an investigation. Where time, the nature
of the proceeding, and the public interest permit, any person being
investigated pursuant to section 603 of the Trade Act of 1974 (19 U.S.C.
2482) or 210.11(b) shall be afforded the opportunity to submit to the
Commission a proposal for disposition of the matter under investigation
in the form of a consent order agreement that incorporates a proposed
consent order executed by or on behalf of such person and that complies
with the requirements of 211.22.
(b) Subsequent to institution of an investigation. In investigations
under Section 337 of the Tariff Act of 1930, a proposal to settle a
matter by consent shall be submitted as a motion to the presiding
officer to terminate an investigation under 210.51 of this chapter
together with a consent order agreement that incorporates a proposed
consent order. If the consent order agreement contains confidential
business information within the meaning of 201.6 of this chapter, a
copy of the agreement with such information deleted shall accompany the
motion. The proposed agreement shall comply with the requirements of
211.22. At any time prior to commencement of a hearing as provided in
210.41(a)(1) of this chapter, the motion may be filed jointly by all of
the following:
(1) All private complainants;
(2) The Commission investigative attorney; and
(3) One or more respondents.
However, upon request and for good cause shown, the presiding officer
may consider such a motion during or after a hearing. The filing of the
motion shall not stay proceedings before the presiding officer unless
the presiding officer so orders. The presiding officer shall promptly
file with the Commission an initial determination regarding the motion
for termination. If the initial determination contains confidential
business information, a copy of the initial determination with such
information deleted shall be filed with the Commission simultaneously
with the filing of the confidential version of the initial
determination. The Commission shall promptly publish a notice in the
Federal Register stating that an initial determination has been received
terminating the respondent or the respondents in questions on the basis
of a consent order agreement, that nonconfidential versions of the
initial determination and consent order agreement are available for
inspection in the Office of the Secretary, and that interested persons
may submit written comments concerning termination of the respondents in
question within ten (10) days of the date of publication of the notice
in the Federal Register. Pending disposition by the Commission of a
consent order agreement, a party may not, absent good cause shown,
withdraw from the agreement once it has been submitted pursuant to this
section.
19 CFR 211.21 Settlement by consent.
(a) After the initial determination on the motion for termination
based on a consent order agreement has been filed with the Commission,
the Commission shall promptly serve copies of the nonconfidential
version of the initial determination and the proposed consent order
agreement on the Department of Health and Human Services, the Department
of Justice, and the Federal Trade Commission, and such other departments
and agencies as the Commission deems appropriate.
(b) The Commission, after considering the effect of the consent order
upon the public health and welfare, competitive conditions in the U.S.
economy, the production of like or directly competitive articles in the
United States, and U.S. consumers in the manner provided by 210.58(a)
of this chapter, shall dispose of the initial determination according to
the procedures of 210.53 through 210.56 of this chapter. In
accordance with subsection (c) of section 337 of the Tariff Act of 1930,
an order of termination based upon a consent order agreement need not
constitute a determination as to violation of section 337.
19 CFR 211.22 Contents of consent order agreement.
(a) Contents. Every consent order agreement shall contain, in
addition to the appropriate proposed consent order, the following:
(1) An admission of all jurisdictional facts;
(2) An express waiver of all rights to seek judicial review or
otherwise challenge or contest the validity of the consent order; and
(3) A statement that the enforcement, modification, and revocation
will be carried out pursuant to subpart C of part 211, incorporating by
reference the Commission's Rules of Practice and Procedure.
The consent order agreement may contain a statement that the signing
thereof is for settlement purposes only and does ot constitute admission
by any party that section 337 of the Tariff Act of 1930 has been
violated.
(b) Effect, interpretation, and reporting. The consent order shall
have the same force and effect and may be enforced, modified, or revoked
in the same manner as is provided in section 337 of the Tariff Act of
1930 and parts 210 and 211 for other Commission action. Except as
otherwise provided in the agreement, the complaint and notice of
investigation or the proposed complaint may be used in construing the
terms of the consent order, but no agreement, understanding,
representation or interpretation not contained in the consent order
agreement or Commission decision accompanying the consent order may be
used to vary the terms of the consent order. The Commission may require
periodic compliance reports pursuant to subpart C of part 211 to be
submitted by the person entering into the consent order agreement.
19 CFR 211.22 Subpart C -- Enforcement, Modification, and Revocation of Final Commission Actions
19 CFR 211.50 Applicability, purpose, and retroactivity.
(a) Applicability. The rules in this subpart apply to final
Commission actions issued by the Commission under section 337 of the
Tariff Act of 1930, including exclusion orders, cease and desist orders,
and consent orders.
(b) Purpose. The purpose of this subpart is to set forth procedures
for the enforcement, modification, and revocation of final Commission
actions.
(c) Retroactivity. The rules in this subpart apply to final
Commission actions taken before the effective date of these rules only
to an extent not inconsistent with such final actions.
19 CFR 211.51 Information gathering.
(a) Power to require information. Whenever the Commission takes a
final Commission action, it may require any person to report facts
available to that person that will aid the Commission in determining
whether and to what extent there is compliance with the action or
whether and to what extent the conditions that led to the action are
changed. The Commission may also include provisions that exercise any
other information gathering power available to it by law. The
Commission may at any time request the cooperation of any person or
agency in supplying it with information that will aid it in these
determinations.
(b) Form and detail of reports. Reports under paragraph (a) of this
section are to be in writing, under oath, and in such detail and in such
form as the Commission prescribes. A final Commission action may also
contain terms and conditions that exercise, or make possible the
exercise of, on conditions precedent, any power of information gathering
available to the Commission by law, subject to the standards of
paragraph (a) of this section.
(c) Power to enforce informational requirements. Terms and
conditions of final Commission actions for reporting and information
gathering, and modifications of such terms and conditions, shall be
enforceable by the Commission by a civil action under 19 U.S.C. 1333 or,
at the Commission's discretion, in the same manner as any other
provision of the final Commission action is enforceable.
(d) Term of reporting requirements. The Commission may prescribe in
the final Commission action (or, in the case of a consent order,
approve) the frequency of reporting or information gathering and date on
which these activities are to terminate. If no date for termination is
provided, reporting and information gathering shall terminate when the
final Commission action or any amendment to it expires by its own terms
or is terminated. The Commission may modify informational requirements
of a final Commission action at any time pursuant to 211.53 and
211.55.
19 CFR 211.52 Confidentiality of information.
Confidential information (as defined in 201.6(a) of this chapter)
that is provided to the Commission pursuant to final Commission action
will be received by the Commission in confidence. The restrictions on
disclosure and the procedures for handling such information (which are
set out in 210.6 and 210.44 of this chapter) shall apply and, in a
proceeding under 211.56 or 211.57, the Commission or the presiding
administrative law judge may, upon motion or sua sponte, issue or
continue appropriate protective orders.
19 CFR 211.53 Review of reports.
(a) Review to insure compliance. The Commission, through its Office
of Unfair Import Investigations, will review reports submitted pursuant
to any final Commission action and conduct such further investigation as
it deems necessary to insure compliance with its orders and to ascertain
if such orders are being violated.
(b) Extension of time. The Director of the Office of Unfair Import
Investigations may, for good cause shown, extend the time within which a
report may be filed, or the filing of a report that does not evidence
full compliance with the order, does not in any circumstances suspend or
relieve a respondent from its obligation under the law with respect to
compliance with such order.
19 CFR 211.54 Advice concerning Commission orders.
(a) Advice to respondents submitting information. The Commission may
advise respondents reporting or providing information whether their
reports or information comply with a final Commission order or whether
the actions or information set forth therein evidence compliance with
the Commission order. The Commission may, in any event, institute
proceedings pursuant to 211.56 to enforce compliance with an order.
(b) Advisory opinions. Upon request of a respondent, the Commission
may, upon such investigation as it deems necessary, issue an advisory
opinion as to whether a respondent's proposed new course of action or
conduct would violate the Commission order or section 337 of the Tariff
Act of 1930. The Commission will consider whether the issuance of such
an advisory opinion would facilitate the enforcement of section 337,
would be in the public interest, and would benefit consumers and
competitve conditions in the United States.
(c) Revocation. The Commission may at any time reconsider its
approval of any report of compliance or any advice given under this
section and, where the public interest requires, rescind or revoke its
prior approval or advice. In such event the respondent will be given
notice of the Commission's intent to revoke or rescind as well as an
opportunity to submit its views to the Commission. The Commission will
not proceed against a respondent for violation of an order with respect
to any action that was taken in good faith reliance upon the
commission's aproval or advice under this section, if all relevant facts
were fully completely, and accurately presented to the Commission and
such action was promptly discontinued upon notification of rescission or
revocation of the Commission's approval.
19 CFR 211.55 Modification of information requirements.
(a) Cease and desist orders. The Commission may modify reporting
requirements of cease and desist orders as necessary to assure
compliance with an outstanding action, to take account of changed
circumstances, or to minimize the burden of reporting or information
access. An order to modify reporting requirements shall identify the
reports involved and state the reason or reasons for modification. No
reporting requirement will be suspended during the pendency of such a
modification unless the Commission so orders. The Commission may, if
the public interest warrants announce that a modification of reporting
is under consideration and ask for comment, but it may also modify any
reporting requirement at any time without notice, consistent with the
standards of this section.
(b) Consent orders. Consistent with the standards set forth in
paragraph (a) of this section, the Commission may modify reporting
requirements of consent orders. The Commission shall publish a notice
of any proposed change in the Federal Register, together with the
reporting requirements to be modified and the reasons therefor, and
serve notice on each party subject to the proposed modified consent
order. Such parties shall be given the opportunity to submit briefs to
the Commission, and the Commission may hold a hearing on the matter.
19 CFR 211.56 Proceedings to enforce Commission orders.
(a) Informal enforcement proceedings. Informal enforcement
proceedings may be conducted by the Commission, through its Office of
Unfair Import Investigations, with respect to any act or omission by any
person in violation of any provision of a final Commission action. Such
matters may be handled by the Commission through correspondence or
conference or in any other way that the Commission deems appropriate.
The Commission may issue such orders as it deems appropriate to
implement and insure compliance with the terms of a cease and desist or
exclusion order, or any part thereof. Any matter not disposed of
informally may be made the subject of a formal proceeding pursuant to
this subpart.
(b) Court enforcement. To enforce a Commission order, the Commission
may, without prior notice of any kind to a respondent or any proceeding
otherwise available under the section, initiate a civil action in a U.S.
district court pursuant to subsection (f) of section 337 of the Tariff
Act of 1930, requesting the imposition of such civil penalty or the
issuance of such mandatory injunctions as the Commission deems necessary
to enforce its orders and protect the public interest.
(c) Formal Commission enforcement proceedings. The Commission may
institute an enforcement proceeding at the Commission level by docketing
a complaint setting forth alleged violations of any final Commission
order. The complaint, if docketed, shall be served upon the alleged
violator, and notice of the complaint and the institution of formal
enforcement proceedings shall be published in the Federal Register.
Within fifteen (15) days after the date of receipt of such complaint,
the named respondent shall file a response. Responses shall fully
advise the Commission as to the nature of any defense and shall admit or
deny each allegation of the complaint specifically and in detail unless
the respondent is without knowledge, in which case its answer shall so
state and the statement shall operate as a denial. Allegations of fact
not denied or controverted shall be deemed admitted. Matters alleged as
affirmative defenses shall be separately stated and numbered and shall,
in the absence of a reply, be deemed uncontroverted.
(1) Failure of a respondent to file and serve a response within the
time and in the manner prescribed herein shall authorize the Commission,
in its discretion, to find the facts alleged in the complaint to be true
and to take such action as may be appropriate without notice or hearing,
or, in its discretion, to proceed without notice to take evidence on the
allegations or charges set forth in the complaint, provided that the
Commission or the presiding officer (if one is appointed) may permit
late filing of an answer for good cause shown.
(2) The Commission, in the course of a formal enforcement proceeding
under paragraph (c) of this section, may hold a public hearing and
afford the parties to the enforcement proceeding the opportunity to
appear and be heard. The hearing provided for under paragraph (c) of
this section is not subject to sections 554, 556, 557, and 702 of title
5, United States Code. The Commission may delegate any hearing under
paragraph (c) of this section to the Chief Administrative Law Judge for
designation of a presiding administrative law judge, who shall certify a
recommended determination to the Commission.
(3) Upon conclusion of an enforcement proceeding under paragraph (c)
of this section, the Commission may modify a cease and desist, consent,
or exclusion order in any manner necessary to prevent the unfair
practices that were originally the basis for issuing such order, bring
civil actions in a United States district court pursuant to 211.56(b)
(and subsection (f) of section 337 of the Tariff Act of 1930) requesting
the imposition of a civil penalty or the issuance of mandatory
injunctions incorporating the relief sought by the Commission, or revoke
the cease and desist order or consent order and direct that the articles
concerned be excluded from entry into the United States.
(4) Prior to effecting any modification, or revocation, and/or
exclusion, under paragraph (c) of this section, the Commission shall
consider the effect of such action upon the public health and welfare,
competitive conditions in the U.S. economy, the production of like or
directly competitive articles in the United States, and U.S. consumers.
(5) In lieu of or in addition to takeing the action provided for in
paragraph (a)(3) of this section, the Commission may issue, pursuant to
subsection (i) of section 337 of the Tariff Act of 1930, an order
providing that any article imported in violation of the provisions of
section 337 of the Tariff Act and an outstanding final exclusion order
issued pursuant to subsection (d) of section 337 be seized and forfeited
to the United States, if the following conditions are satisfied:
(i) The owner, importer, or consignee of the article (or the agent of
such person) previously attempted to import the article into the United
States;
(ii) The article previously was denied entry into the United States
by reason of a final exclusion order; and
(iii) Upon such previous denial of entry, the Secretary of the
Treasury provided the owner, importer, or consignee of the article (or
the agent of such person) with written notice of the aforesaid exclusion
order and the fact that seizure and forfeiture would result from any
further attempt to import the article into the United States.
19 CFR 211.57 Modification or rescission of final Commission actions.
(a) Petitions for modification or rescission of final Commission
actions. (1) Whenever any person believes that conditions of fact or
law, or the public interest, require that a final Commission action be
modified or set aside, in whole or in part, such person may file with
the Commission a petition requesting such relief. The Commission may
also on its own initiative consider such action. The petition shall
state the changes desired and the changed circumstances warranting such
action, and shall include materials and argument in support thereof.
(2) If the petitioner previously has been found by the Commission to
be in violation of section 337 of the Tariff Act of 1930 and if his
petition requests a Commission determination that the petitioner is no
longer in violation of that section or requests modification or
rescission of an order issued pursuant to subsections (d), (e), (f),
(g), or (i) of section 337, the burden of proof in any proceeding
initiated in response to the petition pursuant to paragraph (b) of this
section shall be on the petitioner. In accordance with subsection (k)
of section 337, relief may be granted by the Commission with respect to
such petition on the basis of new evidence or evidence that could not
have been presented at the prior proceeding or on grounds that would
permit relief from a judgment or order under the Federal Rules of Civil
Procedure.
(b) Commission action upon receipt of petition. Upon receiving a
petition, the Commission shall either provisionally accept the petition
or reject it. The Commission shall treat a self-initiated action as a
provisionally accepted petition under this section. Upon provisional
acceptance, notice thereof shall be published in the Federal Register,
and the petition and the notice shall be served on each former party to
the original investigation under section 337 of the Tariff Act of 1930.
Within thirty (30) days after the service of such petition, any party
served may file an answer. The Commission may hold a public hearing and
afford interested persons the opportunity to appear and be heard. After
consideration of the petition, any responses thereto, or any information
placed on the record at a public hearing or otherwise, the Commission
shall take such action as it deems appropriate. Any final Commission
action will, if not modified or revoked, expire by terms stated in the
action. The Commission may delegate any hearing under this section to
the Chief Administrative Law Judge for designation of a presiding
administrative law judge, who shall certify a recommended determination
to the Commission.
19 CFR 211.58 Temporary emergency action.
(a) Whenever the Commission determines, pending a formal enforcement
proceeding under 211.56(b), that without immediate action a violation
of a Commission order will occur and that subsequent action by the
Commission would not adequately repair substantial harm caused by such
violation, the Commission may immediately and without hearing or notice
modify or revoke such order and, if it is revoked, replace the order
with an appropriate exclusion order.
(b) If the Commission determines, pending a formal enforcement
proceeding under 211.56(b), that without immediate action a violation
of a final exclusion order will occur and that subsequent action by the
Commission would not adequately repair substantial harm caused by such
violation, the Commission may immediately and without hearing or notice
issue an order requiring temporary seizure and forfeiture of the
imported articles in question, provided the following requirements are
satisfied:
(1) The owner, importer, or consignee of the article (or the agent of
such a person) previously attempted to import the article into the
United States;
(2) The article was previously denied entry into the United States by
reason of a final exclusion order; and
(3) Upon such previous denial of entry, the Secretary of the Treasury
provided the owner, importer, or consignee of the article (or the agent
of such person) with written notice of the aforesaid exclusion order and
the fact that seizure and forfeiture would result from any further
attempt to import the article into the United States.
(c) Prior to taking any action under this section, the Commission
shall consider the effect of such action upon the public health and
welfare, competitive conditions in the U.S. economy, the production of
like or directly competitive articles in the United States, and U.S.
consumers. The Commission shall, if it has not already done so,
institute a formal enforcement proceeding under 211.56 at the time of
taking action under this section or as soon as possible thereafter, in
order to give the alleged violator and other interested parties a full
opportunity to present information and views regarding the continuation,
modification, or revocation of Commission action taken under this
section.
19 CFR 211.59 Notice of enforcement action to Government agencies.
(a) Consultation. The Commission may consult with or seek
information from any Government agency while taking action under this
subpart.
(b) Notification of Treasury. The Commission shall notify the
Secretary of the Treasury of any action under this subpart that results
in a permanent or temporary exclusion of articles from entry, or the
revocation of an order to such effect, or the issuance of an order
compelling seizure and forfeiture of imported articles.
19 CFR 211.59 PART 212 -- IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT
19 CFR 211.59 Subpart A -- General Provisions
Sec.
212.01 Purpose.
212.02 When the Act applies.
212.03 Proceedings covered.
212.04 Eligibility of applicants.
212.05 Standards for awards.
212.06 Allowable fees and expenses.
212.07 Rulemaking on maximum rates for attorney fees.
19 CFR 211.59 Subpart B -- Information Required From Applicants
212.10 Contents of application.
212.11 Net worth exhibit.
212.12 Documentation of fees and expenses.
212.13 When an application may be filed.
19 CFR 211.59 Subpart C -- Procedures for Considering Applications
212.20 Filing and service of documents.
212.21 Answer to application.
212.22 Reply.
212.23 Comments by other parties.
212.24 Settlement.
212.25 Further proceedings.
212.26 Determination.
212.27 Agency review.
212.28 Judicial review.
212.29 Payment of award.
Authority: Sec. 203(a)(1), Pub. L. 96-481, 94 Stat. 2325 (5 U.S.C.
504(c)(1)).
Source: 47 FR 9391, Mar. 5, 1982, unless otherwise noted.
Editorial Note: A nomenclature change to 212.29 appears at 52 FR
48994, Dec. 29, 1987.
19 CFR 211.59 Subpart A -- General Provisions
19 CFR 212.01 Purpose.
(a) The Equal Access to Justice Act, 5 U.S.C. 504 (called ''the Act''
in this part), provides for the award of attorney fees and other
expenses to eligible individuals and entities who are parties to certain
administrative proceedings (called ''adversary adjudications'') before
an agency. Under the Act an eligible party may receive an award when it
prevails over an agency, unless the agency's position in the proceeding
was substantially justified or special circumstances make an award
unjust. The rules in this part describe the parties eligible for awards
and the Commission proceedings that are covered. They also explain how
to apply for awards, and the procedures and standards that the
Commission will use to make them.
19 CFR 212.02 When the Act applies.
The Act applies to any adversary adjudication pending before the
Commission at any time between October 1, 1981 and September 30, 1984.
This includes proceedings begun before October 1, 1981 if final
Commission action has not been taken before that date, and proceedings
pending on September 30, 1984, regardless of when they were initiated or
when final Commission action occurs.
19 CFR 212.03 Proceedings covered.
(a) The Act applies to adversary adjudications conducted by the
Commission. These are adjudications under 5 U.S.C. 554 in which the
position of the Commission is presented by an attorney or other
representative who enters an appearance and participates in the
proceeding. The Commission proceedings covered are those conducted
under section 337 of the Tariff Act of 1930, 19 U.S.C. 1337. No award
shall be made, however, for fees and expenses related to those portions
of the proceedings conducted for the consideration of relief, the public
interest, and bonding pursuant to subsections 337 (d), (e), and (f) of
the Tariff Act of 1930 and 19 CFR 210.14.
(b) An award may be made against the Commission only in connection
with a proceeding brought by the Commission upon its own complaint.
(c) If a proceeding includes both matters covered by the Act and
matters specifically excluded from coverage, any award made will include
only fees and expenses related to covered issues.
19 CFR 212.04 Eligibility of applicants.
(a) To be eligible for an award of attorney fees and other expenses
under the Act, the applicant must be a party to the adversary
adjudication for which it seeks an award. The term ''party'' is defined
in 5 U.S.C. 551(3) and 19 CFR 210.04. The applicant must show that it
meets all conditions of eligibility set out in this subpart and in
subpart B.
(b) The types of eligible applicants are as follows:
(1) An individual with a net worth of not more than $1 million;
(2) The sole owner of an unincorporated business who has a net worth
of not more than $5 million, including both personal and business
interests, and not more than 500 employees;
(3) A charitable or other tax-exempt organization described in
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3))
with not more than 500 employees;
(4) A cooperative association as defined in section 15(a) of the
Agricultural Marketing Act (12 U.S.C. 1144j(a)) with not more than 500
employees; and
(5) Any other partnership, corporation, association, or public or
private organization with a net worth of not more than $5 million and
not more than 500 employees.
(c) For the purpose of eligibility, the net worth and number of
employees of an applicant shall be determined as of the date the
adversary adjudication was initiated.
(d) An applicant who owns an unincorporated business will be
considered to be an ''individual'' rather than a ''sole owner of an
unincorporated business'' if the issues on which the applicant prevails
are related primarily to personal interests rather than to business
interests.
(e) The employees of an applicant include all persons who regularly
perform services for remuneration for the applicant under the
applicant's direction and control. Part-time employees shall be
included on a proportional basis.
(f) The net worth and number of employees of the applicant and all of
its affiliates shall be aggregated to determine eligibility. Any
individual, corporation or other entity that directly or indirectly
controls or owns a majority of the voting shares or other interest of
the applicant, or any corporation or other entity of which the applicant
directly or indirectly owns or controls a majority of the voting shares
or other interest, will be considered an affiliate for purposes of this
part, unless the presiding officer determines that such treatment would
be unjust and contrary to the purposes of the Act in light of the actual
relationship between the affiliated entities. In addition, the
presiding officer may determine that financial relationships of the
applicant other than those described in this paragraph constitute
special circumstances that would make an award unjust.
(g) An applicant that participates in a proceeding primarily on
behalf of one or more other persons or entities that would be ineligible
is not itself eligible for an award.
19 CFR 212.05 Standards for awards.
(a) The determination whether an applicant is a prevailing party
shall be made on a case-by-case basis.
(b) A prevailing applicant may receive an award for fees and expenses
incurred in connection with an adversary adjudication, or in a
significant and discrete substantive portion of the adversary
adjudication, unless the position of the Commission investigative
attorney was substantially justified. The burden of proof that an award
should not be made to an eligible prevailing applicant is on the
Commission investigative attorney. An award may be avoided by showing
that the position of the Commission was reasonable in law and fact.
(c) An award will be reduced or denied if the applicant has unduly or
unreasonably protracted the adversary adjudication or if special
circumstances make the award sought unjust. The burden of proof that an
award should be reduced or denied for either of these reasons is on the
Commission investigative attorney.
19 CFR 212.06 Allowable fees and expenses.
(a) Awards will be based on rates customarily charged by persons
engaged in the business of acting as attorneys, agents and expert
witnesses, even if the services were made available without charge or at
a reduced rate to the applicant.
(b) No award for the fee of an attorney or agent under these rules
may exceed $75.00 per hour. No award to compensate an expert witness
may exceed the highest rate at which the Commission pays expert
witnesses. However, an award may include the reasonable expenses of the
attorney, agent, or expert witness as a separate item if the attorney,
agent or expert witness ordinarily charges clients separately for such
expenses.
(c) In determining the reasonableness of the fee sought for an
attorney, agent or expert witness, the presiding officer shall consider
the following:
(1) If the attorney, agent or expert witness is in private practice,
his or her customary fee for similar services, or, if an employee of the
applicant, the fully allocated cost of the service;
(2) The prevailing rate for similar services in the community in
which the attorney, agent or expert witness ordinarily performs
services;
(3) The time actually spent in the representation of the applicant;
(4) The time reasonably spent in light of the difficulty or
complexity of the issues in the adversary adjudication; and
(5) Such other factors as may bear on the value of the services
provided.
(d) The reasonable cost of any study, analysis, engineering report,
test, project or similar matter prepared on behalf of a party may be
awarded to the extent that the charge for the service does not exceed
the prevailing rate for similar services and the study or other matter
was necessary for preparation of the applicant's case.
19 CFR 212.07 Rulemaking on maximum rates for attorney fees.
(a) If warranted by an increase in the cost of living or by special
circumstances (such as limited availability of attorneys qualified to
handle certain types of proceedings), the Commission may adopt
regulations providing that attorney fees may be awarded at a rate higher
than $75 per hour in the proceedings covered by this part. The
Commission will conduct any rulemaking proceedings for this purpose
under the informal rulemaking procedures of the Administrative Procedure
Act.
(b) Any person may file with the Commission a petition for rulemaking
to increase the maximum rate for attorney fees. The petition should
identify the rate the petitioner believes the Commission should
establish. It should also explain fully the reasons why the higher rate
is warranted. The Commission will respond to the petition within 60
days after it is filed by initiating a rulemaking proceeding, denying
the petition, or taking other appropriate action.
19 CFR 212.07 Subpart B -- Information Required From Applicants
19 CFR 212.10 Contents of application.
(a) An application for an award of fees and expenses under the Act
shall identify the applicant and the adversary adjudication for which an
award is sought. The application shall show that the applicant has
prevailed and identify the position of the Commission investigative
attorney that the applicant alleges was not substantially justified.
Unless the applicant is an individual, the application shall also state
the number of employees of the applicant and describe briefly the type
and purpose of its organization or business.
(b) The application shall also include a statement that the
applicant's net worth does not exceed $1 million (if an individual) or
$5 million (for all other applicants, including their affiliates).
However, an applicant may omit this statement if:
(1) It attaches a copy of a ruling by the Internal Revenue Service
that it qualifies as an organization described in section 501(c)(3) of
the Internal Revenue Code (26 U.S.C. 501(c)(3)) or, in the case of a
tax-exempt organization not required to obtain a ruling from the
Internal Revenue Service on its exempt status, a statement that
describes the basis for the applicant's belief that it qualifies under
such section; or
(2) It states that it is a cooperative association as defined in
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
(c) The application shall state the amount of fees and expenses for
which an award is sought.
(d) The application may also include any other matters that the
applicant wishes the Commission to consider in determining whether and
in what amount an award should be made.
(e) The application shall be signed by the applicant or an authorized
officer or attorney of the applicant. It shall also contain or be
accompanied by a written verification under oath or under penalty of
perjury that the information provided in the application is true and
correct.
19 CFR 212.11 Net worth exhibit.
(a) Each applicant except a qualified tax-exempt organization or
cooperative association must provide with its application a detailed
exhibit showing the net worth of the applicant and any affiliates (as
defined in 212.04(f) of this part) when the proceeding was initiated.
The exhibit may be in any form convenient to the applicant that provides
full disclosure of the applicant's and its affiliates' assets and
liabilities and is sufficient to determine whether the applicant
qualifies under the standards in this part. The presiding officer may
require an applicant to file additional information to determine its
eligibility for an award.
(b) Ordinarily, the net worth exhibit will be included in the public
record of the proceeding. However, an applicant that objects to public
disclosure of information in any portion of the exhibit and believes
there are legal grounds for withholding it from disclosure may submit
that portion of the exhibit directly to the presiding officer in a
sealed envelope labeled ''Confidential Financial Information,''
accompanied by a motion to withhold the information from public
disclosure. The motion shall describe the information sought to be
withheld and explain in detail why it falls within one or more of the
specific exemptions from mandatory disclosure under the Freedom of
Information Act, 5 U.S.C. 552(b)(1)-(9), why public disclosure of the
information would adversely affect the applicant, and why disclosure is
not required in the public interest. The material in question shall be
served on the Commission investigative attorney or counsel representing
another agency against which the applicant seeks an award, but need not
be served on any other party to the proceeding. If the presiding
officer finds that the information should not be withheld from
disclosure, it shall be placed in the public record of the proceeding.
Otherwise, any request to inspect or copy the exhibit shall be disposed
of in accordance with the Commission's established procedures under the
Freedom of Information Act, 19 CFR 201.17 -- 201.21.
19 CFR 212.12 Documentation of fees and expenses.
The application shall be accompanied by full documentation of the
fees and expenses, including the cost of any study, analysis,
engineering report, test, project or similar matter, for which an award
is sought. A separate itemized statement shall be submitted for each
professional firm or individual whose services are covered by the
application, showing the hours spent in connection with the proceeding
by each individual, a description of the specific services performed,
the rate at which each fee has been computed, any expenses for which
reimbursement is sought, the total amount claimed, and the total amount
paid or payable by the applicant or by any other person or entity for
the services provided. The presiding officer may require the applicant
to provide vouchers, receipts, or other substantiation for any expenses
claimed.
19 CFR 212.13 When an application may be filed.
(a) An application may be filed whenever the applicant has prevailed
in the adversary adjudication or in a significant and discrete
substantive portion of the adversary adjudication, but in no case later
than 30 days after the Commission's final disposition of the adversary
adjudication.
(b) If review or reconsideration is sought or taken of a
determination as to which an applicant believes it has prevailed,
proceedings for the award of fees shall be stayed pending final
disposition of the underlying controversy.
19 CFR 212.13 Subpart C -- Procedures for Considering Applications
19 CFR 212.20 Filing and service of documents.
Any application for an award or other pleading or document related to
an application shall be filed and served on all parties to the adversary
adjudication in the same manner as other pleadings in the adversary
adjudication, except as provided in 212.11(b) for confidential
financial information.
19 CFR 212.21 Answer to application.
(a) Within 30 days after service of an application, the Commission
investigative attorney shall file an answer to the application.
(b) If the applicant and the Commission investigative attorney
believe that the issues in the fee application can be settled, they may
jointly file a statement of their intent to negotiate a settlement. The
filing of this statement shall extend the time for filing an answer for
an additional 30 days, and further extensions may be granted by the
presiding officer upon request by the applicant and the Commission
investigative attorney.
(c) The answer shall explain in detail any objections to the award
requested and identify the facts relied on in support of the position of
the Commission. If the answer is based on any alleged facts not already
in the record of the adversary adjudication, the Commission
investigative attorney shall include with the answer supporting
affidavits or a request for further proceedings under 212.25.
19 CFR 212.22 Reply.
Within 15 days after service of an answer, the applicant may file a
reply. If the reply is based on any alleged facts not already in the
record of the adversary adjudication, the applicant shall include with
the reply either supporting affidavits or a request for further
proceedings under 212.25.
19 CFR 212.23 Comments by other parties.
Any party to the adversary adjudication other than the applicant and
the Commission investigative attorney may file comments on an
application within 30 days after it is served or on an answer within 15
days after it is served. A commenting party may not participate further
in proceedings on the application unless the presiding officer
determines that the public interest requires such participation in order
to permit full exploration of matters raised in the comments.
19 CFR 212.24 Settlement.
The applicant and the Commission may agree on a proposed settlement
of the award before final action on the application, either in
connection with a settlement of the underlying adversary adjudication,
or after the underlying adversary adjudication has been concluded. If a
prevailing party and the Commission investigative attorney agree on a
proposed settlement of an award before an application has been filed,
the application shall be filed with the proposed settlement.
19 CFR 212.25 Further proceedings.
(a) Ordinarily, the determination of an award will be made on the
basis of the written record. However, on request of either the
applicant or the Commission investigative attorney, or on his or her own
initiative, the presiding officer may in his or her discretion order
further proceedings, such as an informal conference, oral argument,
additional written submissions or an evidentiary hearing. Such further
proceedings shall be held only when necessary for full and fair
resolution of the issues arising from the application, and shall be
conducted as promptly as possible.
(b) A request that the presiding officer order further proceedings
under this section shall specifically identify the information sought or
the disputed issues and shall explain why the additional proceedings are
necessary to resolve the issues.
19 CFR 212.26 Determination.
The presiding officer shall issue a recommended determination on the
application within 90 days after completion of proceedings on the
application. The determination shall include written findings and
conclusions on the applicant's eligibility and status as prevailing
party, and an explanation of the reasons for any difference between the
amount requested and the amount awarded. The determination shall also
include, if at issue, findings on whether the position of the Commission
investigative attorney was substantially justified, whether the
applicant unduly protracted the proceedings, or whether special
circumstances make an award unjust.
19 CFR 212.27 Agency review.
Except as otherwise authorized by the presiding officer, the parties
shall be allowed ten (10) days from the date of service of the
recommended determination to file exceptions to the recommended
determination and alternative findings of fact and conclusions of law
with the Commission. Upon receipt of the recommended determination, the
Commission shall review the same and issue a final determination on the
application or remand the application to the presiding officer for
further proceedings.
19 CFR 212.28 Judicial review.
Judicial review of final Commission determinations on awards may be
sought as provided in 5 U.S.C. 504(c)(2).
19 CFR 212.29 Payment of award.
An applicant seeking payment of an award shall submit to the Finance
and Budget Division of the Commission a copy of the Commission's final
determination granting the award, accompanied by a statement that the
applicant will not seek review of the decision in the United States
courts. The address for submission to the Commission is: United States
International Trade Commission, Finance and Budget Division, 500 E
Street SW., Washington, DC 20436. The Commission will pay the amount to
the applicant within 60 days, unless judicial review of the award or of
the underlying determination of the adversary adjudication has been
sought by the applicant or any other party to the proceeding.
19 CFR 212.29 Pt. 213
19 CFR 212.29 PART 213 -- TRADE REMEDY ASSISTANCE
Sec.
213.1 Purpose and applicability of part.
213.2 Definitions.
213.3 Determination of small business eligibility.
213.4 Disclosure of receipt of technical assistance.
213.5 Access to Commission resources.
213.6 Information concerning assistance.
Authority: Sec. 339 of the Tariff Act of 1930 (19 U.S.C. 1339), as
added by sec. 221, Trade and Tariff Act of 1984 (Pub. L. 98-573,
approved Oct. 30, 1984; 90 Stat. 2989), and as amended by sec. 1614,
Omnibus Trade and Competitiveness Act of 1988 (Pub. L. 100-418, approved
Aug. 23, 1988; 102 Stat. 110); sec. 335, Tariff Act of 1930 (72 Stat
680; 19 U.S.C. 1335).
Source: 54 FR 33883, Aug. 17, 1989, unless otherwise noted.
19 CFR 213.1 Purpose and applicability of part.
(a) Section 339 of the Tariff Act of 1930, as amended, establishes in
the Commission an office known as the Trade Remedy Assistance Office and
directs the Commission to provide general information to the public,
upon request, and, to the extent feasible, assistance and advice to
interested parties concerning the remedies and benefits available under
the trade laws identified in 213.2(b) and the procedures to be followed
and appropriate filing dates in investigations under the trade laws. In
coordination with other agencies administering the trade laws, the Trade
Remedy Assistance Office also shall provide technical assistance, as
defined in 213.2(d), to eligible small businesses seeking to obtain the
remedies and benefits available under the trade laws.
(b) The rules in this part govern the establishment of the Trade
Remedy Assistance Office, its function, small business eligibility for
technical assistance and procedures for obtaining such assistance.
Members of the public seeking general information from the Trade Remedy
Assistance Office are not subject to the application procedures set
forth in this part.
19 CFR 213.2 Definitions.
(a) Office. The Trade Remedy Assistance Office (hereinafter Office)
provides general information to the public, upon request, and, to the
extent feasible, assistance and advice to interested parties concerning
the remedies and benefits available under the trade laws identified in
213.2(b) and the procedures to be followed and appropriate filing dates
in investigations under those trade laws. In coordination with other
agencies responsible for administering the trade laws listed in
213.2(b), the Office also provides technical assistance, as defined in
213.2(d) to eligible small businesses that seek to obtain remedies and
benefits under the trade laws. The Office's address is Trade Remedy
Assistance Office, U.S. International Trade Commission, 500 E Street
SW., Washington, DC 20436.
(b) Trade laws. The trade laws (with respect to which general
information and technical assistance are available) are defined as:
(1) Chapter 1 of title II of the Trade Act of 1974 (19 U.S.C. 2251 et
seq., relating to injury caused by import competition);
(2) Chapters 2 and 3 of such title II (relating to adjustment
assistance for workers and firms);
(3) Chapter 1 of title III of the Trade Act of 1974 (19 U.S.C. 2411
et seq., relating to relief from foreign import restrictions and export
subsidies);
(4) Title VII of the Tariff Act of 1930 (19 U.S.C. 1671 et seq.,
relating to the imposition of countervailing duties and antidumping
duties);
(5) Section 232 of the Trade Expansion Act of 1962 (19 U.S.C. 1862,
relating to the safeguarding of national security);
(6) Section 337 of the Tariff Act of 1930 (19 U.S.C. 1337, relating
to unfair practices in import trade); and
(7) Section 406 of the Trade Act of 1974 (19 U.S.C. 2436, relating to
market disruption).
(c) Administering agencies. Administering agency refers to the
agency or agencies responsible for administering a particular trade law.
The trade laws relating to injury caused by import competition, unfair
practices in import trade and market disruption are administered by the
Commission. The trade laws relating to countervailing and antidumping
duties are jointly administered by the Commission and the Department of
Commerce. The trade laws relating to adjustment assistance for firms
and safeguarding national security are administered by the Department of
Commerce. The trade law relating to adjustment assistance for workers
is administered by the Department of Labor. The trade law relating to
relief from foreign import restrictions and export subsidies is
administered by the United States Trade Representative.
(d) Technical Assistance. Technical assistance is informal advice
and assistance, including informal legal advice, intended to enable
eligible small businesses to determine the appropriateness of pursuing
particular trade remedies, to prepare petitions and complaints (other
than those which are frivolous in the opinion of the agency) and to seek
to obtain the remedies and benefits available under the trade laws
identified in 213.2(b). Technical assistance is available to eligible
small businesses at any time until the completion of administrative
review or of an appeal to the administering agency regarding proceedings
under the trade laws listed in 213.2(b). Technical assistance does not
include legal representation of an eligible small business or advocacy
on its behalf and receipt of technical assistance does not ensure that
the recipient will prevail in any trade remedy proceeding. The Office
provides such technical assistance independently of other Commission
staff but may consult with other staff as appropriate.
(e) Applicant. An applicant is an individual, partnership,
corporation, joint venture, trade or other association, cooperative,
group of workers, or certified or recognized union, or other entity that
applies for techincal assistance under this part.
(f) Eligible small business. An eligible small business is an
applicant that the Office has determined to be entitled to technical
assistance in accordance with the SBA size standards and the procedures
set forth in this part.
(g) SBA size standards. SBA size standards are the small business
size standards of the Small Business Administration set forth in 13 CFR
121.2. The SBA size standards categorize business concerns according to
the Standard Industrial Classification (''SIC'') code of the Bureau of
the Census and base the size determination upon the number of employees
or annual receipts of the business concern in the appropriate SIC
category.
19 CFR 213.3 Determination of small business eligibility.
(a) Application for technical assistance from small businesses. An
applicant for technical assistance must certify that it qualifies as a
small business under the appropriate size standard(s) and that it is an
independently owned and operated company. An application for technical
assistance is available from the Office. The application must be signed
under oath by an officer or principal of the applicant. The completed
application should be submitted to the Office at the address set forth
in 213.2(a).
(b) Application for technical assistance from joint applicants, trade
associations and unions. If several businesses jointly or
simultaneously from the same industry apply for technical assistance,
each business must meet the appropriate SBA size standard(s) and so
certify. If a trade association applies for technical assistance, an
officer of the trade association must certify that eighty (80) percent
of the trade association's members are companies that meet the
appropriate size standard(s) and provide a listing of members of the
association. If a union applies for technical assistance, an officer of
the union must certify that the union has less than ten thousand
(10,000) members within the industry for which trade relief is being
sought. Applications for trade associations or for unions to request
technical assistance are available from the Office. Applications must
be signed under oath by an officer of the association or union and
completed applications should be submitted to the Office as set forth in
213.2(a).
(c) Determination of eligibility and notification of determination.
The Office shall determine whether the applicant is eligible for
technical assistance and notify the applicant of the determination
within ten (10) days of receipt of a properly completed application.
Pursuant to 19 U.S.C. 1339(c)(1), the Office's determination of
eligibility is not reviewable by any other agency or by any court.
(d) Notification to administering agencies. When an applicant seeks
technical assistance on matters involving the trade laws, and the Office
determines that the applicant is eligible for technical assistance, the
Office shall:
(1) Promptly notify the appropriate administering agency or agencies
of the Office's determination that the applicant is eligible to receive
technical assistance; and
(2) Consult with the administering agency or agencies as to the
provision of technical assistance to that applicant.
19 CFR 213.4 Disclosure of receipt of technical assistance.
An eligible small business that has received technical assistance
from the Office must state that it has received technical assistance
from the Trade Remedy Assistance Office in any resulting petition,
complaint or application which is filed with the Commission or any other
agency which administers the trade law under which remedies or benefits
are sought.
19 CFR 213.5 Access to Commission resources.
Commission resources, in addition to the Office's resources, are
available to an eligible small business to the same extent as those
resources are available to members of the general public. No special
rights of access to Commission resources shall be accorded to an
eligible small business.
19 CFR 213.6 Information concerning assistance.
Any person may contact the Office with questions regarding
eligibility for technical assistance. Summaries of the trade laws and
the SBA size standards can be obtained by writing to the Trade Remedy
Assistance Office, U.S. International Trade Commission, 500 E Street
SW., Washington, DC 20436.
19 CFR 213.6 19 CFR Ch. III (4-1-92 Edition)
19 CFR 213.6 International Trade Administration, Commerce
19 CFR 213.6 CHAPTER III -- INTERNATIONAL TRADE ADMINISTRATION,
19 CFR 213.6 DEPARTMENT OF COMMERCE
Part
Page
353 Antidumping duties
354 Procedures for imposing sanctions for violation of an antidumping
or countervailing duty protective order
355 Countervailing duties
356 Procedures and rules for implementing Article 1904 of the United
States-Canada Free-Trade Agreement
357 Short Supply Procedures
19 CFR 213.6 19 CFR Ch. III (4-1-92 Edition)
19 CFR 213.6 International Trade Administration, Commerce
19 CFR 213.6 PART 353 -- ANTIDUMPING DUTIES
19 CFR 213.6 Pt. 353
19 CFR 213.6 Subpart A -- Scope and Definitions
Sec.
353.1 Scope.
353.2 Definitions.
353.3 Record of proceedings.
353.4 Public, proprietary, privileged, and classified information.
353.5 Trade and Tariff Act of 1984 -- effective date.
353.6 De minimis weighted-average dumping margins.
19 CFR 213.6 Subpart B -- Antidumping Duty Procedures
353.11 Self-initiation.
353.12 Petition requirements.
353.13 Determination of sufficiency of petition.
353.14 Request for exclusion from antidumping duty order.
353.15 Preliminary determination.
353.16 Critical circumstances findings.
353.17 Termination of investigation.
353.18 Suspension of investigation.
353.19 Violation of agreement.
353.20 Final determination.
353.21 Antidumping duty order.
353.22 Administrative review of orders and suspension agreements.
353.23 Provisional measures deposit cap.
353.24 Interest on certain overpayments and underpayments.
353.25 Revocation of orders; termination of suspended investigation.
353.26 Reimbursement of antidumping duties.
353.27 Procedures for initiation of downstream product monitoring.
353.28 Procedures for the correction of ministerial errors.
353.29 Scope determination.
19 CFR 213.6 Subpart C -- Information and Argument
353.31 Submission of factual information.
353.32 Request for proprietary treatment of information.
353.33 Information exempt from disclosure.
353.34 Disclosure of proprietary information under administrative
protective order.
353.35 Ex parte meeting.
353.36 Verification of information.
353.37 Best information available.
353.38 Written argument and hearings.
19 CFR 213.6 Subpart D -- Calculation of United States Price, Fair
Value, and Foreign Market Value
353.41 Calculation of United States price.
353.42 Fair value.
353.43 Sales used in calculating foreign market value.
353.44 Sales at varying prices.
353.45 Transactions between related persons.
353.46 Calculation of foreign market value based on price in the home
market country.
353.47 Exportation from an intermediate country.
353.48 Calculation of foreign market value if sales in the home
market country are inadequate.
353.49 Calculation of foreign market value based on sales to a third
country.
353.50 Calculation of foreign market value based on constructed
value.
353.51 Calculation of foreign market value if sales are made at less
than cost of production.
353.52 Calculation of foreign market value of merchandise from
state-controlled-economy countries.
353.53 Calculation of foreign market value based on sales by a
multinational corporation.
353.54 Claims for adjustment to foreign market value.
353.55 Differences in quantities.
353.56 Differences in circumstances of sale.
353.57 Differences in physical characteristics.
353.58 Level of trade.
353.59 Disregarding insignificant adjustments; use of averaging and
sampling.
353.60 Conversion of currency.
19 CFR 213.6 Subpart E -- Effective Dates
353.71 Effective dates of amendments to the Tariff Act of 1930 made
by the Omnibus Trade and Competitiveness Act of 1988.
Annex I -- Time Limits for Submissions Specified in This Part
Authority: 5 U.S.C. 301, and subtitle IV, parts II, III, and IV of
the Tariff Act of 1930, as amended by Title I of The Trade Agreements
Act of 1979, Pub. L. 96-39, 93 Stat. 150, and section 221 and Title VI
of the Trade and Tariff Act of 1984, Pub. L. 98-573, 98 Stat. 294, and
Title I, subtitle C, part II of the Omnibus Trade and Competitiveness
Act of 1988, Pub. L. No. 100-418, 102 Stat. 1107 (1988).
Source: 54 FR 12769, Mar. 28, 1989; 54 FR 13294, Mar. 31, 1989,
unless otherwise noted.
19 CFR 213.6 Subpart A -- Scope and Definitions
19 CFR 353.1 Scope.
This part sets forth procedures and rules applicable to proceedings
under Title VII of the Tariff Act of 1930, as amended (19 U.S.C.
1673-1677h) (the ''Act''), relating to the imposition of antidumping
duties. This part incorporates the regulatory changes made pursuant to
Title VI of the Trade and Tariff Act of 1984 (Pub. L. No. 98-573;
October 30, 1984) and Title XVIII, Subtitle B, Chapter 3, of the Tax
Reform Act of 1986 (Pub. L. No. 99-514, October 22, 1986).
19 CFR 353.2 Definitions.
(a) Act. Act means the Tariff Act of 1930, as amended.
(b) Commission. Commission means the United States International
Trade Commission.
(c) Country. Country means a foreign country or a political
subdivision, dependent territory, or possession of a foreign country.
(d) Customs Service. Customs Service means the United States Customs
Service of the United States Department of the Treasury.
(e) Department. Department means the United States Department of
Commerce.
(f) Dumping margin and weighted-average dumping margin.
(1) Dumping margin means the amount by which the foreign market value
exceeds the United States price of the merchandise.
(2) The weighted-average dumping margin is the result of dividing the
aggregated dumping margins by the aggregated United States prices.
(g) Factual information. Factual information means:
(1) Initial and supplemental questionnaire responses;
(2) Data or statements of fact in support of allegations;
(3) Other data or statements of facts; and
(4) Documentary evidence.
(h) Home market country. The home market country is the country in
which the merchandise is produced.
(i) Importer. Importer means the person by whom, or for whose
account, the merchandise is imported.
(j) Industry. Industry means the producers in the United States
collectively of the like product, except those producers in the United
States that the Secretary excludes under section 771(4)(B) of the Act on
the grounds that they are also importers (or are related to importers,
producers, or exporters) of the merchandise. Under section 771(4)(C) of
the Act, an industry may mean producers in the United States, as defined
above in this paragraph, in a particular market in the United States if
such producers sell all or almost all of their production of the like
product in that market and if the demand for the like product in that
market is not supplied to any substantial degree by producers of the
like product located elsewhere in the United States.
(k) Interested party. Interested party means:
(1) A producer, exporter, or United States importer of the
merchandise, or a trade or business association a majority of the
members of which are importers of the merchandise;
(2) The government of the home market country;
(3) A producer in the United States of the like product or seller
(other than a retailer) in the United States of the like product
produced in the United States;
(4) A certified or recognized union or group of workers which is
representative of the industry or of sellers (other than retailers) in
the United States of the like product produced in the United States;
(5) A trade or business association a majority of the members of
which are producers in the United States of the like product or sellers
(other than retailers) in the United States of the like product produced
in the United States; or
(6) An association a majority of the members of which are interested
parties, as defined in paragraph (k)(3), (k)(4), or (k)(5) of this
section.
(l) Investigation. An investigation begins on the date of
publication of notice of initiation of investigation and ends on the
date of publication of the earliest of (1) notice of termination of
investigation, (2) notice of rescission of investigation, (3) notice of
a negative determination that has the effect of terminating the
proceeding, or (4) an order.
(m) The merchandise. The merchandise means the class or kind of
merchandise imported or sold, or likely to be sold, for importation into
the United States, that is the subject of the proceeding.
(n) Order. An order is an order issued by the Secretary under
353.21 or a finding under the Antidumping Act, 1921.
(o) Party to the proceeding. Party to the proceeding means any
interested party, within the meaning of paragraph (k) of this section,
which actively participates, through written submissions of factual
information or written argument, in a particular decision by the
Secretary subject to judicial review. Participation in a prior
reviewable decision will not confer on any interested party party to the
proceeding status in a subsequent decision by the Secretary subject to
judicial review.
(p) Person. Person includes any interested party as well as any
other individual, enterprise, or entity, as appropriate.
(q) Proceeding. A proceeding begins on the date of the filing of a
petition or publication of a notice of initiation under 353.11, and
ends on the date of publication of the earliest notice of (1) dismissal
of petition, (2) rescission of initiation, (3) termination of
investigation, (4) a negative determination that has the effect of
terminating the proceeding, (5) revocation of an order, or (6)
termination of a suspended investigation.
(r) Producer; production. Producer means a manufacturer or producer.
Production means manufacture or production.
(s) Reseller. Reseller means any person (other than the producer)
whose sales the Secretary uses to calculate foreign market value or U.S.
price, including the foreign reseller or exporter.
(t) Sale; likely sale. A sale includes a contract to sell and a
lease that is equivalent to a sale. A likely sale means a person's
irrevocable offer to sell.
(u) Secretary. Secretary means the Secretary of Commerce or a
designee. The Secretary has delegated to the Assistant Secretary for
Import Administration the authority to make final determinations under
353.18(i) and 353.20 and final results of review under 353.22(c). The
Deputy Assistant Secretaries for Import Administration, Investigations,
and Compliance have other delegated authority relating to antidumping
duties.
19 CFR 353.3 Record of proceedings.
(a) Official record. The Secretary will maintain in the Import
Administration Central Records Unit, at the location stated in
353.31(d), an official record of each proceeding. The Secretary will
include in the record all factual information, written argument, or
other material developed by, presented to, or obtained by the Secretary
during the course of the proceeding which pertains to the proceeding.
The record will include government memoranda pertaining to the
proceeding, memoranda of ex parte meetings, determinations, notices
published in the Federal Register, and transcripts of hearings. The
record will not include any factual information, written argument, or
other material which is not timely filed or which the Secretary returns
to the submitter under 353.31(b)(2), 353.32(d), 353.32(g), or
353.34(c). The record will contain material that is public, proprietary,
privileged, and classified. For purposes of section 516A(b)(2) of the
Act, the record is the official record of each judicially reviewable
segment of the proceeding.
(b) Public record. The Secretary will maintain in the Central
Records Unit a public record of each proceeding. The record will
consist of all material described in paragraph (a) of this section that
the Secretary decides is public information within the meaning of
353.4(a), government memoranda or portions of memoranda that the
Secretary decides may be disclosed to the general public, plus public
versions of all determinations, notices, and transcripts. The public
record will be available to the public for inspection and copying in the
Central Records Unit (see 353.31(d)). The Secretary will charge an
appropriate fee for providing copies of documents.
(c) Protection of records. Unless ordered by the Secretary or
required by law, no record or portion of a record will be removed from
the Department.
19 CFR 353.4 Public, proprietary, privileged, and classified
information.
(a) Public information. The Secretary normally will consider the
following to be public information:
(1) Factual information of a type that has been published or
otherwise made available to the public by the person submitting it;
(2) Factual information that is not designated proprietary by the
person submitting it;
(3) Factual information which, although designated proprietary by the
person submitting it, is in a form which cannot be associated with or
otherwise used to identify activities of a particular person;
(4) Publicly available laws, regulations, decrees, orders, and other
official documents of a country, including English translations; and
(5) Written argument relating to the proceeding that is not
designated proprietary.
(b) Proprietary information. The Secretary normally will consider
the following factual information to be proprietary information, if so
designated by the submitter:
(1) Business or trade secrets concerning the nature of a product or
production process;
(2) Production costs (but not the identity of the production
components unless a particular component is a trade secret);
(3) Distribution costs (but not channels of distribution);
(4) Terms of sale (but not terms of sale offered to the public);
(5) Prices of individual sales, likely sales, or other offers (but
not (i) components of prices, such as transportation, if based on
published schedules, (ii) dates of sale, (iii) product descriptions
except as described in paragraph (b)(1), or (iv) order numbers);
(6) The names of particular customers, distributors, or suppliers
(but not destination of sale or designation of type of customer,
distributor, or supplier, unless the destination or designation would
reveal the name);
(7) The exact amount of the dumping margin on individual sales;
(8) The names of particular persons from whom proprietary information
was obtained; and
(9) Any other specific business information the release of which to
the public would cause substantial harm to the competitive position of
the submitter.
(c) Privileged information. The Secretary will consider information
privileged if, based on principles of law concerning privileged
information, the Secretary decides that the information should not be
released to the public or to parties to the proceeding.
(d) Classified information. Classified information is information
that is classified under Executive Order No. 12356 of April 2, 1982 (43
FR 28949) or successor executive order, if applicable.
19 CFR 353.5 Trade and Tariff Act of 1984 -- effective date.
In accordance with section 626 of the Trade and Tariff Act of 1984
(Pub. L. No. 98-573) (for purposes of this subpart, referred to as ''the
1984 Act''), the amendments to the Act made by Title VI of the 1984 Act
are effective as follows:
(a) Except as provided in paragraphs (b), (c), and (d) of this
section, all amendments made by Title VI of the 1984 Act which affect
authorities administered by the Secretary are effective on October 30,
1984.
(b) Amendments made by sections 602, 609, 611, 612, and 620 of the
1984 Act which affect authorities administered by the Secretary take
effect immediately with respect to all investigations and administrative
reviews begun on or after October 30, 1984.
(c) Amendments made by section 623 of the 1984 Act, regarding
judicial review, apply with respect to civil actions pending on, or
filed on or after, October 30, 1984.
(d) Notwithstanding the provisions of paragraphs (a) and (b) of this
section, the Secretary may implement the amendments of the 1984 Act at a
date later than October 30, 1984, if the Secretary determines that
implementation in accordance with paragraph (a) or (b) of this section
would prevent the Department from complying with other requirements of
law.
19 CFR 353.6 De minimis weighted-average dumping margins.
(a) Disregarding de minimis weighted-average dumping margins. Except
as provided in paragraph (b), the Secretary will disregard any
weighted-average dumping margin that is less than 0.5% ad valorem, or
the equivalent specific rate.
(b) Assessment of de minimis margins. For purposes of assessment of
an antidumping duty, the Secretary will not disregard any de minimis
dumping margin.
19 CFR 353.6 Subpart B -- Antidumping Duty Procedures
19 CFR 353.11 Self-initiation.
(a) In general. (1) If the Secretary determines from available
information, including information obtained during a period of
monitoring under paragraph (c) of this section, that an investigation is
warranted with respect to the merchandise, the Secretary will initiate
an investigation and publish in the Federal Register notice of
''Initiation of Antidumping Duty Investigation.''
(2) The notice will include:
(i) A description of the merchandise, after consultation as
appropriate with the Commission;
(ii) The name of the home market country and, if the merchandise is
imported from a country other than the home market country, the name of
the intermediate country ( 353.47) or country through which the
merchandise is transshipped ( 353.46(c)); and
(iii) A summary of the available information that would, if accurate,
support the imposition of antidumping duties.
(b) Information provided to the Commission. The Secretary will
notify the Commission at the time of initiation of the investigation and
will make available to it and to its employees directly involved in the
proceeding all information upon which the Secretary based the initiation
and which the Commission may consider relevant to its injury
determinations.
(c) Persistent dumping monitoring. (1) The Secretary may monitor,
for a period not to exceed one year, imports from an additional supplier
country of the same class or kind of merchandise as the merchandise
which is subject to two or more orders under this part if the Secretary
concludes from available information, including information in a request
for monitoring under this paragraph, that:
(i) There is reason to believe or suspect an extraordinary pattern of
persistent injurious dumping exists with regard to shipments from one or
more additional supplier countries; and
(ii) This extraordinary pattern is causing a serious commercial
problem for the industry.
(2) For the purposes of this section, ''additional supplier country''
means a country regarding which no order is in effect and no
investigation is pending under this part as to the class or kind of
merchandise referred to in paragraph (c)(1) of this section.
(3) To the extent practicable, the Secretary will expedite any
investigation initiated under paragraph (a) of this section as a result
of monitoring under paragraph (c)(1) of this section.
19 CFR 353.12 Petition requirements.
(a) In general. Any interested party, as defined in paragraph
(k)(3), (k)(4), (k)(5), or (k)(6) of 353.2, may file on behalf of an
industry a petition under this section requesting the imposition of
antidumping duties equal to the alleged amount of the dumping margin, if
that person has reason to believe that:
(1) The merchandise is being, or is likely to be, sold at less than
fair value; and
(2) That industry is materially injured, is threatened with material
injury, or its establishment is materially retarded by the merchandise.
Factual information in the petition shall be certified, as provided
in 353.31(i).
(b) Contents of petition. The petition shall contain the following,
to the extent reasonably available to the petitioner:
(1) The name and address of the petitioner and any person the
petitioner represents;
(2) The identity of the industry on behalf of which the petitioner is
filing, including the names and addresses of other persons in the
industry (if numerous, provide information at least for persons that,
based on publicly available information, individually accounted for two
percent or more of the industry, in terms of sales or production levels,
during the most recent 12-month period);
(3) A statement indicating whether the petitioner has filed for
import relief under sections 337 or 702 of the Act (19 U.S.C. 1337,
1671a), sections 201 or 301 of the Trade Act of 1974 (19 U.S.C. 2251 or
2411), or section 232 of the Trade Expansion Act of 1962 (19 U.S.C.
1862) with respect to the merchandise;
(4) A detailed description of the merchandise that defines the
requested scope of the investigation, including technical
characteristics and uses of the merchandise, and its current U.S.
tariff classification number.
(5) The name of the home market country and, if the merchandise is
imported from a country other than the home market country, the name of
the intermediate country ( 353.47) or the country through which the
merchandise is transshipped ( 353.46(c));
(6) The names and addresses of each person the petitioner believes
sells the merchandise at less than fair value and the proportion of
total exports to the United States which each person accounted for
during the most recent 12-month period (if numerous, provide information
at least for persons that, based on publicly available information,
individually accounted for two percent or more of the exports);
(7) All factual information (particularly documentary evidence)
relevant to the calculation of the United States price of the
merchandise and the foreign market value of such or similar merchandise,
in accordance with subpart D of this part (if unable to furnish
information on foreign sales or costs, provide information on production
costs in the United States, adjusted to reflect production costs in the
home market country of the merchandise);
(8) If the merchandise is from a country that the Secretary has found
to be a state-controlled-economy country, factual information relevant
to the calculation of foreign market value, as provided in subpart D of
this part, using a method described in 353.52.
(9) The volume and value of the merchandise during the most recent
two-year period and any other recent period that the petitioner believes
to be more representative or, if the merchandise was not imported during
the two-year period, information as to the likelihood of its sale for
importation;
(10) The name and address of each person the petitioner believes
imports or, if there were no importations, is likely to import the
merchandise;
(11) Factual information regarding material injury, threat of
material injury, or material retardation, as described in 19 CFR 207.11
and 207.26;
(12) If the petitioner alleges ''critical circumstances'' under
353.16, factual information regarding:
(i) Material injury which is difficult to repair;
(ii) Massive imports in a relatively short period; and
(iii) Either: (A) A history of dumping; or (B) The importer's
knowledge that the producer or reseller was selling the merchandise at
less than its foreign market value, as described in 353.16(a); and
(13) Any other factual information on which the petitioner relies.
(c) Simultaneous filing with Commission. The petitioner must file a
copy of the petition with the Commission and the Secretary on the same
day and so certify in submitting the petition to the Secretary.
(d) Proprietary status of information. The Secretary will not
consider any factual information for which the petitioner requests
proprietary treatment unless the petitioner meets the requirements of
353.32.
(e) Amendment of petition. The Secretary will allow timely amendment
of the petition. The petitioner must file an amendment with the
Commission and the Secretary on the same day and so certify in
submitting the amendment to the Secretary. The timeliness of new
allegations is controlled under 353.31.
(f) Where to file; time of filing; format and number of copies.
The requirements of 353.31 (d), (e), and (f) apply to this section.
(g) Notification of representative of the home market country. Upon
receipt of a petition, the Secretary will deliver a public version of
the petition, as described in 353.31(e)(2), to a representative in
Washington, DC, of the government of the home market country.
(h) Assistance to small businesses; additional information.
(1) The Secretary will provide technical assistance to eligible small
businesses, as defined in section 339 of the Act, to enable them to
prepare and file petitions. The Secretary may deny assistance if the
Secretary concludes that the petition, if filed, could not satisfy the
requirements of 353.13.
(2) For additional information concerning petitions, contact the
Deputy Assistant Secretary for Investigations, Import Administration,
International Trade Administration, Room B099, U.S. Department of
Commerce, Pennsylvania Avenue and 14th Street, NW., Washington, DC
20230; (202) 377-5497.
(i) Limitation of communication before initiation. Before the
Secretary decides whether to initiate an investigation, the Secretary
will not accept from an interested party, as defined in paragraph (k)(1)
or (k)(2) of 353.2, oral or written communication regarding a petition
except inquiries concerning the status of the proceeding.
(The information collection requirements in paragraph (b) of this
section have been approved by the Office of Management and Budget under
control number 0625-0105)
19 CFR 353.13 Determination of sufficiency of petition.
(a) Determination of sufficiency. Not later than 20 days after a
petition is filed under 353.12, the Secretary will determine whether
the petition properly alleges the basis on which an antidumping duty may
be imposed under section 731 of the Act, contains information reasonably
available to the petitioner supporting the allegations, and is filed by
an interested party as defined in paragraph (k)(3), (k)(4), (k)(5), or
(k)(6) of 353.2.
(b) Notice of initiation. If the Secretary determines that the
petition is sufficient under paragraph (a), the Secretary will initiate
an investigation and publish in the Federal Register notice of
''Initiation of Antidumping Duty Investigation.'' The notice will
include the information described in 353.11(a)(2). The Secretary will
notify the Commission at the time of initiation of the investigation and
will make available to it and to its employees directly involved in the
proceeding all information upon which the Secretary based the initiation
and which the Commission may consider relevant to its injury
determinations.
(c) Insufficiency of petition. If the Secretary determines that a
petition is insufficient under paragraph (a) of this section, the
Secretary will dismiss the petition in whole or in part and, if
appropriate, terminate the proceeding. The Secretary will notify the
petitioner in writing of the reasons for dismissal, notify the
Commission of the dismissal and publish in the Federal Register notice
of ''Dismissal of Antidumping Duty Petition,'' summarizing the reasons
for dismissal.
19 CFR 353.14 Request for exclusion from antidumping duty order.
(a) Any producer or reseller that desires exclusion from an
antidumping duty order must submit to the Secretary, not later than 30
days after the date of publication of the notice of initiation under
353.11 or 353.13, an irrevocable written request for exclusion.
(b) The person must submit with the request: (1) The person's
certification that:
(i) There is no dumping margin on the merchandise sold or likely to
be sold, as defined in 353.2(t), by the person during the minimum
period described in 353.42(b)(1); and
(ii) The person will not in the future sell the merchandise at less
than foreign market value; and
(2) If the person is not the producer of the merchandise, the
certification under paragraph (b)(1) of this section of the suppliers
and producers of the merchandise.
(c) The Secretary will investigate requests for exclusion to the
extent practicable in each investigation.
19 CFR 353.15 Preliminary determination.
(a) In general. (1) Not later than 160 days after the date of filing
of a petition or the date of publication of notice of initiation under
353.11, the Secretary will make a determination based on the available
information at the time whether there is a reasonable basis to believe
or suspect that the merchandise is being sold at less than fair value.
The Secretary will not make the determination unless the Commission has
made an affirmative preliminary determination.
(2) The Secretary's determination will include:
(i) The factual and legal conclusions on which the determination is
based;
(ii) The estimated weighted-average dumping margin, if any, for each
person investigated and an appropriate rate for persons not
investigated; and
(iii) A preliminary finding on critical circumstances, if
appropriate, under 353.16(b)(2)(i).
(3) If affirmative, the Secretary's determination will also:
(i) Order the suspension of liquidation of all entries of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the date of publication of the notice of the Secretary's
preliminary determination; and
(ii) Impose provisional measures by instructing the Customs Service
to require for each entry of the merchandise suspended under this
paragraph a cash deposit or bond equal to the estimated weighted-average
dumping margin.
(4) The Secretary will publish in the Federal Register notice of
''Affirmative (Negative) Preliminary Antidumping Duty Determination,''
including the estimated weighted-average dumping margin, if any, and an
invitation for argument consistent with 353.38.
(5) The Secretary will notify all parties to the proceeding and the
Commission.
(b) Postponement in extraordinarily complicated investigation. If
the Secretary decides the investigatlon is extraordinarily complicated,
the Secretary may postpone the preliminary determination to not later
than 210 days after the proceeding begins. The Secretary will base the
decision on express findings that:
(1) The respondent parties to the proceeding are cooperating in the
investigation;
(2) The investigation is extraordinarily complicated by reason of (i)
the large number or complex nature of the transactions or adjustments
under subpart D of this part, (ii) novel issues raised, or (iii) the
large number of producers and resellers; and
(3) Additional time is needed to make the preliminary determination.
(c) Postponement at the request of the petitioner. If the
petitioner, not later than 25 days before the scheduled date for the
Secretary's preliminary determination, requests a postponement and
states the reasons for the request, the Secretary will postpone the
preliminary determination to not later than 210 days after the date of
filing of the petition, unless the Secretary finds compelling reasons to
deny the request.
(d) Notice of postponement. If the Secretary decides to postpone the
preliminary determination under paragraph (b) or (c) of this section,
the Secretary will notify all parties to the proceeding not later than
20 days before the scheduled date for the Secretary's preliminary
determination and will publish in the Federal Register notice of
''Postponement of Preliminary Antidumping Duty Determination,'' stating
the reasons for the postponement.
(e) Expedited preliminary determination. Not later than 75 days
after the initiation of an investigation under 353.13, the Secretary
will review the record of the first 60 days of the investigation. If
the available information is sufficient for the Secretary to make a
preliminary determination, the Secretary will disclose to the
petitioner, and any party to the proceeding that has requested
disclosure, all available public and proprietary information (subject to
the requirements of 353.34). If, not later than three business days
after disclosure, each party to whom disclosure was made furnishes an
irrevocable written waiver of verification and agrees to a preliminary
determination based on information in the record on the 60th day of the
investigation, the Secretary will make an expedited preliminary
determination not later than 90 days after initiation of the
investigation.
(f) Commission access to information. The Secretary will make
available to the Commission and to employees of the Commission directly
involved in the proceeding all information upon which the Secretary
based the determination and which the Commission may consider relevant
to its injury determination.
(g) Disclosure. Promptly after making the preliminary determination,
the Secretary will provide to parties to the proceeding which request
disclosure a further explanation of the calculation methodology used in
making the determination.
19 CFR 353.16 Critical circumstances findings.
(a) In general. If a petitioner submits to the Secretary a written
allegation of critical circumstances, with reasonably available factual
information supporting the allegation, not later than 21 days before the
scheduled date of the Secretary's final determination, or on the
Secretary's own initiative in an investigation under 353.11, the
Secretary will make a finding whether:
(1) (i) There is a history of dumping in the United States or
elsewhere of the same class or kind of merchandise as the merchandise
subject to the investigation; or
(ii) The importer knew or should have known that the producer or
reseller was selling the merchandise at less than its foreign market
value: and
(2) There have been massive imports of the merchandise over a
relatively short period.
(b) Preliminary finding. (1) lf the petitioner submits the
allegation of critical circumstances not later than 30 days before the
scheduled date for the Secretary's final determination under 353.20,
the Secretary, based on the available information, will make a
preliminary finding whether there is a reasonable basis to believe or
suspect that critical circumstances as described in paragraph (a) of
this section exist.
(2) The Secretary will issue the preliminary finding:
(i) Not later than the Secretary's preliminary determination under
353.15, if the allegation is submitted not later thar 20 days before the
scheduled date for the preliminary determination; or
(ii) Not later than 30 days after the petitioner submits the
allegation, if the allegation is submitted later than 20 days before the
scheduled date for the Secretary's preliminary determination.
The Secretary will notify the Commission and publish in the Federal
Register notice of the preliminary finding.
(c) Suspension of liquidation. If the Secretary makes an affirmative
preliminary finding of critical circumstances, either before or at the
time of an affirmative preliminary determination under 353.15, any
suspension of liquidation ordered under 353.15 will apply to all
entries of the merchandise covered by the finding entered, or withdrawn
from warehouse, for consumption on or after 90 days before the date of
the order of suspension. If the Secretary makes an affirmative
preliminary finding of critical circumstances after an affirmative
preliminary determination under 353.15, the Secretary will amend the
order suspending liquidation to apply to all entries of the merchandise
covered by the finding entered, or withdrawn from warehouse, for
consumption on or after 90 days before the date suspension of
liquidation was first ordered.
(d) Final finding. For any allegation submitted not later than 21
days before the scheduled date for the Secretary's final determination
under 353.20, the Secretary will make a final finding on critical
circumstances. If the final finding is affirmative and if the Secretary
did not make an affirmative preliminary finding of critical
circumstances, the Secretary will order the suspension of liquidation of
all entries of the merchandise entered, or withdrawn from warehouse, for
consumption on or after 90 days before the date the Secretary ordered
suspension of liquidation either as part of an affirmative preliminary
or final determination. If the final finding is negative and if the
Secretary made an affirmative preliminary finding of critical
circumstances, the Secretary will end the retroactive suspension of
liquidation ordered under paragraph (c) of this section, and will
instruct the Customs Service to release the cash deposit or bond.
(e) Findings in self-initiated investigations. In investigations
initiated under 353.11, the Secretary will make a preliminary and final
finding on critical circumstances without regard to the time limits in
paragraphs (b) and (d) of this section.
(f) Massive imports. (1) In determining for the purpose of paragraph
(a) of this section whether imports of the merchandise have been
massive, the Secretary normally will examine:
(i) The volume and value of the imports;
(ii) Seasonal trends; and
(iii) The share of domestic consumption accounted for by the imports.
(2) In general, unless the imports during the period identified in
paragraph (g) of this section have increased by at least 15 percent over
the imports during an immediately preceding period of comparable
duration, the Secretary will not consider the imports massive.
(g) Relatively short period. For the purpose of paragraph (a) of
this section, the Secretary normally will consider the period beginning
on the date the proceeding begins and ending at least three months
later. However, if the Secretary finds that importers, or exporting
producers or resellers, had reason to believe, at some time prior to the
beginning of the proceeding, that a proceeding was likely, then the
Secretary may consider a period of not less than three months from that
earlier time.
19 CFR 353.17 Termination of investigation.
(a) Withdrawal of petition. (1) Except as provided in paragraph (b)
of this section, the Secretary may terminate an investigation upon
withdrawal of the petition by the petitioner, or on the Secretary's own
initiative in an investigation initiated under 353.11, after notifying
all parties to the proceeding and after consultation with the
Commission. The Secretary may not terminate an investigation unless the
Secretary concludes the termination is in the public interest.
(2) If the Secretary terminates an investigation, the Secretary will
publish in the Federal Register notice of ''Termination of Antidumping
Duty Investigation'' together with, when appropriate, a copy of any
correspondence with the petitioner forming the basis of the withdrawal
and the termination.
(b) Withdrawal of petition based on acceptance of quantitative
restriction agreements. (1) The Secretary may not terminate under
paragraph (a) of this section an investigation by accepting an
understanding or other kind of agreement with the government of the home
market country to restrict the volume of the merchandise unless the
Secretary, taking into account the factors listed in section
734(a)(2)(B) of the Act, is satisfied that termination is in the public
interest.
(2) In deciding for the purpose of paragraph (b)(1) of this section
whether termination is in the public interest, the Secretary, to the
extent practicable, will consult with representatives of potentially
affected United States consuming industries and potentially affected
persons in the industry, including persons not parties to the
proceeding.
(c) Negative determination. An investigation terminates, without
further comment or action, upon publication in the Federal Register of
the Secretary's negative final determination or the Commission's
negative preliminary or final determination.
(d) End of suspension of liquidation. If the Secretary previously
ordered suspension of liquidation, the Secretary will order the
suspension ended on the date of publication of the notice of termination
under paragraph (a) of this section or on the date of publication of a
negative determination referred to in paragraph (c) of this section, and
will instruct the Customs Service to release any cash deposit or bond.
19 CFR 353.18 Suspension of investigation.
(a) Agreement to eliminate completely sales at less than foreign
market value or to cease exports. If the Secretary is satisfied that
suspension is in the public interest, the Secretary may suspend an
investigation at any time before the Secretary's final determination by
accepting an agreement with exporters (producers and resellers) that
account for substantially all of the merchandise:
(1) To eliminate completely sales at less than foreign market value
with respect to the merchandise, effective on the date of suspension of
investigation; or
(2) To cease exports of the merchandise not later than 180 days after
the date of publication of the notice of suspension of investigation.
(b) Agreement eliminating injurious effect. (1) As provided in this
paragraph and paragraph (b)(2) of this section, the Secretary may
suspend an investigation at any time before the Secretary's final
determination if the Secretary:
(i) Is satisfied that the proposed suspension is in the public
interest;
(ii) Finds that extraordinary circumstances are present; and
(iii) Finds that the agreement will eliminate completely the
injurious effect of the merchandise.
(2) The Secretary may suspend an investigation under paragraph (b)(1)
of this section by accepting an agreement with exporters (producers and
resellers) that account for substantially all of the merchandise, if the
Secretary finds that:
(i) The agreement will prevent the suppression or undercutting by the
merchandise of prices of like products produced in the United States;
and
(ii) The agreement will ensure that, for each entry of each exporter,
the dumping margin will not exceed 15 percent of the weighted-average
dumping margin for that exporter stated in the Secretary's preliminary
determination (or final determination in investigations continued under
353.18(i)).
(c) Definition of ''substantially all.'' For purposes of paragraphs
(a) and (b)(2) of this section, exporters which account for
''substantially all'' of the merchandise means exporters (producers and
resellers), that have accounted for not less than 85 percent by value or
volume of the merchandise during the period for which the Department is
measuring dumping in the investigation or such other period that the
Secretary considers representative.
(d) Definition of ''extraordinary circumstances.'' For purposes of
paragraph (b) of this section, ''extraordinary circumstances'' means
circumstances in which (1) suspension of the investigation will be more
beneficial to the industry than continuation of the investigation, and
(2) there are a large number of transactions or adjustments under
subpart D of this part, the issues raised are novel, or the number of
producers and resellers is large.
(e) Monitoring. The Secretary will not accept an agreement unless
effective monitoring of the agreement by the Secretary is practicable.
In monitoring an agreement under paragraph (b) of this section, the
Secretary will not be obliged to ascertain on a continuing basis the
prices in the United States of the merchandise or of like products
produced in the United States.
(f) Exports not to increase during interim period. The Secretary
will not accept an agreement under paragraph (a)(2) of this section
unless the agreement ensures that the quantity of the merchandise
exported during the interim period set forth in the agreement does not
exceed the quantity of the merchandise exported during a period of
comparable duration that the Secretary considers representative.
(g) Procedure for suspension of investigation. (1) The exporters
(producers and resellers) shall:
(i) Submit to the Secretary a proposed agreement not later than 45
days before the scheduled date for the Secretary's final determination
under 353.20; and
(ii) Serve a copy of an agreement preliminarily accepted by the
Secretary on other parties to the proceeding not later than the day
following the Secretary's preliminary acceptance.
(2) The Secretary will:
(i) Not later than 30 days before the date the Secretary suspends the
investigation, notify all parties to the proceeding of the proposed
suspension and provide to the petitioner a copy of the agreement
preliminarily accepted by the Secretary (the agreement shall contain the
procedures for monitoring compliance and a statement of the
compatibility of the agreement with the requirements of this section);
and
(ii) Consult with the petitioner concerning the proposed suspension.
(3) The Secretary will provide all interested parties and United
States government agencies an opportunity to submit, not later than 10
days before the scheduled date for the Secretary's final determination,
written argument and factual information concerning the proposed
suspension.
(h) Acceptance of agreement. (1) If the Secretary accepts an
agreement to suspend an investigation, the Secretary will publish in the
Federal Register notice of ''Suspension of Antidumping Duty
Investigation,'' including the text of the agreement. If the Secretary
has not already published notice of affirmative preliminary
determination, the Secretary will include that notice. In accepting an
agreement, the Secretary may rely on factual or legal conclusions the
Secretary reached in or after the affirmative preliminary determination.
(2) If the Secretary suspends an investigation based on an agreement
under paragraph (a) of this section, the Secretary will not order the
suspension of liquidation of entries of the merchandise. If the
Secretary previously ordered suspension of liquidation, the Secretary
will order the suspension of liquidation ended on the effective date of
notice of suspension of investigation and will instruct the Customs
Service to release any cash deposit or bond.
(3) If the Secretary suspends an investigation based on an agreement
under paragraph (b) of this section, the Secretary will order the
suspension of liquidation to continue or to begin, as appropriate. The
suspension of liquidation will not end until the Commission completes
any requested review, under section 734(h) of the Act, of the agreement.
If the Commission receives no request for review within 20 days after
the date of publication of the notice of suspension of investigation,
the Secretary will order the suspension of liquidation ended on the 21st
day after the date of publication, and will instruct the Customs Service
to release any cash deposit or bond.
(4) If the Commission undertakes a review of an agreement under
section 734(h) of the Act and determines that the agreement will not
eliminate the injurious effect, the Secretary will resume the
investigation on the date of publication of the Commission's
determination as if the Secretary's affirmative preliminary
determination had been made on that date. If the Commission determines
that the agreement will eliminate the injurious effect, the Secretary
will continue the suspension of investigation, order the suspension of
liquidation ended on the date of publication of the Commission's
determination, and instruct the Customs Service to release any cash
deposit or bond.
(i) Continuation of investigation. (1) Not later than 20 days after
the date of publication of the notice of suspension of investigation, an
exporter or exporters accounting for a significant proportion of exports
of the merchandise or an interested party, as defined in paragraph
(k)(3), (k)(4), (k)(5), or (k)(6) of 353.2, may request in writing that
the Secretary continue the investigation. The party shall
simultaneously file a request with the Commission to continue its
investigation.
(2) Upon receiving the request, the Secretary and the Commission will
continue the investigation.
(i) If the Secretary and the Commission make affirmative final
determinations, the suspension agreement will remain in effect in
accordance with the factual and legal conclusions in the Secretary's
final determination. This paragraph does not affect the provisions of
paragraph (h) of this section regarding suspension of liquidation.
(ii) If the Secretary or the Commission makes a negative final
determination, the agreement shall have no force or effect.
(j) Merchandise imported in excess of allowed quantity. (1) The
Secretary may instruct the Customs Service not to accept entries, or
withdrawals from warehouse, for consumption of the merchandise in excess
of any quantity allowed by paragraph (f) or by an agreement under
paragraph (a) of this section.
(2) Imports in excess of the quantity allowed by paragraph (f) or by
an agreement under paragraph (a) of this section may be exported or
destroyed under Customs service supervision.
19 CFR 353.19 Violation of agreement.
(a) Immediate determination. If the Secretary determines that a
signatory exporter has violated a suspension agreement, the Secretary,
without right of comment, will:
(1) Order the suspension of liquidation of all entries of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the later of (i) 90 days before the date of publication of the
notice of cancellation of agreement or (ii) the date of first entry, or
withdrawal from warehouse, for consumption of the merchandise the sale
or export of which was in violation of the agreement;
(2) If the investigation was not completed under 353.18(i), resume
the investigation as if the Secretary made an affirmative preliminary
determination on the date of publication of the notice of cancellation
and impose provisional measures by instructing the Customs Service to
require for each entry of the merchandise suspended under paragraph
(a)(1) of this section a cash deposit or bond equal to the estimated
weighted-average dumping margin determined in the affirmative
preliminary determination;
(3) If the investigation was completed under 353.18(i), issue an
antidumping duty order for all entries subject to suspension of
liquidation under paragraph (a)(1) of this section and instruct the
Customs Service to require for each entry of the merchandise suspended
under this paragraph a cash deposit equal to the estimated
weighted-average dumping margin determined in the affirmative final
determination;
(4) Notify all persons who are or were parties to the proceeding, the
Commission, and if the Secretary determines that the violation was
intentional, the Commissioner of Customs; and
(5) Publish in the Federal Register notice of ''Antidumping Duty
Order (Resumption of Antidumping Duty Investigation); Cancellation of
Suspension Agreement.''
(b) Determination after notice and comment. (1) If the Secretary has
reason to believe that a signatory exporter has violated an agreement or
that an agreement no longer meets the requirements of section 734(d) of
the Act, but does not have sufficient information to take action under
paragraph (a) of this section, the Secretary will publish in the Federal
Register notice of ''Invitation for Comment on Antidumping Duty
Suspension Agreement.''
(2) After publication of the notice inviting comment and after
consideration of comments received the Secretary will:
(i) If the Secretary determines that any signatory exporter has
violated the agreement, take appropriate action as described in
paragraphs (a)(1) through (a)(5) of this section; or
(ii) If the Secretary determines that the agreement no longer meets
the requirements of section 734(d) of the Act:
(A) Take appropriate action as described in paragraphs (a)(1) through
(a)(5) of this section, except that, for paragraph (a)(1)(ii) of this
section, the date shall be the date of first entry, or withdrawal from
warehouse, for consumption of the merchandise the sale or export of
which does not meet the requirements of section 734(d) of the Act;
(B) Continue the suspension of investigation by accepting a revised
suspension agreement under 353.18(a) (whether or not the Secretary
accepted the original agreement under that paragraph) that, at the time
the Secretary accepts the revised agreement, meets the applicable
requirements of section 734(d) of the Act, and publish in the Federal
Register notice of ''Revision of Agreement Suspending Antidumping Duty
Investigation;'' or
(C) Continue the suspension of investigation by accepting a revised
suspension agreement under 353.18(b) (whether or not the Secretary
accepted the original agreement under that paragraph) that, at the time
the Secretary accepts the revised agreement, meets the applicable
requirements of section 734(d) of the Act, and publish in the Federal
Register notice of ''Revision of Agreement Suspending Antidumping Duty
Investigation.'' If the Secretary continues to suspend an investigation
based on a revised agreement accepted under 353.18(b), the Secretary
will order suspension of liquidation to begin. The suspension will not
end until the Commission completes any requested review of the agreement
under section 734(h) of the Act. If the Commission receives no request
for review within 20 days after the date of publication of the notice of
the revision, the Secretary will order the suspension of liquidation
ended on the 21st day after the date of publication, and will instruct
the Customs Service to release any cash deposit or bond. If the
Commission undertakes a review under section 734(h) of the Act, the
provisions of 353.18(h)(4) will apply.
(iii) If the Secretary decides neither to consider the order violated
nor to revise the agreement, the Secretary will publish in the Federal
Register notice of the Secretary's decision under paragraph (b)(2) of
this section, including a statement of the factual and legal conclusions
on which the decision is based.
(c) Additional signatories. If the Secretary decides that the
agreement no longer meets the requirements of 353.18(b)(1)(iii) or that
the signatory exporters no longer account for substantially all of the
merchandise, the Secretary may revise the agreement to include
additional signatory exporters.
(d) Definition of ''violation.'' For the purpose of this section,
''violation'' means noncompliance with the terms of a suspension
agreement caused by an act or omission of a signatory exporter, except,
at the discretion of the Secretary, an act or omission which is
inadvertent or inconsequential.
19 CFR 353.20 Final determination.
(a) In general. (1) Not later than 75 days after the date of the
Secretary's preliminary determination, the Secretary will make a final
determination whether the merchandise is being sold at less than fair
value.
(2) The Secretary's determination will include:
(i) The factual and legal conclusions on which the determination is
based;
(ii) The estimated weighted-average dumping margin, if any, for each
person investigated; and
(iii) If appropriate, a final finding on critical circumstances under
353.16.
(3) If affirmative, the Secretary's determination will also:
(i) Unless previously ordered by the Secretary, order the suspension
of liquidation of all entries of the merchandise entered, or withdrawn
from warehouse, for consumption on or after the date of publication of
the notice of the Secretary's final determination; and
(ii) Instruct the Customs Service to require, for each suspended
entry of the merchandise entered, or withdrawn from warehouse, for
consumption on or after the date of publication of the Secretary's final
determination, a cash deposit or bond equal to the estimated
weighted-average dumping margin determined under paragraph (a) of this
section.
(4) The Secrerary will publish in the Federal Register notice of
''Affirmative (Negative) Final Antidumping Duty Determination,''
including the estimated weighted-average dumping margins, if any.
(5) The Secretary will notify all parties to the proceeding and the
Commission.
(b) Postponement of final determination. (1) If, not later than the
scheduled date for the Secretary's final determination, the petitioner
in a proceeding in which the Secretary issued a negative preliminary
determination, or the producers or resellers of a significant proportion
of the merchandise in a proceeding in which the Secretary issued an
affirmative preliminary determination, request in writing a postponement
and state the reasons for the request, the Secretary will postpone the
final determination to not later than 135 days after the date of
publication of the preliminary determination, unless the Secretary finds
compelling reasons to deny the request.
(2) If the Secretary decides to postpone the final determination
under paragraph (b)(1) of this section, the Secretary will notify all
parties to the proceeding and will publish in the Federal Register
notice of ''Postponement of Final Antidumping Duty Determination,''
stating the reason for the postponement.
(c) Commission access to information. The Secretary will make
available to the Commission and to employees of the Commission directly
involved in the proceeding all information upon which the Secretary
based the final determination and which the Commission may consider
relevant to its injury determination.
(d) Effect of negative final determination. An investigation
terminates, without further comment or action, upon publication in the
Federal Register of the Secretary's or the Commission's negative final
determination. If the Secretary previously ordered suspension of
liquidation, the Secretary will order the suspension ended on the date
of publication of the notice of negative final determination and will
instruct the Customs Service to release any cash deposit or bond.
(e) Disclosure. Promptly after making the final determination, the
Secretary will provide to parties to the proceeding which request
disclosure a further explanation of the calculation methodology used in
making the determination.
19 CFR 353.21 Antidumping duty order.
Not later than seven days after receipt of notice of the Commission's
affirmative final determination under section 735 of the Act, the
Secretary will publish in the Federal Register an ''Antidumping Duty
Order'' that:
(a) Instructs the Customs Service to assess antidumping duties on the
merchandise, in accordance with the Secretary's instructions at the
completion of each administrative review requested under 353.22(a) or,
if not requested, in accordance with the Secretary's instructions under
353.22(e);
(b) For each entry of the merchandise entered, or withdrawn from
warehouse, for consumption on or after the date of publication of the
order, instructs the Customs Service to require a cash deposit of
estimated antidumping duties equal to the amount of the estimated
weighted-average dumping margin stated in the Secretary's final
determination;
(c) Excludes from the application of the order any producer or
reseller for which the Secretary finds that there was no
weighted-average dumping margin during the period for which the
Department measured dumping in the investigation; and
(d) Orders the suspension of liquidation ended for all entries of the
merchandise entered, or withdrawn from warehouse, for consumption before
the date of publication of the Commission's final determination, and
instructs the Customs Service to release the cash deposit or bond on
those entries, if in its final determination, the Commission found a
threat of material injury or material retardation of the establishment
of an industry, unless the Commission in its final determination also
found that, absent the suspension of liquidation ordered under
353.15(a), it would have found material injury.
19 CFR 353.22 Administrative review of orders and suspension
agreements.
(a) Request for Administrative Review; Withdrawal of Request for
Review. (1) Each year during the anniversary month of the publication
of an order (the calendar month in which the anniversary of the date of
publication of the order or finding occurs), an interested party, as
defined in paragraph (k)(2), (k)(3), (k)(4), (k)(5), or (k)(6) of
353.2, may request in writing that the Secretary conduct an
administrative review of specified individual producers or resellers
covered by an order, if the requesting person states why the person
desires the Secretary to review those particular producers or resellers.
(2) During the same month, a producer or reseller covered by an order
may request in writing that the Secretary conduct an administrative
review of only that person.
(3) During the same month, an importer of the merchandise may request
in writing that the Secretary conduct an administrative review of only a
producer or reseller of the merchandise imported by that importer.
(4) Each year during the anniversary month of the publication of a
suspension of investigation (the calendar month in which the anniversary
of the date of publication of the suspension of investigation occurs),
an interested party, as defined in 353.2(k), may request in writing
that the Secretary conduct an administrative review of all producers or
resellers covered by an agreement on which suspension of investigation
was based.
(5) The Secretary may permit a party that requests a review under
paragraph (a) of this section to withdraw the request not later than 90
days after the date of publication of notice of initiation of the
requested review. The Secretary may extend this time limit if the
Secretary decides that it is reasonable to do so. When a request for
review is withdrawn, the Secretary will publish in the Federal Register
notice of ''Termination of Antidumping Duty Administrative Review'' or,
if appropriate, ''Partial Termination of Antidumping Duty Administrative
Review.''
(b) Period under review. (1) Except as provided in paragraph (b)(2)
of this section, an administrative review under paragraph (a) of this
section normally will cover, as appropriate, entries, exports, or sales
of the merchandise during the 12 months immediately preceding the most
recent anniversary month.
(2) For requests received during the first anniversary month after
publication of an order or suspension of investigation, the review under
paragraph (a) of this section will cover, as appropriate, entries,
exports, or sales during the period from the date of suspension of
liquidation under this part or suspension of investigation to the end of
the month immediately preceding the first anniversary month.
(c) Procedures. After receipt of a timely request under paragraph
(a) of this section, or on the Secretary's own initiative when
appropriate, the Secretary will:
(1) Not later than 15 days after the anniversary month, publish in
the Federal Register notice of ''Initiation of Antidumping Duty
Administrative Review;''
(2) Normally not later than 30 days after the date of publication of
the notice of initiation, send to appropriate interested parties or a
sample of interested parties questionnaires requesting factual
information for the review;
(3) Conduct, if appropriate, a verification under 353.36;
(4) Issue preliminary results of review, based on the available
information, that include:
(i) The factual and legal conclusions on which the preliminary
results are based;
(ii) The weighted-average dumping margin, if any, during the period
of review for each person reviewed; and
(iii) For an agreement, the Secretary's preliminary conclusions with
respect to the status of, and compliance with, the agreement;
(5) Publish in the Federal Register notice of ''Preliminary Results
of Antidumping Duty Administrative Review,'' including the
weighted-average dumping margins, if any, and an invitation for argument
consistent with 353.38, and notify all parties to the proceeding;
(6) Promptly after issuing the preliminary results, provide to
parties to the proceeding which request disclosure a further explanation
of the calculation methodology used in reaching the preliminary results;
(7) Not later than 365 days after the anniversary month, issue final
results of review that include:
(i) The factual and legal conclusions on which the final results are
based;
(ii) The weighted-average dumping margin, if any, during the period
of review for each person reviewed; and
(iii) For an agreement, the Secretary's conclusions with respect to
the status of, and compliance with, the agreement;
(8) Publish in the Federal Register notice of ''Final Results of
Antidumping Duty Administrative Review,'' including the weighted-average
dumping margins, if any, and notify all parties to the proceeding;
(9) Promptly after issuing the final results, provide to parties to
the proceeding which request disclosure a further explanation of the
calculation methodology used in reaching the final results; and
(10) Promptly after publication of the notice of final results,
instruct the Customs Service to assess antidumping duties on the
merchandise described in paragraph (b) of this section and to collect a
cash deposit of estimated antidumping duties on future entries.
(d) Possible cancellation or revision of suspension agreement. If
during an administrative review the Secretary determines or has reason
to believe that a signatory exporter has violated a suspension agreement
or that the agreement no longer meets the requirements of 353.18, the
Secretary will take appropriate action under 353.19. The Secretary may
suspend the time limit in paragraph (c)(7) of this section while taking
action under 353.19(b).
(e) Automatic assessment of duty. (1) For orders, if the Secretary
does not receive a timely request under paragraph (a)(1), (a)(2), or
(a)(3) of this section, the Secretary, without additional notice, will
instruct the Customs Service to assess antidumping duties on the
merchandise described in paragraph (b) of this section at rates equal to
the cash deposit of, or bond for, estimated antidumping duties required
on that merchandise at the time of entry, or withdrawal from warehouse,
for consumption and to continue to collect the cash deposits previously
ordered.
(2) If the Secretary receives a timely request under paragraph
(a)(1), (a)(2), or (a)(3) of this section, the Secretary in accordance
with paragraph (e)(1) of this section will instruct the Customs Service
to assess antidumping duties, and to continue to collect the cash
deposits, on the merchandise not covered by the request.
(f) Changed circumstances review. (1) If the Secretary concludes
from available information, including information in a request under
this paragraph for an administrative review, that changed circumstances
sufficient to warrant a review exist, the Secretary will:
(i) Publish in the Federal Register notice of ''Initiation of Changed
Circumstances Antidumping Duty Administrative Review;''
(ii) If necessary, send to appropriate interested parties, or a
sample of interested parties, questionnaires requesting factual
information for the review;
(iii) Conduct, if appropriate, a verification under 353.36;
(iv) Issue preliminary results of review based on the available
information that include the factual and legal conclusions on which the
preliminary results are based and any action the Secretary proposes
based on the preliminary results;
(v) Publish in the Federal Register notice of ''Preliminary Results
of Changed Circumstances Antidumping Duty Administrative Review,''
including an invitation for argument consistent with 353.38;
(vi) Notify all parties to the proceeding of the preliminary results;
(vii) Promptly after issuing the preliminary results, provide to
parties to the proceeding which request disclosure a further explanation
of the preliminary results;
(viii) Not later than 270 days after the date of the Secretary's
initiation of the review, issue final results of review that include the
factual and legal conclusions on which the final results are based and
any action, including action under paragraph (c)(9) of this section and
353.25(d), that the Secretary will take based on the final results;
(ix) Publish in the Federal Register notice of ''Final Results of
Changed Circumstances Antidumping Duty Administrative Review;''
(x) Notify all parties to the proceeding; and
(xi) Promptly after issuing the final results, provide to parties to
the proceeding which request disclosure a further explanation of the
final results.
(2) Changed circumstances reviews may be requested at any time,
including periods other than anniversary months.
(3) The Secretary will not initiate an administrative review under
paragraph (f) of this section before the end of the second annual
anniversary month (the calendar month in which the anniversary of the
date of publication of the order or suspension occurs) after the date of
publication of the Secretary's affirmative preliminary determination or
suspension of investigation, unless the Secretary finds that good cause
exists.
(4) If the Secretary concludes that expedited action is warranted,
the Secretary may combine the notices identified in paragraphs (f)(1)(i)
and (f)(1)(v) of this section in a notice of ''Initiation and
Preliminary Results of Changed Circumstances Antidumping Duty
Administrative Review.'' In that event, the notification required in
paragraph (f)(1)(vi) of this section will be given to all interested
parties included on the Department's service list described in
353.31(h).
(g) Expedited review. (1) Not later than seven days after
publication of an antidumping duty order, a producer or reseller may
request in writing that the Secretary conduct an expedited
administrative review for that producer's or reseller's shipments of the
merchandise entered, or withdrawn from warehouse, for consumption:
(i) On or after the date of publication of the Secretary's
affirmative preliminary determination or, if the Secretary's preliminary
determination was negative, the Secretary's final determination, and
(ii) Before the date of publication of the Commission's final
determination.
(2) The request must be accompanied by information the Secretary
deems necessary to calculate the dumping margin, if any.
(3) If, based upon the information submitted with the request, the
Secretary concludes that the dumping margin may be determined not later
than 90 days after the date of publication of the order, the Secretary
may conduct an expedited administrative review of the requesting
producer or reseller.
(4) If the Secretary decides to conduct an expedited review, the
Secretary will:
(i) Publish in the Federal Register notice of ''Initiation of
Expedited Antidumping Duty Administrative Review,'' which will include
an invitation for argument consistent with 353.38, and notify all
parties to the proceeding;
(ii) Instruct the Customs Service to accept, in lieu of the cash
deposit of estimated antidumping duties under 353.21(b), a bond for
each entry of the merchandise entered, or withdrawn from warehouse, for
consumption on or after the date of publication of the notice of
initiation and through the date not later than 90 days after the date of
publication of the order;
(iii) Conduct a verification under 353.36;
(iv) Provide to parties to the proceeding which request disclosure an
explanation of the calculation methodology used for the Secretary's
analysis;
(v) Issue final results of review that include:
(A) The factual and legal conclusions on which the final results are
based; and
(B) The weighted-average dumping margin, if any, during the period of
review for each person reviewed;
(vi) Publish in the Federal Register notice of ''Final Results of
Expedited Antidumping Duty Administrative Review,'' including the
weighted-average dumping margins, if any, and notify all parties to the
proceeding;
(vii) Promptly after issuing the final results, provide to parties to
the proceeding which request disclosure an explanation of the
calculation methodology used for the Secretary's analysis; and
(viii) Promptly after publication of the notice of final results,
instruct the Customs Service to assess antidumping duties on the
merchandise described in paragraph (g)(1) of this section and to collect
a cash deposit of estimated antidumping duties on future entries.
(54 FR 12769, Mar. 28, 1989; 54 FR 13294, Mar. 31, 1989.
19 CFR 353.23 Provisional measures deposit cap.
This section applies to the merchandise entered, or withdrawn from
warehouse, for consumption before the date of publication of the
Commission's notice of affirmative final determination. If the cash
deposit or bond required under the Secretary's affirmative preliminary
or affirmative final determination is different from the dumping margin
the Secretary calculates under 353.22, the Secretary will instruct the
Customs Service to disregard the difference to the extent that the cash
deposit or bond is less than the dumping margin, and to assess
antidumping duties equal to the dumping margin calculated under 353.22
if the cash deposit or bond is more than the dumping margin.
19 CFR 353.24 Interest on certain overpayments and underpayments.
(a) In general. The Secretary will instruct the Customs Service to
pay or collect, as appropriate, interest on the difference between the
cash deposit of estimated antidumping duties and the assessed
antidumping duties on entries of the merchandise entered, or withdrawn
from warehouse, for consumption on or after the date of publication of
an antidumping duty order.
(b) Rate. The rate or rates of interest payable or collectible under
paragraph (a) of this section for any period of time are the rates
established under section 6621 of the Internal Revenue Code of 1954.
(c) Period. The Secretary will instruct the Customs Service to
calculate interest for each entry from the date that a cash deposit is
required to be deposited for the entry through the date of liquidation
of the entry.
19 CFR 353.25 Revocation of orders; termination of suspended
investigation.
(a) Revocation or termination based on absence of dumping. (1) The
Secretary may revoke an order or terminate a suspended investigation if
the Secretary concludes that:
(i) All producers and resellers covered at the time of revocation by
the order or the suspension agreement have sold the merchandise at not
less than foreign market value for a period of at least three
consecutive years; and
(ii) It is not likely that those persons will in the future sell the
merchandise at less than foreign market value.
(2) The Secretary may revoke an order in part if the Secretary
concludes that:
(i) One or more producers or resellers covered by the order have sold
the merchandise at not less than foreign market value for a period of at
least three consecutive years;
(ii) It is not likely that those persons will in the future sell the
merchandise at less than foreign market value; and
(iii) For producers or resellers that the Secretary previously has
determined to have sold the merchandise at less than foreign market
value, the producers or resellers agree in writing to their immediate
reinstatement in the order, as long as any producer or reseller is
subject to the order, if the Secretary concludes under 353.22(f) that
the producer or reseller, subsequent to the revocation, sold the
merchandise at less than foreign market value.
(b) Request for revocation or termination. During the third and
subsequent annual anniversary months of the publication of an order or
suspension of investigation (the calendar month in which the anniversary
of the date of publication of the order or suspension occurs), a
producer or reseller may request in writing that the Secretary revoke an
order or terminate a suspended investigation under paragraph (a) of this
section with regard to that person if the person submits with the
request:
(1) The person's certification that the person sold the merchandise
at not less than foreign market value during the period described in
353.22(b), and that in the future the person will not sell the
merchandise at less than foreign market value; and
(2) If applicable, the agreement described in paragraph (a)(2)(iii)
of this section.
(c) Procedures. (1) After receipt of a timely request under
paragraph (b) of this section, the Secretary will consider the request
as including a request for an administrative review and will conduct a
review under 353.22(c).
(2) In addition to the requirements of 353.22(c), the Secretary
will:
(i) Publish with the notice of initiation, under 353.22(c)(1),
notice of ''Request for Revocation of Order (in part)'' or, if
appropriate, ''Request for Termination of Suspended Investigation;''
(ii) Conduct a verification under 353.36;
(iii) Include in the preliminary results of review, under
353.22(c)(4), the Secretary's decision whether there is a reasonable
basis to believe that the requirements for revocation or termination are
met;
(iv) If the Secretary's preliminary decision under paragraph
(c)(2)(iii) of this section is affirmative, publish with the notice of
preliminary results of review, under 353.22(c)(5), notice of ''Intent
to Revoke Order (in Part)'' or, if appropriate, ''Intent to Terminate
Suspended Investigation;''
(v) Include in the final results of review, under 353.22(c)(7), the
Secretary's final decision whether the requirements for revocation or
termination are met; and
(vi) If the Secretary's final decision under paragraph (c)(2)(v) of
this section is affirmative, publish with the notice of final results of
review, under 353.22(c)(8), notice of ''Revocation of Order (in Part)''
or, if appropriate, ''Termination of Suspended Investigation.''
(3) If the Secretary revokes an order or revokes an order in part,
the Secretary will order the suspension of liquidation ended for the
merchandise covered by the revocation on the first day after the period
under review, and will instruct the Customs Service to release any cash
deposit or bond.
(d) Revocation or termination based on changed circumstances. (1)
The Secretary may revoke an order, revoke an order in part, or terminate
a suspended investigation if the Secretary concludes that:
(i) The order or suspended investigation no longer is of interest to
interested parties, as defined in paragraphs (k)(3), (k)(4), (k)(5), and
(k)(6) of 353.2; or
(ii) Other changed circumstances sufficient to warrant revocation or
termination exist.
(2) If at any time the Secretary concludes from the available
information, including an affirmative statement of no interest from the
petitioner in the proceeding, that changed circumstances sufficient to
warrant revocation or termination may exist, the Secretary will conduct
an administrative review under 353.22(f).
(3) In addition to the requirements of 353.22(f), the Secretary
will:
(i) Publish with the notice of initiation, under 353.22(f)(1)(i),
notice of ''Consideration of Revocation of Order (in Part)'' or, if
appropriate, ''Consideration of Termination of Suspended
Investigation;''
(ii) If the Secretary's conclusion, as described in paragraph (d)(2)
of this section, is not based on a request, the Secretary, not later
than the date of publication of the notice described in paragraph
(d)(3)(i) of this section, will serve written notice of the
consideration of revocation or termination on each interested party
listed on the Department's service list and on any other person which
the Secretary has reason to believe is a producer or seller in the
United States of the like product;
(iii) Conduct a verification, if appropriate, under 353.36;
(iv) Include in the preliminary results of review, under
353.22(f)(1)(iv), the Secretary's decision whether there is a reasonable
basis to believe that the requirements for revocation or termination
based on changed circumstances are met;
(v) If the Secretary's preliminary decision under paragraph
(d)(3)(iv) of this section is affirmative, publish with the notice of
preliminary results of review, under 353.22(f)(1)(v), notice of
''Intent to Revoke Order (in Part)'' or, if appropriate, ''Intent to
Terminate Suspended Investigation;''
(vi) Include in the final results of review, under
353.22(f)(1)(viii), the Secretary's final decision whether the
requirements for revocation or termination based on changed
circumstances are met; and
(vii) If the Secretary's final decision under paragraph (d)(3)(vi) of
this section is affirmative, publish with the notice of final results of
review, under 353.22(f)(1)(ix), notice of ''Revocation of Order (in
Part)'' or, if appropriate, ''Termination of Suspended Investigation.''
(4)(i) If for four consecutive annual anniversary months no
interested party has requested an administrative review, under
353.22(a), of an order or suspended investigation, not later than the
first day of the fifth consecutive annual anniversary month, the
Secretary will publish in the Federal Register notice of ''Intent to
Revoke Order'' or, if appropriate, ''Intent to Terminate Suspended
Investigation.''
(ii) Not later than the date of publication of the notice described
in paragraph (d)(4)(i) of this section, the Secretary will serve written
notice of the intent to revoke or terminate on each interested party
listed on the Department's service list and on any other person which
the Secretary has reason to believe is a producer or seller in the
United States of the like product.
(iii) If by the last day of the fifth annual anniversary month no
interested party objects, or requests an administrative review under
353.22(a), the Secretary at that time will conclude that the
requirements of paragraph (d)(1)(i) for revocation or termination are
met, revoke the order or terminate the suspended investigation, and
publish in the Federal Register the notice described in paragraph
(d)(3)(vii) of this section.
(5) If the Secretary under paragraph (d) of this section revokes an
order or revokes an order in part, the Secretary will order the
suspension of liquidation ended for the merchandise covered by the
revocation on the effective date of the notice of revocation, and will
instruct the Customs Service to release any cash deposit or bond.
(e) Revocation or termination based on injury reconsideration. If
the Commission determines in an administrative review under section
751(b) of the Act that an industry in the United States would not be
materially injured, or would not be threatened with material injury, or
the establishment of an industry in the United States would not be
materially retarded, by reason of imports of the merchandise covered by
an antidumping duty order or suspension agreement, the Secretary will
revoke, in whole or in part, the order or terminate the suspended
investigation, and will publish in the Federal Register notice of
''Revocation of Order (in Part)'' or, if appropriate, ''Termination of
Suspended Investigation.''
19 CFR 353.26 Reimbursement of antidumping duties.
(a) In general. (1) In calculating the United States price, the
Secretary will deduct the amount of any antidumping duty which the
producer or reseller:
(i) Paid directly on behalf of the importer; or
(ii) Reimbursed to the importer.
(2) The Secretary will not deduct the amount of the antidumping duty
paid or reimbursed if the producer or reseller granted to the importer
before initiation of the investigation a warranty of nonapplicability of
antidumping duties with respect to the merchandise which was:
(i) Sold before the date of publication of the Secretary's order
suspending liquidation; and
(ii) Exported before the date of publication of the Secretary's final
determination.
Ordinarily, the Secretary will deduct for reimbursement of
antidumping duties only once in the calculation of the United States
price.
(b) Certificate. The importer shall file prior to liquidation a
certificate in the following form with the appropriate District Director
of Customs:
I hereby certify that I (have) (have not) entered into any agreement
or understanding for the payment or for the refunding to me, by the
manufacturer, producer, seller, or exporter, of all or any part of the
antidumping duties assessed upon the following importations of XXXX
(commodity) from XXXX (country): (List entry numbers) which have been
purchased on or after XXXX (date of publication of notice suspending
liquidation in the Federal Register) or purchased before XXXX (same
date) but exported on or after XXXX (date of final determination of
sales at less than fair value).
(c) Presumption. The Secretary may presume from an importer's
failure to file the certificate required in paragraph (b) that the
producer or reseller paid or reimbursed the antidumping duties.
19 CFR 353.27 Procedures for initiation of downstream product
monitoring.
(a) In general. A domestic producer of an article that is like a
component part or a downstream product may file an application pursuant
to this section requesting that the Secretary designate a downstream
product for monitoring.
(b) Contents of application. The application shall contain the
following information, to the extent reasonably available to the
applicant:
(1) The name and address of the person requesting the monitoring and
a description of the article it produces which is the basis for filing
its application;
(2) A detailed description of the downstream product in question;
(3) A detailed description of the component product incorporated into
such downstream product, including the value of the component part in
relation to the value of the downstream product, and the extent to which
the component part has been substantially transformed as a result of its
incorporation into the downstream product;
(4) The name of the home market country of both the downstream and
component products and the name of any intermediate country through
which these products are transshipped;
(5) The name and address of all known producers of component parts
and downstream products in the relevant countries and a detailed
description of any relationship between such producers;
(6) Whether the component part is already subject to monitoring to
aid in the enforcement of a bilateral arrangement within the meaning of
Section 804 of the Trade and Tariff Act of 1984;
(7) A list of all antidumping or countervailing duty investigations
suspended under 353.18 or 355.18, or antidumping or countervailing
duty orders issued under 353.21 or 355.21 on merchandise related to
the component part and manufactured in the same foreign country in which
the component part is manufactured;
(8) A list of all antidumping or countervailing duty investigations
suspended under 353.18 or 355.18 or antidumping or countervailing
orders issued under 353.21 or 355.21 on merchandise manufactured or
exported by the manufacturer or exporter of the component part that is
similar in description and use to the component part; and
(9) The reasons for suspecting that the imposition of antidumping or
countervailing duties has resulted in a diversion of exports of the
component parts into increased production and exportation to the United
States of such downstream product.
(c) Determination of sufficiency of application -- (1) In general.
Within 14 days after an application is filed under paragraph (b) of this
section, the Secretary will determine the sufficiency of the
application. An application is considered to be filed at the time it is
received by the Secretary. In order to determine that an application is
sufficient, the Secretary must find:
(i) There is a reasonable likelihood that imports of the downstream
product into the United States will increase as an indirect result of
any diversion with respect to the component part; and
(ii) That --
(A) The component part is already subject to monitoring with respect
to the enforcement of a bilateral arrangement within the meaning of
Section 804 of the Trade and Tariff Act of 1984, or
(B) Merchandise related to the component part and manufactured in the
same foreign country in which the component part is manufactured has
been the subject of a significant number of antidumping or
countervailing duty investigations suspended under 353.18 or 355.18,
or antidumping or countervailing duty orders issued under 353.21 or
355.21, or
(C) Merchandise manufactured or exported by the manufacturer or
exporter of the component part that is similar in description and use to
the component part has been the subject of at least two antidumping or
countervailing duty investigations suspended under 353.18 or 355.18,
or antidumping or countervailing orders issued under 353.21 or 355.21.
(2) In making a determination under paragraph (c)(1)(i) of this
section, the Secretary will consider all factors the Secretary considers
relevant and may, if appropriate, take into account such factors as:
(i) The value of the component part in relation to the value of the
downstream product;
(ii) The extent to which the component part has been substantially
transformed as a result of its incorporation into the downstream
product; and
(iii) The relationship between the producers of the component part
and producers of the downstream product.
(d) Notice of Determination. The Secretary will publish in the
Federal Register notice of each affirmative or negative ''monitoring''
determination made under paragraph (c) of this section and if the
determination under (c)(1)(i) and under any clause of (c)(1)(ii) are
affirmative, will transmit to the Commission a copy of the determination
and the application. The Secretary will make available to the
Commission, and to its employees directly involved in the monitoring,
all information upon which the Secretary based the initiation.
(e) Action on basis of monitoring reports. The Secretary will review
the information in any monitoring reports submitted to the Department by
the Commission under section 780 of the Act and will:
(1) Consider the information in determining whether to initiate an
investigation under 353.11 regarding any downstream product; and
(2) Request the Commission to cease monitoring any downstream product
if the information indicates that imports into the United States are not
increasing and there is no reasonable likelihood of diversion with
respect to the component part.
(f) Definitions. (1) ''Downstream product'' means any manufactured
product imported into the United States into which a component part is
incorporated.
(2) ''Component part'' means any imported article which:
(i) During the previous five-year period, ending on the date on which
the application is filed under paragraph (b) of this section, has been
subject to --
(A) An antidumping or countervailing duty order issued under 353.21
or 355.21 that required the deposit of estimated antidumping or
countervailing duties, applicable to the particular manufacturer or
exporter, at a rate of at least 15 percent ad valorem or,
(B) A suspension agreement entered into under 353.18 or 355.18
after a preliminary determination under 353.15 or 355.15 was made by
the Secretary which included a determination that the estimated net
antidumping margin or subsidy rate, applicable to the particular
manufacturer or exporter, was at least 15 percent ad valorem; and
(ii) Due to its inherent characteristics, is routinely used as a
major part, material, component, assembly, or subassembly in a
downstream product.
(g) Where to file; time of filing; format and number of copies.
The requirements of 353.31(d), (e), (f), and (g) apply to this section.
(55 FR 9047, Mar. 9, 1990)
19 CFR 353.28 Procedures for the correction of ministerial errors.
(a) In general. The Secretary will disclose the calculations
performed in connection with a final antidumping duty determination
pursuant to 353.20, or in a final results of an administrative review
of an antidumping duty order pursuant to 353.22, to any party to the
proceeding making a request in accordance with this section. A party to
the proceeding must file such a request in writing with the Secretary
within five business days of the date of publication of the relevant
final determination or final results of administrative review. A party
to whom the Secretary has disclosed final calculations may submit
comments concerning any ministerial errors in such calculations.
(b) Time limits. Comments must be filed within five business days
after the date of disclosure unless the Secretary extends the time limit
based upon a written request for extension that is filed within five
business days after the date of disclosure and showing cause for such
extension. Comments shall be submitted in writing to the Secretary and
shall be served on all interested parties on the Department's service
list. Interested parties may file replies to any comments submitted
under paragraph (a) of this section. Any replies must be filed with the
Secretary within five business days after the date the relevant comments
under paragraph (a) of this section are received by that party and shall
be served on all interested parties on the Department's service list.
All service of interested parties on the Department's service list
pursuant to this paragraph shall be in accordance with 353.31(g).
Notwithstanding the provisions of 353.34(d), the Secretary may permit
representatives to retain proprietary information released under
administrative protective order under 353.34 until the expiration of
the time for filing for judicial review of the Secretary's correction of
any ministerial errors. If the Secretary determines there are no
ministerial errors, proprietary information will be returned in
accordance with the provisions of 353.34(d).
(c) Corrections. The Secretary will analyze any comments received
and, if appropriate, correct any ministerial errors by amending the
final antidumping determination or final results of administrative
review. Such corrections will be published in the Federal Register. A
correction notice does not alter the anniversary month of an order or
suspension of investigation for purposes of requesting an administrative
review under 353.22.
(d) Definition of ''ministerial error.'' For purposes of this
section, ''ministerial error'' means an error in addition, subtraction,
or other arithmetic function, clerical error resulting from inaccurate
copying, duplication, or the like, and any other type of unintentional
error which the Secretary considers ministerial.
(55 FR 9048, Mar. 9, 1990)
19 CFR 353.29 Scope determination.
(a) Self-initiation. If the Secretary determines from available
information that an inquiry is warranted to determine whether a product
is included within the scope of an antidumping order, the Secretary will
initiate an inquiry and notify all interested parties on the
Department's service lists of its initiation of a scope inquiry.
(b) By application. Any interested party, as defined in 353.2(k),
may file an application to determine whether a particular product is
within the scope of an order. The application shall contain the
following, to the extent reasonably available to the interested party:
(1) A detailed description of the product, including technical
characteristics and uses of the product, and its current U.S. Tariff
Classification number;
(2) A statement of the interested party's position as to whether the
product is within the scope of an antidumping order, including --
(i) A summary of the reasons for this conclusion,
(ii) Citations to any applicable statutory authority, and
(iii) Attachment of any factual support for this position, including
applicable portions of the Secretary's or the Commission's
investigation.
Where all of these conditions are met, the Secretary will evaluate
the application. If the Secretary determines that no inquiry is
warranted to determine whether a product is included within the scope of
an order, the Secretary will issue a final ruling as to whether the
merchandise which is the subject of the application is included in the
existing order. The Secretary will, by mail, notify all interested
parties on the Department's service lists of its determination. If,
however, the Secretary determines that a scope inquiry is warranted, the
Secretary will, by mail, notify all interested parties on the
Department's service lists of the initiation of a scope inquiry.
(c) Notice. Any initiation of a scope inquiry issued pursuant to
paragraphs (a) or (b) of this section will include:
(1) A description of the product that is the subject of the scope
inquiry; and
(2) An explanation of the reasons for the Secretary's decision to
intiate a scope inquiry; and
(3) A schedule for submission of comments.
(d) Procedures for scope inquiry. Except as provided under paragraph
(d)(6) of this section, the procedures for scope inquiries will be as
follows:
(1) Interested parties shall file any comments not later than twenty
days after receipt of the notification described in paragraph (c) of
this section, unless the Secretary alters this time limit;
(2) Not later than the time limit stated in the notification
described in paragraph (c) of this section (ordinarily five days after
the time limit for filing the comments described in paragraph (d)(1) of
this section), any interested party may submit rebuttal comments;
(3) Whenever the Secretary determines that a scope inquiry presents
an issue of significant difficulty, the Secretary will issue a
preliminary scope ruling, based upon the available information at the
time, as to whether there is a reasonable basis to believe or suspect
that the product subject to a scope inquiry is included within the
order. The Secretary will, by mail, notify all interested parties on
the Department's service lists of its preliminary scope ruling and
provide an invitation for comment. Unless otherwise specified, the
Secretary will provide all interested parties thirty days from the date
of receipt of the notification for comment;
(4) The Secretary may issue questionnaries or verify submissions
received, where appropriate;
(5) The Secretary will issue a final ruling as to whether the product
which is the subject of the scope inquiry is included in the existing
order, including an explanation of the factual and legal conclusions on
which the final ruling is based. The Secretary will, by certified mail,
return receipt requested, notify all interested parties on the
Department's service lists of its final scope ruling;
(6) When a 353.22 review is in progress at the time the Secretary
provides the notification outlined in paragraph (c) of this section, the
scope inquiry, in the Secretary's discretion, may be conducted in
conjunction with a 353.22(c) review;
(7) Prior to issuing a ruling in accordance with paragraph (d) (3) or
(5) of this section or 353.22(c)(4) or 353.22(c)(8) to include
products within the scope of an order pursuant to --
(i) Paragraph (e) of this section, other than operations in the
United States involving minor completion or assembly,
(ii) Paragraph (f) of this section, or
(iii) Paragraph (h) of this section, with respect to later-developed
products which incorporate a significant technological advance or
significant alteration of an earlier product, the Secretary will notify
the Commission in writing of the proposed inclusion of such products in
the order. Upon the written request of the Commission, the Secretary
will consult with the Commission regarding the proposed inclusion, and
any such consultation will be completed within 15 days after the date of
such request. If the Commission believes, after such consultation, that
a significant injury issue is presented by the proposed inclusion, the
Commission may provide written advice to the Secretary as to whether the
inclusion would be inconsistent with the affirmative determination of
the Commission on which the order is based; and
(8) On a quarterly basis, the Secretary will publish in the Federal
Register a list of scope rulings completed within the last three months.
This list will include the case name, reference number, and a brief
description of the ruling.
(e) Products completed or assembled in the United States.
(1) In General. If --
(i) A product sold in the United States is of the same class or kind
as merchandise that is the subject of an order, and
(ii) Such product sold in the United States is completed or assembled
in the United States from parts or components produced in the foreign
country with respect to which such order applies, and
(iii) The difference between the value of such product sold in the
United States and the value of the imported parts and components
referred to in paragraph (e)(1)(ii) is small,
the Secretary, after taking into account any advice provided by the
Commission under paragraph (d)(7) of this section, may include within
the scope of such order the imported parts or components referred to in
paragraph (e)(1)(ii) that are used in the completion or assembly of the
merchandise in the United States at any time such order is in effect.
(2) Factors to consider. In determining whether to include parts or
components in an order under paragraph (e)(1) of this section, the
Secretary will take into account such factors as:
(i) The pattern of trade;
(ii) Whether the manufacturer or exporter of the parts or components
is related to the person who assembles or completes the merchandise sold
in the United States from the parts or components produced in the
foreign country with respect to which the order described in paragraph
(e)(1) of this section applies; and
(iii) Whether imports into the United States of the parts or
components produced in such foreign country have increased after the
issuance of such order.
(f) Products completed or assembled in other foreign countries -- (1)
In General. If --
(i) A product imported into the United States is of the same class or
kind as the merchandise that is the subject of an order,
(ii) Before importation into the United States, such imported product
is completed or assembled in another foreign country from merchandise
which is subject to such order, or is produced in the foreign country
with respect to which such order applies,
(iii) The difference between the value of such imported product and
the value of the merchandise described in paragraph (f)(1)(ii) is small,
and
(iv) The Secretary determines that action is appropriate under this
paragraph to prevent evasion of such order,
the Secretary, after taking into account any advice provided by the
Commission under paragraph (d)(7) of this section, may include such
imported products within the scope of such order at any time such order
is in effect.
(2) Factors to consider. In determining whether to include a product
in an order under paragraph (f)(1) of this section, the Secretary will
take into account such factors as:
(i) The pattern of trade;
(ii) Whether the manufacturer or exporter of the product described in
paragraph (f)(1)(ii) is related to the person who uses the merchandise
described in paragraph (f)(1)(ii) to assemble or complete in the foreign
country the product that is subsequently imported into the United
States; and
(iii) Whether imports into the foreign country of the product
described in paragraph (f)(1)(ii) have increased after the issuance of
such order.
(g) Minor alterations of merchandise -- (1) In general. The class or
kind of merchandise subject to an investigation or order will include
articles altered in form or appearance in minor respects (including raw
agricultural products that have undergone minor processing), whether or
not included in the same tariff classification.
(2) Exception. Paragraph (g)(1) of this section will not apply with
respect to altered merchandise if the Secretary determines that it would
be unnecessary to consider the altered merchandise within the scope of
the investigation or order.
(h) Later-developed products -- (1) In general. For purposes of
determining whether a product developed after an antidumping
investigation is initiated (hereafter in this paragraph referred to as
the ''later-developed merchandise'') is within the scope of an order,
the Secretary will consider whether:
(i) The later-developed product has the same general physical
characteristics as the merchandise with respect to which the order was
originally issued (hereafter in this paragraph referred to as the
''earlier merchandise'');
(ii) The expectations of the ultimate purchasers of the
later-developed product are the same as for the earlier merchandise;
(iii) The ultimate use of the earlier merchandise and the
later-developed product are the same;
(iv) The later-developed product is sold through the same channels of
trade as the earlier merchandise; and
(v) The later-developed product is advertised and displayed in a
manner similar to the earlier merchandise.
The Secretary will take into account any advice provided by the
Commission under paragraph (d)(7) of this section before making a
determination under this paragraph.
(2) Exclusion from orders. The Secretary may not exclude
later-developed products from an order merely because the products:
(i) Are classified under a tariff classification other than that
identified in the petition or the Secretary's prior notices during the
proceeding; or
(ii) Permit the purchaser to perform additional functions, unless
such additional functions constitute the primary use of the products and
the cost of the additional functions constitute more than a significant
proportion of the total cost of production of the products.
(i) Other scope determinations. With respect to those scope
determinations that are not covered under paragraph (e) through (h) of
this section, in considering whether a particular product is within the
class or kind of merchandise described in an existing order, the
Secretary will take into account the following:
(1) The descriptions of the merchandise contained in the petition,
the initial investigation, and the determinations of the Secretary and
the Commission.
(2) When the above criteria are not dispositive, the Secretary will
further consider:
(i) The physical characteristics of the product;
(ii) The expectations of the ultimate purchasers;
(iii) The ultimate use of the product; and
(iv) The channels of trade.
(j) Suspension of liquidation.
(1) When the Secretary initiates a scope inquiry pursuant to
paragraph (c) of this section, and the subject product is already
subject to suspension of liquidation, that suspension of liquidation
will be continued pending a preliminary or a final scope ruling. Any
suspension of liquidation will be at the cash deposit of estimated duty
rate that will apply if the subject product is ruled to be included
within the scope of the order.
(2) If the Secretary issues a preliminary scope ruling pursuant to
paragraph (d)(3) of this section to the effect that the subject product
is included within the scope of the order, any suspension of liquidation
described in paragraph (j)(1) of this section will continue. Where
there has been no suspension of liquidation, the Secretary will instruct
the Customs Service to suspend liquidation and require a cash deposit of
estimated duties, at the applicable rate, for each suspended entry of
the product entered, or withdrawn from warehouse, for consumption on or
after the date of the preliminary scope ruling. If the Secretary issues
a preliminary scope ruling to the effect that the subject product is not
included within the scope of the order, the Secretary will order any
suspension of liquidation on the subject product ended and will instruct
the Customs Service to refund any cash deposits or release any bonds
relating to this product.
(3) If the Secretary issues a final scope ruling, pursuant to either
paragraph (b) or (d) (5) of this section, to the effect that the subject
product is included within the scope of the order, any suspension of
liquidation pursuant to paragraph (j)(1) or (j)(2) of this section will
continue. Where there has been no suspension of liquidation, the
Secretary will instruct the Customs Service to suspend liquidation and
require a cash deposit of estimated duties, at the applicable rate, for
each entry of the product entered, or withdrawn from warehouse, for
consumption on or after the date of the final scope ruling. If the
Secretary's final scope ruling is to the effect that the subject product
is not included within the scope of the order, the Secretary will order
any suspension of liquidation on the subject product ended and will
instruct the Customs Service to refund any cash deposits or release any
bonds relating to this product.
(k) Where to file; time of filing; format and number of copies.
The requirements of 353.31 (d), (e), (f), and (g) apply to this
section.
(55 FR 9049, Mar. 9, 1990)
19 CFR 353.29 Subpart C -- Information and Argument
19 CFR 353.31 Submission of factual information.
(a) Time limits in general. (1) Except as provided in paragraphs
(a)(2) and (b) of this section, submissions of factual information for
the Secretary's consideration shall be submitted not later than:
(i) For the Secretary's final determination, seven days before the
scheduled date on which the verification is to commence;
(ii) For the Secretary's final results of an administrative review
under 353.22 (c) or (f), the earlier of the date of publication of
notice of preliminary results of review or 180 days after the date of
publication of notice of initiation of the review; or
(iii) For the Secretary's final results of an expedited review under
353.22(g), a date specified by the Secretary.
(2) Any interested party, as defined in paragraphs (k)(3), (k)(4),
(k)(5), and (k)(6) of 353.2, may submit factual information to rebut,
clarify, or correct factual information submitted by an interested
party, as defined in paragraph (k)(1) or (k)(2) of 353.2, at any time
prior to the deadline provided in this section for submission of such
factual information or, if later, 10 days after the date such factual
information is served on the interested party or, if appropriate, made
available under administrative protective order to the interested party.
(3) The Secretary will not consider in the final determination or the
final results, or retain in the record of the proceeding, any factual
information submitted after the applicable time limit. The Secretary
will return such information to the submitter with written notice
stating the reasons for return of the information.
(b) Questionnaire responses and other submissions on request. (1)
Notwithstanding paragraph (a) of this section, the Secretary may request
any person to submit factual information at any time during a
proceeding.
(2) In the Secretary's written request to an interested party for a
response to a questionnaire or for other factual information, the
Secretary will specify the time limit for response. The Secretary
normally will not consider or retain in the record of the proceeding
unsolicited questionnaire responses, and in no event will the Secretary
consider unsolicited questionnaire responses submitted after the date of
publication of the Secretary's preliminary determination. The Secretary
will return to the submitter, with written notice stating the reasons
for return of the document, any untimely or unsolicited questionnaire
responses rejected by the Department.
(3) Ordinarily, the Secretary will not extend the time limit stated
in the questionnaire or request for other factual information. Before
the time limit expires, the recipient of the Secretary's request may
request an extension. The request must be in writing and state the
reasons for the request. Only the following employees of the Department
may approve an extension: the Assistant Secretary for Import
Administration, the Deputy Assistant Secretary for Import
Administration, the Deputy Assistant Secretary for Investigations, the
Deputy Assistant Secretary for Compliance, and the office or division
director responsible for the proceeding. An extension must be approved
in writing.
(4) Subject to the other provisions of paragraph (b) of this section,
questionnaire responses in administrative reviews must be submitted not
later than 60 days after the date of receipt of the questionnaire.
(c) Time limits for certain allegations. (1) The Secretary will not
consider any allegation of sales below the cost of production that is
submitted by the petitioner or other interested party, as defined in
paragraph (k)(3), (k)(4), (k)(5), or (k)(6) of 353.2, later than:
(i) In an investigation, 45 days before the scheduled date for the
Secretary's preliminary determination, unless a relevant response is, in
the Secretary's view, untimely or incomplete, in which case the
Secretary will determine the time limit;
(ii) In an administrative review under 353.22 (c) or (f), 120 days
after the date of publication of the notice of initiation of the review,
unless a relevant response is, in the Secretary's view, untimely or
incomplete, in which case the Secretary will determine the time limit;
or
(iii) In an expedited review under 353.22(g), 10 days after the date
of publication of the notice of initiation of the review.
(2) The Secretary will not consider any allegation in an
investigation that the petitioner lacks standing unless the allegation
is submitted, together with supporting factual information, not later
than 10 days before the scheduled date for the Secretary's preliminary
determination.
(3) Any interested party may request in writing not later than the
time limits specified in paragraph (c)(1) or (c)(2) of this section, as
applicable, an extension of those time limits. If the Assistant
Secretary for Import Administration concludes that an extension would
facilitate the proper administration of the law, the Assistant Secretary
may grant an extension of not longer than 10 days in an investigation or
30 days in an administrative review.
(d) Where to file; time of filing. Address and submit documents to
the Secretary of Commerce, Attention: Import Administration, Central
Records Unit, Room B-099, U.S. Department of Commerce, Pennsylvania
Avenue and 14th St., NW., Washington, DC 20230, between the hours of
8:30 a.m. and 5:00 p.m. on business days. For all time limits in this
part, the Secretary will consider documents received when stamped by the
Central Records Unit with the date and time of receipt. If the time
limit expires on a non-business day, the Secretary will accept documents
that are filed on the next following business day.
(e) Format and number of copies -- (1) In general. Unless the
Secretary alters the requirements of this section, submitters shall make
all submissions in the format specified in paragraph (e) of this
section. The Secretary may refuse to accept for the record of the
proceeding any submission that does not conform to the requirements of
paragraph (e) of this section.
(2) Documents. In an investigation, submit 10 copies of any
document, except a computer printout, and, if a person has requested
that the Secretary treat portions of the document as proprietary
information, submit five copies of a public version of the document,
including any public summaries required under 353.32(b) as substitutes
for the portions for which the person has requested proprietary
treatment; and if administrative protective order versions are required
to be served pursuant to 353.31(g) (1) or (2), submit one copy of the
cover page, marked as described in paragraph (e)(2)(v), together with
only those pages that differ from the public or proprietary versions.
In an administrative review, scope inquiry, or downstream product
monitoring application, submit seven copies of any document, except a
computer printout; and if a person has requested that the Secretary
treat portions of the document as proprietary information, submit three
copies of a public version of the document, as described above; and
submit one copy of any administrative protective order versions required
to be served pursuant to 353.31(g) (1) or (2), as described above. In
an investigation, administrative review, scope inquiry, or downstream
product monitoring application, submit documents, if prepared for that
segment of the proceeding, on letter-size paper, single-sided and
double-spaced. Securely bind each copy as a single document with any
letter of transmittal as the first page of the document. Mark the first
page of each document in the upper right-hand corner with the following
information in the following format:
(i) On the first line, except for a petition, the Department case
number;
(ii) On the second line, the total number of pages in the document
including cover pages, appendices, and any unnumbered pages;
(iii) On the third line, state whether the document is for an
investigation, scope inquiry, downstream product monitoring application,
or an administrative review and, if the latter, the inclusive dates of
the review;
(iv) On the fourth and subsequent lines, state whether any portion of
the document contains classified, privileged, or proprietary information
and, if so, list the applicable page numbers and state either ''Document
May be Released Under APO'' or ''Document May Not be Released Under
APO'' (see 353.32(c) and 353.34); and
(v) For administrative protective order versions, described in
353.31(g) (1) or (2), complete the marking as required in paragraphs
(i)-(iv) above for the proprietary document, but conspicuously mark the
first page ''APO Version Prepared for (Name of party entitled to receive
materials)''; and
(vi) For public versions of proprietary documents, required by
353.32(b), complete the marking as required in paragraphs (e)(2)
(i)-(iv) of this section for the proprietary document, but conspicuously
mark the first page ''Public Version.''
(3) Computer tapes and printouts. The Secretary may require
submission of factual information on computer tape unless the Secretary
decides that the submitter does not maintain records in computerized
form and cannot supply the requested information on computer tape
without unreasonable additional burden in time and expense. In an
investigation or administrative review, the tape shall be accompanied by
three copies of any computer printout and three copies of the public
version of the printout.
(f) Translation to English. Unless the Secretary waives in writing
this requirement for an individual document, any document submitted
which is in a foreign language must be accompanied by an English
translation.
(g) Service of copies on other parties. With the exception of
petitions, proposed suspension agreements submitted under
353.18(g)(1)(i), and factual information submitted under 353.32(a) that
is not required to be served on an interested party, the submitter of a
document shall, at the same time, serve either a copy of the document or
a copy of the public version required by 353.32(b), on all interested
parties on the Department's service list by first class mail or personal
service. In addition, where proprietary information is involved, the
submitter shall serve the following administrative protective order
versions:
(1) With respect to parties to the proceeding that are subject to
administrative protective orders under 353.34, the submitter of a
document shall include that proprietary information that the interested
party is entitled to receive under the terms of the administrative
protective order, as well as the party's own proprietary information,
but no other proprietary information;
(2) With respect to interested parties that are not subject to an
administrative protective order, but when the submission contains that
interested party's proprietary information, the submitter of a document
shall serve the interested party with a version that contains just the
interested party's own proprietary information.
The Secretary will not accept any document that is not accompanied by
a certificate of service listing the parties served, the type of
document served, and, for each, indicating the date and method of
service.
(h) Service list. The Central Records Unit will maintain and make
available a service list for each proceeding. Each interested party
which asks to be on the service list shall designate a person to receive
service of documents filed in a proceeding.
(i) Certifications. Any interested party which submits factual
information to the Secretary must submit with the factual information
the certification in paragraph (i)(1) and, if the party has legal
counsel or another representative, the certification in paragraph (i)(2)
of this section:
(1) For the interested party's official responsible for presentation
of the factual information:
I, (name and title), currently employed by (interested party),
certify that (1) I have read the attached submission, and (2) the
information contained in this submission is, to the best of my
knowledge, complete and accurate.
(2) For interested party's legal counsel or other representative:
I, (name), of (law or other firm), counsel or representative to
(interested party), certify that (1) I have read the attached
submission, and (2) based on the information made available to me by
(interested party), I have no reason to believe that this submission
contains any material misrepresentation or omission of fact.
(53 FR 12769, Mar. 28, 1988, as amended at 55 FR 9051, Mar. 9, 1990)
19 CFR 353.32 Request for proprietary treatment of information.
(a) Submission and content of request. (1) Any person who submits
factual information to the Secretary in connection with a proceeding may
request that the Secretary treat that information, or any specified
part, as proprietary.
(2) The submitter shall identify proprietary information on each page
by placing brackets around the proprietary information and clearly
stating at the top of each page containing such information
''Proprietary Treatment Requested.'' The submitter shall provide a full
explanation why each piece of factual information subject to the request
is entitled to proprietary treatment under 353.4. The request and
explanation shall be a part of or securely bound with the document
containing the information.
(b) Public summary. All requests for proprietary treatment shall
include or be accompanied by:
(1) An adequate public summary of all proprietary information,
incorporated in the public version of the document (generally, numeric
data are adequately summarized if grouped or presented in terms of
indices, or figures within 10 percent of the actual figure, and if an
individual portion of the data is voluminous, at least one percent
representative of that portion is individually summarized in this
manner); or
(2) A statement itemizing those portions of the proprietary
information which cannot be summarized adequately and all arguments
supporting that conclusion for each portion.
(c) Agreement to release. All requests for proprietary treatment
shall include either an agreement to permit disclosure under
administrative protective order, or a statement itemizing which portions
of the proprietary information should not be released under
administrative protective order and all arguments supporting that
conclusion for each portion. The Secretary ordinarily will not provide
the submitter further opportunity for argument on whether to grant a
request for disclosure under administrative protective order.
(d) Return of information as a result of nonconforming request. The
Secretary may return to the submitter any factual information for which
the submitter requested proprietary treatment when the request does not
conform to the requirements of this section and in any event will not
consider the information. If the Secretary returns the information, the
Secretary will provide a written explanation of the reasons why it does
not conform and will not consider it unless it is resubmitted with a new
request which complies with the requirements of this section not later
than two business days after receipt of the Department's explanation for
rejection of the information.
(e) Status during consideration of request. While considering
whether to grant a request for proprietary treatment, the Secretary will
not disclose or make public the information. The Secretary normally
will decide not later than 14 days after the Secretary receives the
request.
(f) Treatment of proprietary information. Unless the Secretary
otherwise provides, the person to whom the Secretary discloses
information shall not disclose the information to any other person. The
Secretary may disclose factual information which the Secretary decides
is proprietary only to:
(1) A representative of an interested party who requests and is
granted an administrative protective order under 353.34;
(2) An employee of the Department directly involved in the proceeding
for which the information is submitted;
(3) An employee of the Commission directly involved in the proceeding
for which the information is submitted;
(4) An employee of the Customs Service directly involved in
conducting a fraud investigation relating to an antidumping duty
proceeding on the merchandise;
(5) Any person to whom the submitter specifically authorizes (in
writing) disclosure; and
(6) A charged party or counsel for the charged party under part 354
of this title (19 CFR Part 354).
(g) Denial of request for proprietary treatment. If the Secretary
decides that the factual information does not warrant proprietary
treatment in whole or in part, the Secretary will notify the submitter.
Unless the submitter agrees that the information be considered public,
the Secretary will return the information to the submitter with written
notice stating the reasons for return of the information and will not
consider it in the proceeding.
19 CFR 353.33 Information exempt from disclosure.
Privileged or classified information is exempt from disclosure to the
public or to representatives of interested parties.
19 CFR 353.34 Disclosure of proprietary information under
administrative protective order.
(a) In general. Upon receipt of an application (before or after
receipt of the information requested) which describes in general terms
the information requested and sets forth the reasons for the request,
the Secretary shall require all proprietary information presented to, or
obtained by it, during a segment of a proceeding (except privileged
information, classified information, and specific information of a type
for which there is a clear and compelling need to withhold from
disclosure) to be disclosed to interested parties who are parties to the
proceeding under a protective order described in this section,
regardless of when the information is submitted during the segment of
the proceeding.
(b) Request for disclosure. (1) A representative must file a request
for disclosure under administrative protective order not later than the
later of:
(i) 30 days after the date of publication in the Federal Register of
the notice of initiation under 353.11 or 353.13, or the notice of
initiation of administrative review under 353.22; or
(ii) 30 days after the initiation of a scope inquiry pursuant to
353.29(a) or (b); or
(iii) 10 days after the date the representative's client or employer
becomes a party to the proceeding, but in no event later than the date
the case briefs, under 353.38 are due.
(2) The representative must file the request for disclosure on the
standard form provided by the Secretary (Form ITA-367). The standard
form will require only such particularity in the description of the
requested information as is consistent with both the criteria the
Secretary uses to decide whether to disclose, and with the fact that a
request may be made for factual information not yet submitted.
(3) The request shall obligate the representative:
(i) Not to disclose the proprietary information to anyone other than
the submitter and other persons authorized by an administrative
protective order to have access to the information;
(ii) To use the information solely for the segment of the proceeding
in which it was submitted;
(iii) To ensure the security of the proprietary information at all
times; and
(iv) To report promptly to the Secretary any apparent violation of
the terms of the protective order.
(4) The request shall contain an acknowledgment by the representative
that:
(i) A representative determined to have violated a protective order
may be subject to any or all of the sanctions listed in part 354 of this
title; and
(ii) The firm of which a person determined to have violated a
protective order is a partner, associate, or employee, and any partner,
associate, employer, or employee of such person, may be subject to any
or all of the sanctions listed in part 354 of this title.
(5) The Secretary will decide whether to disclose information under
administrative protective order:
(i) Not later than 14 days after the date on which the information is
submitted; or
(ii) If --
(A) The person who submitted the information raises objection to its
release, or
(B) The information is usually voluminous or complex,
not later than 30 days after the date on which the information is
submitted.
(6) If the Secretary decides that disclosure of information under
administrative protective order is proper under paragraph (5), above:
(i) With respect to proprietary information submitted to the
Secretary on or before the date of the decision to disclose, the
submitting party shall, within two business days of the date of
decision, serve the party which requested such disclosure, in accordance
with 353.31(g); and
(ii) The submitting party shall serve all future submissions of
proprietary information directly on the requesting party as required by
353.31(g).
(c) Opportunity to withdraw proprietary information. If the
Secretary decides to require disclosure of proprietary information under
administrative protective order without the consent of the submitter,
the Secretary will provide to the submitter written notice of the
decision and the reasons therefor and will permit the submitter to
withdraw the information from the official record within two business
days. The Secretary will not consider withdrawn information.
Furthermore, if the submitter does not withdraw the information but
fails to serve the party requesting such information, in accordance with
353.34(b)(6), the Secretary will not consider such information.
(d) Disposition of proprietary information disclosed under
administrative protective order. (1) At the expiration of the time for
filing for judicial review of a decision by the Secretary, if there is
no filing by any party to the proceeding, or at an earlier date the
Secretary decides appropriate, the representative must return or destroy
all proprietary information released under this section and all other
materials containing the proprietary information (such as notes or
memoranda). The representative at that time must certify to the
Secretary full compliance with the terms of the protective order and the
return or destruction of all proprietary information.
(2) The representative of a party to the proceeding that files for
judicial review or intervenes in the judicial review may retain the
proprietary information, provided that the party applies for a court
protective order for the information not later than 15 days after the
Secretary files the administrative record with the court. If the court
denies the party's application for a court protective order, the
representative must return or destroy the proprietary information and
all other materials containing the proprietary information not later
than 48 hours after the court's decision and certify to the Secretary as
provided under paragraph (d)(1) of this section.
(e) Violation of administrative protective order. The procedures for
investigating any alleged violation of an administrative protective
order issued under this section and for imposing sanctions for a
violation of such order are set forth in part 354 of this title (19 CFR
Part 354).
(53 FR 12769, Mar. 28, 1988, as amended at 55 FR 9052, Mar. 9, 1990)
19 CFR 353.35 Ex parte meeting.
The Secretary will prepare for the official record a written
memorandum of any ex parte meeting between any person providing factual
information in connection with a proceeding and the person to whom the
Secretary has delegated the authority to make the decision in question
or the person making a final recommendation to that person. The
memorandum will include the date, time, and place of the meeting, the
identity and affiliation of all persons present, and a public summary of
the factual information submitted.
19 CFR 353.36 Verification of information.
(a) In general. (1) The Secretary will verify all factual
information the Secretary relies on in:
(i) A final determination under 353.18(i) or 353.20;
(ii) The final results of an expedited review under 353.22(g);
(iii) A revocation under 353.25;
(iv) The final results of an administrative review under 353.22 (c)
or (f) if the Secretary decides that good cause for verification exists;
and
(v) The final results of an administrative review under 353.22(c)
if:
(A) An interested party, as defined in paragraph (k)(3), (k)(4),
(k)(5), or (k)(6) of 353.2, not later than 120 days after the date of
publication of the notice of initiation of review, submits a written
request for verification; and
(B) The Secretary conducted no verification under this paragraph
during either of the two immediately preceding administrative reviews.
(2) If the Secretary decides that, because of the large number of
producers and resellers included in an investigation or administrative
review, it is impractical to verify relevant factual information for
each person, the Secretary may select and verify a sample. The
Secretary will apply the results of the verification of the sample to
all producers and resellers included in the investigation or review.
(b) Notice of verification. In publishing a notice of final
determination, revocation, or final results of administrative review,
the Secretary will report the methods and procedures used to verify
under this section.
(c) Procedures for verification. In verifying under this section,
the Secretary will notify the government of the foreign country in which
verification takes place that employees of the Department will visit
with producers or resellers in order to verify the accuracy and
completeness of submitted factual information. As part of the
verification, employees of the Department will request access to all
files, records, and personnel of the producers, resellers, importers, or
unrelated purchasers which the Secretary considers relevant to factual
information submitted.
19 CFR 353.37 Best information available.
(a) Use of best information available. The Secretary will use the
best information available whenever the Secretary:
(1) Does not receive a complete, accurate, and timely response to the
Secretary's request for factual information; or
(2) Is unable to verify, within the time specified, the accuracy and
completeness of the factual information submitted.
(b) What is best information available. The best information
available may include the factual information submitted in support of
the petition or subsequently submitted by interested parties, as defined
in paragraph (k)(3), (k)(4), (k)(5), or (k)(6) of 353.2. If an
interested party refuses to provide factual information requested by the
Secretary or otherwise impedes the proceeding, the Secretary may take
that into account in determining what is the best information available.
19 CFR 353.38 Written argument and hearings.
(a) Written argument. The Secretary will consider in making the
final determination under 353.18(i) or 353.20 or the final results
under 353.22 only written arguments in case or rebuttal briefs filed
within the time limits in this section. The Secretary will not consider
or retain in the record of the proceeding any written argument, unless
requested by the Secretary (and received within the time limit specified
by the Secretary), that is submitted after the time limits specified in
this section. At any time during the proceeding, the Secretary may
request written argument on any issue from any interested party or
United States government agency. The Secretary will return to the
submitter, with written notice stating the reasons for return of the
document, any written argument submitted after the time limits specified
in this section or by the Secretary.
(b) Request for hearing. Not later than 10 days after the date of
publication of the Secretary's preliminary determination or preliminary
results of administrative review, unless the Secretary alters this time
limit, any interested party may request that the Secretary hold a public
hearing on arguments to be raised in case or rebuttal briefs. To the
extent practicable, a party requesting a hearing shall identify
arguments to be raised at the hearing. At the hearing, an interested
party may make an affirmative presentation only on arguments included in
that party's case brief and may make a rebuttal presentation only on
arguments included in that party's rebuttal brief.
(c) Case brief. (1) Any interested party or U.S. Government agency
may submit a ''case brief'':
(i) Not later than 50 days after the date of publication of the
Secretary's preliminary determination in an investigation, unless the
Secretary alters this time limit;
(ii) Not later than 30 days after the date of publication of the
preliminary results of administrative review under 353.22 (c) or (f);
or
(iii) At any time specified by the Secretary in an expedited review
under 353.22(g).
(2) The case brief shall separately present in full all arguments
that continue in the submitter's view to be relevant to the Secretary's
final determination or final results, including any arguments presented
before the date of publication of the preliminary determination or
preliminary results.
(d) Rebuttal brief. Not later than the time limit stated in the
notice of the Secretary's preliminary determination or preliminary
results (or otherwise specified by the Secretary for an expedited review
under 353.22(g)), ordinarily five days in an investigation and seven
days in an administrative review after the time limit for filing the
case brief, any interested party or U.S. Government agency may submit a
''rebuttal brief.'' The rebuttal brief shall separately present in full
all rebuttal arguments, responding only to arguments raised in case
briefs.
(e) Service of briefs. The submitter of either a case or rebuttal
brief shall serve a copy of that brief on any interested party on the
Department's service list and on any U.S. Government agency that has
submitted in the segment of the proceeding a case or rebuttal brief. If
the party has designated under 353.31(h) an agent in the United States,
service shall be either by personal service on the same day the brief is
filed with the Secretary or by overnight mail or courier on the next day
and, if the party has designated an agent outside the United States,
service shall be by first class airmail. The submitter shall attach to
each brief a certificate of service listing the parties (including
agents) served and, for each, the date and method of service.
(f) Hearings. If an interested party submits a request under
paragraph (b) of this section, the Secretary will hold a public hearing
on the date stated in the notice of the Secretary's preliminary
determination or preliminary results of administrative review (or
otherwise specified by the Secretary in an expedited review under
353.22(g)), unless the Secretary alters the date. Ordinarily, the
hearing will be held, in an investigation, two days after the scheduled
date for submission of rebuttal briefs and, in an administrative review,
seven days after the scheduled date for submission of rebuttal briefs.
(1) The Secretary will place a verbatim transcript of the hearing in
the public and official records of the proceeding and will announce at
the hearing how interested parties may obtain copies of the transcript.
(2) One of the following employees of the Department will chair the
hearing: the Assistant Secretary for Import Administration; the Deputy
Assistant Secretary for Import Administration; the Deputy Assistant
Secretary for Investigations; the Deputy Assistant Secretary for
Compliance; or the office or division director responsible for the
proceeding.
(3) The hearing is not subject to the Administrative Procedure Act.
Witness testimony, if any, shall not be under oath or subject to
cross-examination by another interested party or witness. During the
hearing, the chair may question any interested party or witness and may
request interested parties to present additional written argument.
(g) Where to file; time of filing. The requirements in 353.31(d)
apply to this section.
(h) Format and number of copies. The requirements in 353.31(e)
apply to this section, except that in an administrative review submit 10
copies of each brief and five copies of the public version, including
the public summary required under 353.32(b).
19 CFR 353.38 Subpart D -- Calculation of United States Price, Fair Value, and Foreign Market Value
19 CFR 353.41 Calculation of United States price.
(a) In general. ''United States price'' means the purchase price or
the exporter's sales price of the merchandise, as appropriate. In
calculating the United States price, the Secretary will use sales or, in
the absence of sales, likely sales, as defined in 353.2(t).
(b) Purchase price. ''Purchase price'' means the price at which the
merchandise is sold or likely to be sold prior to the date of
importation, by a producer or reseller of the merchandise for
exportation to the United States. The Secretary will make appropriate
adjustments for costs and expenses under paragraph (d) of this section
if they are not reflected in the sales price to the importer. Whenever
purchase price is used and there is reason to believe that the sales
price to the importer does not reflect the cost and expenses incident to
bringing the merchandise from the country of exportation, then the
Secretary will make appropriate adjustments for such cost and expenses
under paragraph (d) of this section.
(c) Exporter's sales price. ''Exporter's sales price'' means the
price at which merchandise is sold or likely to be sold in the United
States, before or after the time of importation, by or for the account
of the exporter (defined in section 771(13) of the Act), as adjusted
under paragraphs (d) and (e).
(d) Adjustments to United States price. (1) The Secretary will
increase the United States price by:
(i) When not included in the price, the cost of containers,
coverings, and other expenses incident to placing the merchandise in
condition packed ready for shipment to the United States;
(ii) The amount of any import duties imposed by the country of
exportation which have been rebated, or which have not been collected,
by reason of exportation of the merchandise;
(iii) The amount of any taxes imposed in the country of exportation
directly on the exported merchandise or components thereof, which have
been rebated, or which have not been collected, by reason of the
exportation of the merchandise, but only to the extent that such taxes
are added to or included in the price of such or similar merchandise
sold in the country of exportation; and
(iv) The amount of any countervailing duty imposed on the merchandise
to offset an export subsidy.
(2) The Secretary will reduce the United States price by the amount,
if included in the price, of:
(i) Except as provided in paragraph (d)(1)(iv), any cost and
expenses, and United States import duties incident to bringing the
merchandise from the place of shipment in the country of exportation to
the place of delivery in the United States; and
(ii) Any export tax, duty, or other charge imposed by the country of
exportation on the exportation of the merchandise, other than an export
tax, duty, or other charge described in section 771(6)(C) of the Act.
(e) Additional adjustments to exporter's sales price. The Secretary
also will reduce the exporter's sales price by the amount of:
(1) Commissions for selling in the United States the merchandise;
(2) Expenses generally incurred by or for the account of the exporter
in selling the merchandise, or attributable under generally accepted
accounting principles to the merchandise; and
(3) Any increased value resulting from a process of production or
assembly performed on the merchandise after importation and before sale
to a person who is not the exporter of the merchandise, which value the
Secretary generally will determine from the cost of material,
fabrication, and other expenses incurred in such production or assembly.
19 CFR 353.42 Fair value.
(a) Relationship to foreign market value. Fair value, used during
the investigation, is an estimate of foreign market value. Except as
otherwise specifically noted, a reference in this subpart to ''foreign
market value'' applies to ''fair value,'' but a reference to ''fair
value'' in this subpart does not necessarily apply to ''foreign market
value.''
(b) Sales examined. (1) The Secretary normally will examine not less
than 60 percent of the dollar value or volume of the merchandise sold
during a period of at least 150 days prior to and 30 days after the
first day of the month during which the petition was filed or the
Secretary initiated the investigation under 353.11, but the Secretary
may examine the merchandise for any additional or alternative period the
Secretary concludes is appropriate.
(2) If the Secretary examines less than 85 percent of the dollar
value or volume of the merchandise sold during the period described in
paragraph (b)(1), the Secretary will notify the affected foreign
government what percentage of total sales are being examined.
19 CFR 353.43 Sales used in calculating foreign market value.
(a) Sales and offers for sale. In calculating foreign market value,
the Secretary will use sales, as defined in 353.2(t), and offers for
sale, but the Secretary normally will consider offers only in the
absence of sales and only if the Secretary concludes that acceptance of
the offer can be reasonably expected.
(b) Fictitious sales and offers. In calculating foreign market
value, the Secretary will reject any fictitious sale or offer.
(c) Restricted sales. When sales used to calculate foreign market
value are restricted, the Secretary will adjust the price, as
appropriate, to compensate for restrictions that affect the value of the
merchandise to the purchasers.
19 CFR 353.44 Sales at varying prices.
(a) Weighted-average price or prices. If the sales which the
Secretary may use to calculate foreign market value vary in price (after
allowances provided for in 353.55, 353.56, 353.57, and 353.58), the
Secretary normally will calculate foreign market value based on the
weighted average of those prices.
(b) Preponderant price. If not less than 80 percent of the sales
which the Secretary may use to calculate foreign market value during the
period under examination were made at the same price, the Secretary will
calculate foreign market value based on the sales at that price.
(c) Other reasonable method. If the Secretary decides that paragraph
(b) does not apply and that paragraph (a) is inappropriate, the
Secretary will use any other method for calculating foreign market value
which the Secretary deems appropriate.
(d) Sales below cost of production. For purposes of paragraph (a) or
(b), the Secretary will not use sales disregarded under 353.51.
19 CFR 353.45 Transactions between related persons.
(a) Sales to a related person. If a producer or reseller sold such
or similar merchandise to a person related as described in section
771(13) of the Act, the Secretary ordinarily will calculate foreign
market value based on that sale only if satisfied that the price is
comparable to the price at which the producer or reseller sold such or
similar merchandise to a person not related to the seller.
(b) Sales through a related person. If a producer or reseller sold
such or similar merchandise through a person related as described in
section 771(13) of the Act, the Secretary may calculate foreign market
value based on the sale by such related person.
19 CFR 353.46 Calculation of foreign market value based on price in the
home market country.
(a) In general. (1) The Secretary ordinarily will calculate the
foreign market value of the merchandise based on the price at which such
or similar merchandise is sold or offered for sale in the principal
markets of the home market country, in the usual commercial quantities
and in the ordinary course of trade for home consumption, plus, when not
included in the price, the cost of containers, coverings, and other
expenses incident to placing the merchandise in condition packed ready
for shipment to the United States.
(2) When United States price is based on purchase price, under
353.41(b), the Secretary will calculate foreign market value, under
paragraph (a)(1), based on the price at the time the producer or
reseller sells the merchandise for exportation to the United States.
(3) When United States price is based on exporter's sales price,
under 353.41(c), the Secretary will calculate foreign market value,
under paragraph (a)(1), based on the price at the time the importer
sells the merchandise in the United States to a person not related under
section 773(e)(4) of the Act.
(b) Ordinary course of trade. In determining the ordinary course of
trade, the Secretary will consider the conditions and practices which,
for a reasonable period prior to the time described in paragraph (a),
have been normal in the trade of merchandise of the same class or kind
in the home market country.
(c) Transshipments. If the merchandise is not imported directly from
the home market country but is merely transshipped through another
country, the Secretary will not, except under 353.47, calculate foreign
market value based on the price at which such or similar merchandise is
sold in the country of transshipment.
19 CFR 353.47 Exportation from an intermediate country.
The Secretary will calculate the foreign market value of such or
similar merchandise based on sales in the intermediate country rather
than sales in the home market country if:
(a) A reseller in an intermediate country purchases the merchandise
from the producer;
(b) The producer of the merchandise does not know (at the time of the
sale to that reseller) the country to which such reseller intends to
export the merchandise;
(c) The merchandise enters the commerce of the intermediate country
but is not substantially transformed in that country; and
(d) The merchandise subsequently is exported to the United States.
19 CFR 353.48 Calculation of foreign market value if sales in the home
market country are inadequate.
(a) In general. Except as provided in 353.53, if the quantity of
such or similar merchandise sold during the period being examined for
consumption in the home market country is so small in relation to the
quantity sold for exportation to third countries (normally, less than
five percent of the amount sold to third countries) that it is an
inadequate basis for the foreign market value of the merchandise, the
Secretary will calculate the foreign market value of the merchandise
under either 353.49 or 353.50.
(b) Preference for third country sales. The Secretary normally will
prefer foreign market value based on sales to a third country rather
than on constructed value if adequate information is available and can
be verified, if a verification is conducted, within the time required.
(c) Definition of ''third country.'' For purposes of this section and
of 353.49, a ''third country'' means any country other than the home
market country or the United States.
19 CFR 353.49 Calculation of foreign market value based on sales to a
third country.
(a) In general. (1) If foreign market value is based on sales to a
third country, the Secretary will calculate the foreign market value
based on the price at which such or similar merchandise is sold or
offered for sale to a third country, plus, when not included in the
price, the cost of containers, coverings, and other expenses incident to
placing the merchandise in condition packed ready for shipment to the
United States.
(2) When United States price is based on purchase price, under
353.41(b), the Secretary will calculate foreign market value, under
paragraph (a)(1), based on the price at the time the producer or a
reseller sells the merchandise for exportation to the United States.
(3) When United States price is based on exporter's sales price,
under 353.41(c), the Secretary will calculate foreign market value,
under paragraph (a)(1), based on the price at the time the importer
sells the merchandise in the United States to a person not related under
section 773(e)(4) of the Act.
(b) Selection of third country. The Secretary generally will select
the third country based on the following criteria:
(1) Such or similar merchandise exported to the country is more
similar to the merchandise exported to the United States than is such or
similar merchandise exported to other countries, and the Secretary
decides that the volume of sales to the country is adequate;
(2) The volume of sales to the country is the largest to any country
other than the home market country or the United States; and
(3) The market in the country, in terms of organization and
development, is most like the United States market.
(c) Selection of more than one third country. In order to find
adequate sales under paragraph (b), the Secretary may aggregate sales to
more than a single third country.
19 CFR 353.50 Calculation of foreign market value based on constructed
value.
(a) Method of calculating constructed value. If foreign market value
is based on constructed value, the Secretary will calculate the foreign
market value by adding:
(1) The cost of materials used in producing such or similar
merchandise (exclusive of any internal tax in the home market country
applied directly to the materials or their disposition, but remitted or
refunded upon exportation) and the cost of fabrication or other
processing of any kind used in producing such or similar merchandise, at
a time specified in paragraph (b) which would ordinarily permit the
production of that particular merchandise in the ordinary course of
business;
(2) General expenses and profit usually reflected in sales of
merchandise of the same class or kind as the merchandise by producers in
the home market country, in the usual commercial quantities and in the
ordinary course of trade, except that the amount for general expenses
shall not be less than 10 percent of the cost under paragraph (a)(1) and
the amount for profit shall not be less than 8 percent of the sum of the
amount for general expenses and the cost under paragraph (a)(1); and
(3) The cost of containers, coverings, and other expenses incident to
placing the merchandise in condition packed ready for shipment to the
United States.
(b) Time for calculating constructed value. (1) When United States
price is based on purchase price, under 353.41(b), the Secretary will
calculate constructed value, under paragraph (a), based on the relevant
costs and expenses at a time preceding the time the producer or a
reseller sells the merchandise for exportation to the United States.
(2) When United States price is based on exporter's sales price,
under 353.41(c), the Secretary will calculate constructed value, under
paragraph (a), based on the relevant costs and expenses at a time
preceding the time the importer sells the merchandise in the United
States to a person not related under section 773(e)(4) of the Act.
(c) Transactions with related parties. In calculating constructed
value under paragraph (a), the Secretary may disregard any direct or
indirect transaction between persons related under section 773(e)(4) of
the Act for any element of value required to be considered under
paragraph (a) that does not fairly reflect the usual amount for sales in
that market of that element. If the Secretary disregards a transaction
and there are no other transactions available for consideration, the
Secretary will calculate the amount based on available information as to
what the amount would have been if the transaction had occurred between
persons not related.
19 CFR 353.51 Calculation of foreign market value if sales are made at
less than cost of production.
(a) Disregarding sales at less than cost. If the Secretary has
reasonable grounds to believe or suspect that the sales on which the
Secretary could base the calculation of foreign market value under
353.46, 353.49, or 353.53 are at prices less than the cost of
production, the Secretary, in calculating foreign market value, will
disregard such sales if they:
(1) Have been made over an extended period and in substantial
quantities; and
(2) Are not at prices which permit recovery of all costs within a
reasonable period in the normal course of trade.
(b) Use of constructed value if above-cost sales are inadequate. If
the Secretary disregards sales under paragraph (a), and concludes that
the remaining sales at not less than the cost of production are
inadequate for calculating foreign market value, the Secretary will
calculate foreign market value based on constructed value under 353.50.
(c) Calculation of cost of production. The Secretary will calculate
the cost of production based on the cost of materials, fabrication, and
general expenses, but excluding profit, incurred in producing such or
similar merchandise.
19 CFR 353.52 Calculation of foreign market value of merchandise from
state-controlled-economy countries.
(a) In general. If the Secretary determines that the economy of the
home market country is state-controlled to the extent that sales or
offers for sale of such or similar merchandise in that country or to a
third country do not permit calculation of foreign market value under
353.46, 353.49, or 353.53, the Secretary will calculate foreign market
value based on, in order of preference:
(1) The prices, calculated in accordance with 353.46 or 353.49, at
which such or similar merchandise produced in a
non-state-controlled-economy country is sold either:
(i) For consumption in that country; or
(ii) To another country, including the United States; or
(2) The constructed value of such or similar merchandise in a
non-state-controlled-economy country, calculated in accordance with
353.50.
(b) Comparability of economies. For purposes of paragraph (a), the
Secretary will select, in order of preference, prices or costs in:
(1) A non-state-controlled-economy country other than the United
States at a stage of economic development that the Secretary concludes
is comparable to that of the home market country, based on generally
recognized criteria, including per capita gross national product and
infrastructure development (particularly in the industry producing such
or similar merchandise);
(2) A non-state-controlled-economy country other than the United
States that is not at a stage of economic development comparable to that
of the home market country (in which case the Secretary will adjust the
foreign market value for known differences in the costs of material and
fabrication); or
(3) The United States.
(c) Use of factors of production. If such or similar merchandise is
not produced in a non-state-controlled-economy country which the
Secretary concludes to be comparable in terms of economic development to
the home market country, the Secretary may calculate the foreign market
value using constructed value based on factors of production incurred in
the home market country in producing the merchandise, including, but not
limited to, hours of labor required, quantities of raw materials
employed, and amounts of energy consumed, if the Secretary obtains and
verifies such information from the producer of the merchandise in the
home market country. The Secretary will value the factors of production
in a non-state-controlled-economy country which the Secretary considers
comparable in economic development to the home market country. The
Secretary will include in this calculation of constructed value an
amount for general expenses and profit, as required by section
773(e)(1)(B) of the Act, and the cost of containers, coverings, and
other expenses, as required by section 773(e)(1)(C) of the Act.
19 CFR 353.53 Calculation of foreign market value based on sales by a
multinational corporation.
The Secretary will calculate the foreign market value of merchandise
sold by certain multinational corporations described in section 773(d)
of the Act in accordance with provisions of that section.
19 CFR 353.54 Claims for adjustment to foreign market value.
Any interested party that claims an adjustment under 353.55 through
353.58 must establish the claim to the satisfaction of the Secretary.
19 CFR 353.55 Differences in quantities.
(a) In general. In comparing the United States price with foreign
market value, the Secretary normally will use sales of comparable
quantities of merchandise. The Secretary will make a reasonable
allowance for any difference in quantities, to the extent that the
Secretary is satisfied that the amount of any price differential is
wholly or partly due to that difference in quantities. In making the
allowance, the Secretary will consider, among other things, the practice
of the industry in the relevant country with respect to affording
quantity discounts to those which purchase in the ordinary course of
trade.
(b) Sales with quantity discount in calculating foreign market value.
The Secretary will calculate foreign market value based on sales with
quantity discounts if:
(1) During the period examined or during a more representative
period, the producer or reseller granted quantity discounts of at least
the same magnitude on 20 percent or more of sales of such or similar
merchandise for the relevant country; or
(2) The producer demonstrates to the Secretary's satisfaction that
the discounts reflect savings specifically attributable to the
production of the different quantities.
(c) Sales with quantity discounts in calculating weighted-average
foreign market value. If the producer or reseller does not satisfy the
conditions in paragraph (b), the Secretary will calculate foreign market
value based on a weighted-average price or prices that include sales at
a discount.
(d) In determining whether a discount has been given, the existence
of a published price list reflecting such a discount will not be
controlling. A price list ordinarily will be accepted only if, in the
line of trade and market under consideration, the producer or reseller
demonstrates that it has adhered to its price list.
19 CFR 353.56 Differences in circumstances of sale.
(a) In general. (1) In calculating foreign market value, the
Secretary will make a reasonable allowance for a bona fide difference in
the circumstances of the sales compared if the Secretary is satisfied
that the amount of any price differential is wholly or partly due to
such difference. In general, the Secretary will limit allowances to
those circumstances which bear a direct relationship to the sales
compared.
(2) Differences in circumstances of sale for which the Secretary will
make reasonable allowances normally are those involving differences in
commissions, credit terms, guarantees, warranties, technical assistance,
and servicing. The Secretary also will make reasonable allowances for
differences in selling costs (such as advertising) incurred by the
producer or reseller but normally only to the extent that such costs are
assumed by the producer or reseller on behalf of the purchaser from that
producer or reseller.
(b) Special rule. (1) Notwithstanding paragraph (a), the Secretary
normally will make a reasonable allowance for other selling expenses if
the Secretary makes a reasonable allowance for commissions in one of the
markets under consideration and no commission is paid in the other
market under consideration, but the Secretary will limit the amount of
such allowance to the amount of the other selling expenses incurred in
the one market or the commissions allowed in the other market, whichever
is less.
(2) In comparisons with exporter's sales price, the Secretary will
make a reasonable deduction from foreign market value for all expenses,
other than those described in paragraph (a)(1) or (a)(2), incurred in
selling such or similar merchandise up to the amount of the expenses,
other that those described in paragraph (a)(1) or (a)(2), incurred in
selling the merchandise.
(c) Reasonable allowance. In deciding what is a reasonable allowance
for any difference in circumstances of sale, the Secretary normally will
consider the cost of such difference to the producer or reseller but, if
appropriate, may also consider the effect of such difference on the
market value of the merchandise.
19 CFR 353.57 Differences in physical characteristics.
(a) In general. In calculating foreign market value, the Secretary
will make a reasonable allowance for differences in the physical
characteristics of merchandise compared to the extent that the Secretary
is satisfied that the amount of any price differential is wholly or
partly due to such difference.
(b) Reasonable allowance. In deciding what is a reasonable allowance
for any difference in physical characteristics, the Secretary normally
will consider differences in the cost of production but, where
appropriate, may also consider differences in the market value. The
Secretary will not consider differences in cost of production when
compared merchandise has identical physical characteristics.
19 CFR 353.58 Level of trade.
The Secretary normally will calculate foreign market value and United
States price based on sales at the same commercial level of trade. If
sales at the same commercial level of trade are insufficient in number
to permit an adequate comparison, the Secretary will calculate foreign
market value based on sales of such or similar merchandise at the most
comparable commercial level of trade as sales of the merchandise and
make appropriate adjustments for differences affecting price
comparability.
19 CFR 353.59 Disregarding insignificant adjustments; use of averaging
and sampling.
(a) Insignificant adjustments. The Secretary may disregard
adjustments to foreign market value which are insignificant.
Ordinarily, the Secretary will disregard individual adjustments having
an ad valorem effect of less than 0.33 percent, or any group of
adjustments having an ad valorem effect of less than 1.0 percent, of the
foreign market value. Groups of adjustments are differences in
circumstances of sale, differences in the physical characteristics of
the merchandise, and differences in the levels of trade.
(b) Averaging or sampling. (1) In calculating United States price or
foreign market value, the Secretary may use averaging or generally
recognized sampling techniques whenever a significant volume of sales or
number of adjustments are involved.
(2) The Secretary will select the appropriate representative samples.
19 CFR 353.60 Conversion of currency.
(a) Rule for conversion. The Secretary will convert, under section
522 of the Act (31 U.S.C. 5151(c)), a foreign currency into the
equivalent amount of United States currency at the rates in effect on
the dates described in 353.46, 353.49, or 353.50, as appropriate.
(b) Special rules for investigations. For purposes of
investigations, producers, resellers, and importers will be expected to
act within a reasonable period of time to take into account price
differences resulting from sustained changes in prevailing exchange
rates. When the price of the merchandise is affected by temporary
exchange rate fluctuations, the Secretary will not take into account in
fair value comparisons any difference between United States price and
foreign market value resulting solely from such exchange rate
fluctuation.
19 CFR 353.60 Subpart E -- Effective Dates
19 CFR 353.71 Effective dates of amendments to the Tariff Act of 1930
made by the Omnibus Trade and Competitiveness Act of 1988.
In accordance with section 1337 of the Omnibus Trade and
Competitiveness Act of 1988 (Pub. L. No. 100-418) (''the 1988 Act''),
the amendments to the Tariff Act of 1930 made by the 1988 Act are deemed
effective as follows:
(a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of
this section, all amendments made by Title I, Subtitle C, Part II of the
1988 Act which affect authorities administered by the Secretary are
deemed effective as of August 23, 1988.
(b) Amendments made by sections 1312, 1315, 1316, 1318, 1325, 1326,
1327, 1331, and 1332 of the 1988 Act which affect authorities
administered by the Secretary are deemed to take effect immediately with
respect to all investigations, section 736(c) reviews, or section 751
reviews initiated after August 23, 1988.
(c) The amendment made by section 1324 of the 1988 Act which affects
authorities administered by the Secretary is deemed to apply only to
investigations initiated after August 23, 1988.
(d) The amendments made by sections 1321(a) and 1334 of the 1988 Act
which affect authorities administered by the Secretary are deemed to be
effective with respect to articles entered, or withdrawn from warehouse
for consumption, on or after August 23, 1988.
(e) The amendments made by sections 1321(b) and 1335 of the 1988 Act
which affect authorities administered by the Secretary are deemed to be
effective with respect to entries, and withdrawals from warehouse for
consumption, that are liquidated on or after August 23, 1988.
(f) The amendment made by section 1319 is deemed effective with
respect to all section 736(c) and section 751 reviews initiated on or
after August 23, 1988, as well as to all section 736(c) and section 751
reviews for which there is a request for revocation pending on August
23, 1988.
(g) Notwithstanding the provisions of paragraphs (a) through (f) of
this section, the Secretary may implement the amendments of the 1988 Act
at a date later than August 23, 1988, if the Secretary determines that
implementation in accordance with paragraphs (a) through (f) of this
section would prevent the Department from complying with other
requirements of law.
(55 FR 9052, Mar. 9, 1990)
19 CFR 353.71 Annex I -- Time Limits for Submissions Specified in This
Part
19 CFR 353.71 PART 354 -- PROCEDURES FOR IMPOSING SANCTIONS FOR VIOLATION OF AN ANTIDUMPING OR COUNTERVAILING DUTY PROTECTIVE ORDER
19 CFR 353.71 Pt. 354
Secs.
354.1 Scope.
354.2 Definitions.
354.3 Sanctions.
354.4 Suspension of rules.
354.5 Report of violation and investigation.
354.6 Initiation of proceedings.
354.7 Charging letter.
354.8 Interim sanctions.
354.9 Request for a hearing.
354.10 Discovery.
354.11 Prehearing conference.
354.12 Hearing.
354.13 Proceeding without a hearing.
354.14 Initial decision.
354.15 Final decision.
354.16 Reconsideration.
354.17 Confidentiality.
Authority: 5 U.S.C. 301, and sec. 777 of the Tariff Act of 1930, as
amended by sec. 619 of The Trade and Tariff Act of 1984, Pub. L.
93-573, 98 Stat. 2948, 3038, and sec. 1886(a)(13) of the Tax Reform
Act of 1986, Pub. L. 99-514, 100 Stat. 2085.
Source: 53 FR 47920, Nov. 28, 1988, unless otherwise noted.
19 CFR 354.1 Scope.
This part sets forth the procedures for imposing sanctions for
violation of an administrative protective order issued under 19 CFR
353.30 or 355.20, or successor regulations, as authorized by 19 U.S.C.
1677f(c).
19 CFR 354.2 Definitions.
For purposes of this part:
(a) Affected party means a party against whom sanctions have been
proposed but who is not a charged party;
(b) APO Sanctions Board means the Administrative Protective Order
Sanctions Board;
(c) Charged party means a person who is charged by the Deputy Under
Secretary with violating a protective order;
(d) Chief Counsel means Chief Counsel for Import Administration, or
designee;
(e) Date of service means the day a document is deposited in the mail
or delivered in person;
(f) Days means calendar days, except that a deadline which falls on a
weekend or holiday shall be extended to the next working day;
(g) Department means Department of Commerce;
(h) Deputy Under Secretary means Deputy Under Secretary for
International Trade, or designee;
(i) Director means an Office Director under the Deputy Assistant
Secretary for Investigations, International Trade Administration, or
designee, who shall be responsible for conducting an investigation of an
alleged violation of an administrative protective order if the incident
is discovered during an administrative review, or an Office Director
under the Deputy Assistant Secretary for Compliance, International Trade
Administration, or designee, if the incident is discovered during any
other time;
(j) Lesser included sanction means a sanction of the same type but of
more limited scope than the proposed sanction; thus a one-year bar on
representations before the International Trade Administration is a
lesser included sanction of a proposed seven-year bar;
(k) Parties means the Department and the charged party or affected
party in an action under this part;
(l) Person means an individual, partnership, corporation,
association, organization, or other entity;
(m) Presiding official means the person authorized to conduct
hearings in administrative proceedings or to rule on any motion or make
any determination under this part, who may be an Administrative Law
Judge, a Hearing Commissioner, or such other person who is not under the
supervision or control of the Assistant Secretary for Import
Administration, the Deputy Under Secretary for International Trade, the
Chief Counsel for Import Administration, or a member of the APO
Sanctions Board;
(n) Proprietary information means information the disclosure of which
the Secretary has decided is limited under 19 CFR 353.29 or 355.19,
including business or trade secrets; production costs; distribution
costs; terms of sale; prices of individual sales, likely sales, or
offers; names of customers, distributors, or suppliers; exact amounts
of the gross net subsidies received and used by a person; names of
particular persons from whom proprietary information was obtained; and
any other business information the release of which to the public would
cause substantial harm to the competitive position of the submitter;
(o) Protective order means an administrative protective order issued
by the Secretary under 19 CFR 353.30 or 355.20; and
(p) Under Secretary means Under Secretary for International Trade, or
designee.
19 CFR 354.3 Sanctions.
(a) A person determined under this part to have violated a protective
order may be subjected to any or all of the following sanctions:
(1) Barring such person from appearing before the International Trade
Administration to represent another for a designated time period from
the date of publication in the Federal Register of a notice that a
violation has been determined to exist;
(2) Denying the person access to proprietary information for a
designated time period from the date of publication in the Federal
Register of a notice that a violation has been determined to exist;
(3) Other appropriate administrative sanctions, including striking
from the record any information or argument submitted by, or on behalf
of, the violating party or the party represented by the violating party;
terminating any proceeding then in progress; or revoking any order
then in effect; and
(4) Requiring the person to return material previously provided by
the Department and all other materials containing the proprietary
information, such as briefs, notes, or charts based on any such
information received under an administrative protective order.
(b) (1) The firm of which a person determined to have violated a
protective order is a partner, associate or employee; any partner,
associate, employer, or employee of such person; and any person
represented by such person may be barred from appearing before the
International Trade Administration for a designated time period from the
date of publication in the Federal Register of notice that a violation
has been determined to exist or may be subjected to the sanctions set
forth in paragraph (a) of this section, as appropriate.
(2) Each person against whom sanctions are proposed under paragraph
(b)(1) of this section is entitled to all the administrative rights set
forth in this part separately and apart from rights provided to a person
subject to sanctions under paragraph (a) of this section, including the
right to a charging letter, right to representation, and right to a
hearing, but subject to joinder or consolidation by a presiding official
under 354.12(b).
19 CFR 354.4 Suspension of rules.
Upon request by the Deputy Under Secretary, a charged or affected
party, or the APO Sanctions Board, a presiding official may modify or
waive any rule in the part upon determining that no party will be unduly
prejudiced and the ends of justice will thereby be served and upon
notice to all parties.
19 CFR 354.5 Report of violation and investigation.
(a) An employee of the Department of Commerce who has information
indicating that the terms of an administrative protective order have
been violated will provide the information to the appropriate Director
or the Chief Counsel.
(b) Upon receiving information which indicates that a person may have
violated the terms of an administrative protective order, from an
employee of the Department of Commerce or any other person, the
appropriate Director will conduct an investigation concerning whether
there was a violation of a protective order, and who was responsible for
the violation, if any. For purposes of this part, the Director will be
supervised by the Deputy Under Secretary for International Trade with
guidance from the Chief Counsel. The Director will conduct an
investigation only if the information is received within 30 days after
the alleged violation occurred or, as determined by the Director, could
have been discovered through the exercise of reasonable and ordinary
care.
(c) The appropriate Director will provide a report of the
investigation to the Deputy Under Secretary, after review by the Chief
Counsel, no later than 180 days after receiving information concerning a
violation. Upon the appropriate Director's request, and if
extraordinary circumstances exist, the Deputy Under Secretary may grant
the appropriate Director up to an additional 180 days to conduct the
investigation and submit the report.
(d) The following examples of actions that constitute violations of
an administrative protective order shall serve as guidelines to each
person subject to a protective order. These examples do not represent
an exhaustive list. Evidence that one of the acts described in the
guidelines has been committed, however, shall be considered by the
Deputy Under Secretary as reasonable cause to believe a person has
violated a protective order, within the meaning of 354.6.
(1) Disclosure of proprietary information to any person not granted
access to that information by protective order, including an employee of
the Department not directly concerned with carrying out the
investigation in connection with which the information is submitted, an
employee of any other United States Government agency, or a member of
Congress.
(2) Failure to follow the detailed procedures outlined in the
protective order for safeguarding proprietary information, including
maintaining a log showing when each proprietary document is used, and by
whom, and requiring all employees who obtain access to proprietary
information (under the terms of a protective order granted their
employer) to sign and date a copy of that protective order.
(3) Loss of proprietary information.
(4) Failure to return or destroy all copies of the original documents
and all notes, memoranda, and submissions containing proprietary
information at the close of the proceeding for which the data were
obtained by burning or shredding of the documents or by erasing
electronic memory, computer disk, or tape memory, as set forth in the
administrative protective order.
(5) Failure to delete proprietary information from the public version
of a brief or other correspondence filed with the Department.
(6) Disclosure of proprietary information during a public hearing.
(7) Use of proprietary information submitted for one investigation or
administrative review during a different investigation or administrative
review.
(8) Use of proprietary information submitted in one investigation or
administrative review in a separate investigation or administrative
review of a product from the same or different country.
(9) Use of proprietary information submitted for a countervailing
duty investigation or administrative review during an antidumping duty
investigation or administrative review, or vice versa.
19 CFR 354.6 Initiation of proceedings.
If the Deputy Under Secretary concludes, after an investigation and
report by the appropriate Director under 354.5(c) and consultation with
the Chief Counsel, that there is reasonable cause to believe that a
person has violated a protective order and that sanctions are
appropriate for the violation, the Deputy Under Secretary will initiate
a proceeding under this part by issuing a charging letter as set forth
in 354.7. In determining whether sanctions are appropriate and, if so,
what sanctions to impose, the Deputy Under Secretary will consider the
nature of the violation, the resulting harm, and other relevant
circumstances of the case. The Deputy Under Secretary will decide
whether to initiate a proceeding no later than 60 days after receiving a
report of the investigation.
19 CFR 354.7 Charging letter.
(a) Contents of Letter. The Deputy Under Secretary will initiate
proceedings by issuing a charging letter to each charged party and
affected party which includes:
(1) A statement of the allegation that a protective order has been
violated and the basis thereof;
(2) A statement of the proposed sanctions;
(3) A statement that the charged or affected party is entitled to
review the documents or other physical evidence upon which the charge is
based and the method for requesting access to, or copies of, such
documents;
(4) A statement that the charged or affected party is entitled to a
hearing before a presiding official if requested within 30 days of the
date of service of the charging letter and the procedure for requesting
a hearing, including the name, address, and telephone number of the
person to contact if there are further questions;
(5) A statement that the charged or affected party has a right, if a
hearing is not requested, to submit documentary evidence to the Deputy
Under Secretary and an explanation of the method for submitting evidence
and the date by which it must be received; and
(6) A statement that the charged or affected party has a right to
retain counsel at the party's own expense for purposes of
representation.
(b) Settlement and amending the charging letter. The Deputy Under
Secretary may amend, supplement, or withdraw the charging letter at any
time with the approval of a presiding official if the interests of
justice would thereby be served. If a hearing has not been requested,
the Deputy Under Secretary will ask the Under Secretary to appoint a
presiding official to make this determination. If a charging letter is
withdrawn after a request for a hearing, the presiding official will
determine whether the withdrawal will bar the Deputy Under Secretary
from seeking sanctions at a later date for the same alleged violation.
If there has been no request for a hearing, or if supporting information
has not been submitted under 354.13, the withdrawal will not bar future
actions on the same alleged violation. The Deputy Under Secretary and a
charged or affected party may settle a charge brought under this part by
mutual agreement at any time after service of the charging letter;
approval of the presiding official or the APO Sanctions Board is not
necessary.
(c) Service of charging letter on a resident of the United States.
(1) Service of a charging letter on a United States resident will be
made by:
(i) Mailing a copy by registered or certified mail addressed to the
charged or affected party at the party's last known address;
(ii) Leaving a copy with the charged or affected party or with an
officer, a managing or general agent, or any other agent authorized by
appointment or by law to receive service for the party; or
(iii) Leaving a copy with a person of suitable age and discretion who
resides at the party's last known dwelling.
(2) Service made in the manner described in paragraph (c) (ii) or
(iii) of this section shall be evidenced by a certificate of service
signed by the person making such service, stating the method of service
and the identity of the person with whom the charging letter was left.
(d) Service of charging letter on a non-resident. If applicable laws
or intergovernmental agreements or understandings make the methods of
service set forth in paragraph (c) of this section inappropriate or
ineffective, service of the charging letter on a person who is not a
resident of the United States may be made by any method that is
permitted by the country in which the person resides and that satisfies
the due process requirements under United States law with respect to
notice in administrative proceedings.
19 CFR 354.8 Interim sanctions.
(a) If the Deputy Under Secretary concludes, after issuing a charging
letter under 354.7 and before a final decision is rendered, that
interim sanctions are necessary to protect the interests of the
Department or others, including the protection of proprietary
information, the Deputy Under Secretary may petition a presiding
official to impose such sanctions.
(b) The presiding official may impose interim sanctions against a
person upon determining that:
(1) There is probable cause to believe that there was a violation of
a protective order and the Department is likely to prevail in obtaining
sanctions under this part,
(2) The Department or others are likely to suffer irreparable harm if
the interim sanctions are not imposed, and
(3) The interim sanctions are a reasonable means for protecting the
rights of the Department or others while preserving to the greatest
extent possible the rights of the person against whom the interim
sanctions are proposed.
(c) Interim sanctions which may be imposed include any sanctions that
are necessary to protect the rights of the Department or others,
including, but not limited to:
(1) Denying a person further access to proprietary information.
(2) Barring a person from representing another person before the
International Trade Administration.
(3) Barring a person from appearing before the International Trade
Administration, and
(4) Requiring the person to return material previously provided by
the Department and all other materials containing the proprietary
information, such as briefs, notes, or charts based on any such
information received under an administrative protective order.
(d) The Deputy Under Secretary will notify the person against whom
interim sanctions are sought of the request for interim sanctions and
provide to that person the material submitted to the presiding official
to support the request. The notice will include a reference to the
procedures of this section.
(e) A person against whom interim sanctions are proposed has a right
to oppose the request through submission of material to the presiding
official. The presiding official has discretion to permit oral
presentations and to allow further submissions.
(f) The presiding official will notify the parties of the decision on
interim sanctions and the basis therefor within five days of the
conclusion of oral presentations or the date of final written
submissions.
(g) If interim sanctions have been imposed, the investigation and any
proceedings under this part will be conducted on an expedited basis.
(h) An order imposing interim sanctions may be revoked at any time by
the presiding official and expires automatically upon the issuance of a
final order.
(i) The presiding official may reconsider imposition of interim
sanctions on the basis of new and material evidence or other good cause
shown. The Deputy Under Secretary or a person against whom interim
sanctions have been imposed may appeal a decision on interim sanctions
to the APO Sanctions Board, if such an appeal is certified by the
presiding official as necessary to prevent undue harm to the Department,
a person against whom interim sanctions have been imposed or others, or
is otherwise in the interests of justice. Interim sanctions which have
been imposed remain in effect while an appeal is pending, unless the
presiding official determines otherwise.
(j) The Deputy Under Secretary may request a presiding official to
impose emergency interim sanctions to preserve the status quo.
Emergency interim sanctions may last no longer than 48 hours, excluding
weekends and holidays. The person against whom such emergency interim
sanctions are proposed need not be given prior notice or an opportunity
to oppose the request for sanctions. The presiding official may impose
emergency interim sanctions upon determining that the Department is, or
others are, likely to suffer irreparable harm if such sanctions are not
imposed and that the interests of justice would thereby be served. The
presiding official will promptly notify a person against whom emergency
sanctions have been imposed of the sanctions and their duration.
(k) If a hearing has not been requested, the Deputy Under Secretary
will ask the Under Secretary to appoint a presiding official for making
determinations under this section.
19 CFR 354.9 Request for a hearing.
(a) Any party may request a hearing by submitted a written request to
the Under Secretary within 30 days after the date of service of the
charging letter. However, the Deputy Under Secretary may request a
hearing only if the interests of justice would thereby be served.
(b) Upon timely receipt of a request for a hearing, the Under
Secretary will appoint a presiding official to conduct the hearing and
render an initial decision.
19 CFR 354.10 Discovery.
(a) Voluntary discovery. All parties are encouraged to engage in
voluntary discovery procedures regarding any matter, not privileged,
which is relevant to the subject matter of the pending proceeding.
(b) Interrogatories and requests for admissions or production of
documents. A party may serve on any other party interrogatories,
requests for admissions, or requests for production of documents for
inspection and copying, and a party concerned may then apply to the
presiding official for such enforcement or protective order as that
party deems warranted concerning such discovery. The party will serve a
discovery request at least 20 days before the scheduled date of a
hearing, if a hearing has been requested and scheduled, unless the
presiding official specifies a shorter time period. Copies of
interrogatories, requests for admissions, and requests for production of
documents and responses thereto will be served on all parties. Matters
of fact or law of which admission is requested will be deemed admitted
unless, within a period designated in the request (at least 10 days
after the date of service of the request, or within such further time as
the presiding official may allow), the party to whom the request is
directed serves upon the requesting party a sworn statement either
admitting or denying specifically the matters of which admission is
requested or setting forth in detail the reasons why the party cannot
truthfully either admit or deny such matters.
(c) Depositions. Upon application of a party and for good cause
shown, the presiding official may order the taking of the testimony of
any person who is a party, or under the control or authority of a party,
by deposition and the production of specified documents or materials by
the person at the deposition. The application shall state the purpose
of the deposition and shall set forth the facts sought to be established
through the deposition.
(d) Enforcement. The presiding official may order a party to answer
designated questions, to produce specified documents or items, or to
take any other action in response to a proper discovery request. If a
party does not comply with such an order, the presiding official may
make any determination or enter any order in the proceedings as he or
she deems reasonable and appropriate. The presiding official may strike
related charges or defenses in whole or in part, or may take particular
facts relating to the discovery request to which the party failed or
refused to respond as being established for purposes of the proceeding
in accordance with the contentions of the party seeking discovery. In
issuing a discovery order, the presiding official will consider the
necessity to protect proprietary information and will not order the
release of information in circumstances where it is reasonable to
conclude that such release will lead to unauthorized dissemination of
such information.
(e) Role of the Under Secretary. If a hearing has not been
requested, the party seeking enforcement will ask the Under Secretary to
appoint a presiding official to rule on motions under this section.
19 CFR 354.11 Prehearing conference.
(a)(1) If an administrative hearing has been requested, the presiding
official will direct the parties to attend a prehearing conference to
consider:
(i) Simplification of issues;
(ii) Obtaining stipulations of fact and of documents to avoid
unnecessary proof;
(iii) Settlement of the matter;
(iv) Discovery; and
(v) Such other matters as may expedite the disposition of the
proceedings.
(2) Any relevant and significant stipulations or admissions will be
incorporated into the initial decision.
(b) If a prehearing conference is impractical, the presiding official
will direct the parties to correspond with each other or to confer by
telephone or otherwise to achieve the purposes of such a conference.
19 CFR 354.12 Hearing.
(a) Scheduling of hearing. The presiding official will schedule the
hearing at a reasonable time, date, and place, which will be in
Washington, DC, unless the presiding official determines otherwise based
upon good cause shown that another location would better serve the
interests of justice. In setting the date, the presiding official will
give due regard to the need for the parties adequately to prepare for
the hearing and the importance of expeditiously resolving the matter.
(b) Joinder or consolidation. The presiding official may order
joinder or consolidation if sanctions are proposed against more than one
party or if violations of more than one protective order are alleged if
to do so would expedite processing of the cases and not adversely affect
the interests of the parties.
(c) Hearing procedures. Hearings will be conducted in a fair and
impartial manner by the presiding official, who may limit attendance at
any hearing or portion thereof if necessary or advisable in order to
protect proprietary information from improper disclosure. The rules of
evidence prevailing in courts of law shall not apply, and all
evidentiary material the presiding official determines to be relevant
and material to the proceeding and not unduly repetitious may be
received into evidence and given appropriate weight. The presiding
official may make such orders and determinations regarding the
admissibility of evidence, conduct of examination and cross-examination,
and similar matters as are necessary or appropriate to ensure
orderliness in the proceedings. The presiding official will ensure that
a record of the hearing be taken by reporter or by electronic recording,
and will order such part of the record to be sealed as is necessary to
protect proprietary information.
(d) Rights of parties. At a hearing each party shall have the right
to:
(1) Introduce and examine witnesses and submit physical evidence,
(2) Confront and cross-examine adverse witnesses,
(3) Present oral argument, and
(4) Receive a transcript or recording of the proceedings, upon
request, subject to the presiding official's orders regarding sealing
the record.
(e) Representation. Each charged or affected party has a right to
represent himself or herself or to retain private counsel for that
purpose. The Chief Counsel will represent the Department, unless the
General Counsel determines otherwise. The presiding official may
disallow a representative if such representation constitutes a conflict
of interest or is otherwise not in the interests of justice and may
debar a representative for contumacious conduct relating to the
proceedings.
(f) Ex parte communications. The parties and their representatives
may not make any ex parte communications to the presiding official
concerning the merits of the allegations or any matters at issue, except
as provided in 354.8 regarding emergency interim sanctions.
19 CFR 354.13 Proceeding without a hearing.
If no party has requested a hearing, the Deputy Under Secretary,
within 40 days after the date of service of a charging letter, will
submit for inclusion into the record and provide each charged or
affected party information supporting the allegations in the charging
letter. Each charged or affected party has the right to file a written
response to the information and supporting documentation within 30 days
after the date of service of the information provided by the Deputy
Under Secretary unless the Deputy Under Secretary alters the time period
for good cause. The Deputy Under Secretary may allow the parties to
submit further information and argument.
19 CFR 354.14 Initial decision.
(a) Initial decision. The presiding official, if a hearing was
requested, or the Deputy Under Secretary will submit an initial decision
to the APO Sanctions Board, providing copies to the parties. The
presiding official or Deputy Under Secretary will ordinarily issue the
decision within 20 days of the conclusion of the hearing, if one was
held, or within 15 days of the date of service of final written
submissions. The initial decision will be based solely on evidence
received into the record, and the pleadings of the parties.
(b) Findings and conclusions. The initial decision will state
findings and conclusions as to whether a person has violated a
protective order; the basis for those findings and conclusions; and
whether the sanctions proposed in the charging letter, or lesser
included sanctions, should be imposed against the charged or affected
party. The presiding official or Deputy Under Secretary may impose
sanctions only upon determining that the preponderance of the evidence
supports a finding of violation of a protective order and that the
sanctions are warranted against the charged or affected party. In
determining whether sanctions are appropriate and, if so, what sanctions
to impose, the presiding official or the Deputy Under Secretary will
consider the nature of the violation, the resulting harm, and other
relevant circumstances of the case.
(c) Finality of decision. If the APO Sanctions Board has not issued
a decision on the matter within 60 days after issuance of the initial
decision, the initial decision becomes the final decision of the
Department.
19 CFR 354.15 Final decision.
(a) APO Sanctions Board. Upon request of a party, the initial
decision will be reviewed by the members of the APO Sanctions Board.
The Board consists of the Under Secretary for International Trade, who
shall serve as Chairperson, the Under Secretary for Economic Affairs,
and the General Counsel.
(b) Comments on initial decision. Within 30 days after issuance of
the initial decision, a party may submit written comments to the APO
Sanctions Board on the initial decision, which the Board will consider
when reviewing the initial decision. The parties have no right to an
oral presentation, although the Board may allow oral argument in its
discretion.
(c) Final decision by the APO Sanctions Board. Within 60 days but
not sooner than 30 days after issuance of an initial decision, the APO
Sanctions Board may issue a final decision which adopts the initial
decision in its entirety; differs in whole or in part from the initial
decision, including the imposition of lesser included sanctions; or
remands the matter to the presiding official or Deputy Under Secretary
for further consideration. The only sanctions that the Board can impose
are those sanctions proposed in the charging letter or lesser included
sanctions.
(d) Contents of final decision. If the final decision of the APO
Sanctions Board does not remand the matter and differs from the initial
decision, it will state findings and conclusions which differ from the
initial decision, if any, the basis for those findings and conclusions,
and the sanctions which are to be imposed, to the extent they differ
from the sanctions in the initial decision.
(e) Public notice of sanctions. If the final decision is that there
has been a violation of a protective order and that sanctions are to be
imposed, notice of the Department's decision will be published in the
Federal Register. Such publication will be no sooner than 30 days after
issuance of a final decision or after a motion to reconsider has been
denied, if such a motion was filed. The Deputy Under Secretary will
also provide such information to the ethics panel or other disciplinary
body of the appropriate bar associations or other professional
associations whenever the Deputy Under Secretary subjects a charged or
affected party to a sanction under paragraph (a)(1) of 354.3 and to any
Federal agency likely to have an interest in the matter and will
cooperate in any disciplinary actions by any association or agency.
19 CFR 354.16 Reconsideration.
Any party may file a motion for reconsideration with the APO
Sanctions Board. The party must state with particularity the grounds
for the motion, including any facts or points of law which the party
claims the APO Sanctions Board has overlooked or misapplied. The party
may file the motion within 30 days of the issuance of the final decision
or the adoption of the initial decision as the final decision, except
that if the motion is based on the discovery of new and material
evidence which was not known, and could not reasonably have been
discovered through due diligence prior to the close of the record, the
party shall file the motion within 15 days of the discovery of the new
and material evidence. The party shall provide a copy of the motion to
all other parties. Opposing parties may file a response within 30 days
of the date of service of the motion. The response shall be considered
as part of the record. The parties have no right to an oral
presentation on a motion for reconsideration, but the Board may permit
oral argument at its discretion. If the motion to reconsider is
granted, the Board will review the record and affirm, modify, or reverse
the original decision or remand the matter for further consideration to
a presiding official or the Deputy Under Secretary, as warranted.
19 CFR 354.17 Confidentiality.
(a) All proceedings involving allegations of a violation of a
protective order shall be kept confidential until such time as the
Department makes a final decision under these regulations, no longer
subject to reconsideration, imposing a sanction.
(b) The charged party or counsel for the charged party will be
granted access to proprietary information in these proceedings, as
necessary, under administrative protective order, consistent with the
provisions of 19 CFR 353.30 and 355.20, or their successor regulations.
19 CFR 354.17 PART 355 -- COUNTERVAILING DUTIES
19 CFR 354.17 Subpart A -- Scope and Definitions
Sec.
355.1 Scope.
355.2 Definitions.
355.3 Record of proceedings.
355.4 Public, proprietary, privileged, and classified information.
355.5 Library of foreign subsidy practices and countervailing
measures.
355.6 Trade and Tariff Act of 1984 -- effective date.
355.7 De minimis net subsidies disregarded.
19 CFR 354.17 Subpart B -- Countervailing Duty Procedures
355.11 Self-initiation.
355.12 Petition requirements.
355.13 Determination of sufficiency of petition.
355.14 Request for exclusion from countervailing duty order.
355.15 Preliminary determination.
355.16 Critical circumstances findings.
355.17 Termination of investigation.
355.18 Suspension of investigation.
355.19 Violation of agreement.
355.20 Final determination.
355.21 Countervailing duty order.
355.22 Administrative review of orders and suspension agreements.
355.23 Provisional measures deposit cap.
355.24 Interest on certain overpayments and underpayments.
355.25 Revocation of orders; termination of suspended investigation.
355.27 Procedures for initiation of downstream product monitoring.
355.28 Procedures for the correction of ministerial errors.
355.29 Scope determination.
19 CFR 354.17 Subpart C -- Information and Argument
355.31 Submission of factual information.
355.32 Request for proprietary treatment of information.
355.33 Information exempt from disclosure.
355.34 Disclosure of proprietary information under administrative
protective order.
355.35 Ex parte meeting.
355.36 Verification of information.
355.37 Best information available.
355.38 Written argument and hearings.
355.39 Subsidy practice discovered during investigation or review.
19 CFR 354.17 Subpart D -- Quota Cheese Subsidy Determinations
355.41 Definition of ''subsidy.''
355.42 Annual list and quarterly update.
355.43 Determination upon request.
355.44 Complaint of price-undercutting by subsidized imports.
355.45 Access to information.
19 CFR 354.17 Subpart E -- Effective Dates
355.51 Effective dates of amendments to the Tariff Act of 1930 made
by the Omnibus Trade and Competitiveness Act of 1988.
Annex I -- List of Countries Under the Agreement
Annex II -- Time Limits for Submissions Specified in This Part
Authority: 5 U.S.C. 301, and subtitle IV, parts, II, III, and IV of
the Tariff Act of 1930, as amended by Title I of The Trade Agreements
Act of 1979, Pub. L. 96-39, 93 Stat. 150, and section 221 and Title VI
of the Trade and Tariff Act of 1984, Pub. L. 98-573, 98 Stat. 294, and
Title I, subtitle C, Part II of the Omnibus Trade and Competitiveness
Act of 1988, Pub. L. No. 100-418, 102 Stat. 1107 (1988).
Source: 53 FR 52344, Dec. 27, 1988, unless otherwise noted.
19 CFR 354.17 Subpart A -- Scope and Definitions
19 CFR 355.1 Scope.
This part sets forth procedures and rules applicable to proceedings
under section 303 and Title VII of the Tariff Act of 1930, as amended
(19 U.S.C. 1303 and 1671-1677(h)) (the ''Act''), relating to the
imposition of countervailing duties, and under section 702 of the Trade
Agreements Act of 1979 (19 U.S.C. 1202 note) (''Trade Agreements Act''),
relating to subsidies on quota cheese. This part incorporates the
regulatory changes made pursuant to Title VI of the Trade and Tariff Act
of 1984 (Pub. L. No. 98-573; October 30, 1984) and Title XVIII,
Subtitle B, Chapter 3 of the Tax Reform Act of 1986, Pub. L. No. 99-514
(October 22, 1986). Certain portions of the regulations in this part do
not apply to proceedings under section 303 of the Act in the case of the
merchandise from a country that is not a ''country under the
Agreement,'' as defined in section 701(b) of the Act, and also is not
entitled to an injury test under section 303 of the Act for the
merchandise. Specifically, for such proceedings under section 303:
(a) No determination by the Commission under section 703(a), 704, or
705(b)(1) of the Act is required;
(b) No investigation may be suspended by the Secretary under section
704(c) of the Act and 355.18(b);
(c) No finding of critical circumstances may be made by the
Secretary, under 355.16; and
(d) If an allegation or factual information regarding injury and
subsidies is required by this part, only an allegation or factual
information regarding subsidies is required.
19 CFR 355.2 Definitions.
(a) Act. Act means the Tariff Act of 1930, as amended.
(b) Agreement. Agreement means the Agreement on Interpretation and
Application of Articles VI, XVI, and XXIII of the General Agreement on
Tariffs and Trade, that is, the Subsidies Code, and any amendments
accepted by the United States.
(c) Commission. Commission means the United States International
Trade Commission.
(d) Country. Country means a foreign country or a political
subdivision, dependent territory, or possession of a foreign country,
and may include an association of two or more foreign countries,
political subdivisions, dependent territories, or possessions of foreign
countries in a customs union outside the United States.
(e) Customs Service. Customs Service means the United States Customs
Service of the United States Department of the Treasury.
(f) Department. Department means the United States Department of
Commerce.
(g) Factual information. Factual information means:
(1) Initial and supplemental questionnaire responses;
(2) Data or statements of facts in support of allegations;
(3) Other data or statements of facts; and
(4) Documentary evidence.
(h) Industry. Industry means the producers in the United States
collectively of the like product, except those producers in the United
States that the Secretary excludes under section 771(4)(B) of the Act on
the grounds that they are also importers (or are related to importers,
producers, or exporters) of the merchandise. Under section 771(4)(C) of
the Act, an industry may mean producers in the United States, as defined
above in this paragraph, in a particular market in the United States if
such producers sell all or almost all of their production of the like
product in that market and if the demand for the like product in that
market is not supplied to any substantial degree by producers of the
like product located elsewhere in the United States.
(i) Interested party. Interested party means:
(1) A producer, exporter, or United States importer of the
merchandise, or a trade or business association a majority of the
members of which are importers of the merchandise;
(2) The government of the country in which the merchandise is
produced (the affected country);
(3) A producer in the United States of the like product or seller
(other than a retailer) in the United States of the like product
produced in the United States;
(4) A certified or recognized union or group of workers which is
representative of the industry or of sellers (other than retailers) in
the United States of the like product produced in the United States;
(5) A trade or business association a majority of the members of
which are producers in the United States of the like product or sellers
(other than retailers) in the United States of the like product produced
in the United States; or
(6) An association a majority of the members of which are interested
parties, as defined in paragraph (i)(3), (i)(4), or (i)(5) of this
section.
(j) Investigation. An investigation begins on the date of
publication of notice of initiation of investigation and ends on the
date of publication of the earliest of (1) notice of termination of
investigation, (2) notice of rescission of investigation, (3) notice of
a negative determination that has the effect of terminating the
proceeding, or (4) an order.
(k) The merchandise. The merchandise means the class or kind of
merchandise imported or sold, or likely to be sold, for importation into
the United States, that is the subject of the proceeding.
(l) Party to the proceeding. Party to the proceeding means any
interested party, within the meaning of paragraph (i) of this section,
which actively participates, through written submissions of factual
information or written argument, in a particular decision by the
Secretary subject to judicial review. Participation in a prior
reviewable decision will not confer on any interested party party to the
proceeding status in a subsequent decision by the Secretary subject to
judicial review.
(m) Person. Person includes any interested party as well as any
other individual, enterprise, or entity, as appropriate.
(n) Proceeding. A proceeding begins on the date of the filing of a
petition, publication of notice of initiation under 355.11, or
publication of notice of initiation under 355.22(i) if the review is of
the merchandise subject to an understanding or other kind of agreement
accepted 355.17(b), and ends on the date of publication of the earliest
of notice of (1) dismissal of petition, (2) rescission of initiation,
(3) termination of investigation, (4) a negative determination that has
the effect of terminating the proceeding, (5) revocation of an order, or
(6) termination of a suspended investigation.
(o) Producer; production. Producer means a manufacturer or producer.
Production means manufacture or production.
(p) Sale; likely sale. A sale includes a contract to sell and a
lease that is equivalent to a sale. A likely sale means a person's
irrevocable offer to sell.
(q) Secretary. Secretary means the Secretary of Commerce or a
designee. The Secretary has delegated to the Assistant Secretary for
Import Administration the authority to make final determinations under
355.18(i), 355.20, and 355.22(i). The Deputy Assistant Secretaries for
Import Administration, Investigations, and Compliance have other
delegated authority relating to countervailing duties.
19 CFR 355.3 Record of proceedings.
(a) Official record. The Secretary will maintain in the Import
Administration Central Records Unit, at the location stated in
355.31(d), an official record of each proceeding. The Secretary will
include in the record all factual information, written argument, or
other material developed by, presented to, or obtained by the Secretary
during the course of the proceeding which pertains to the proceeding.
The record will include government memoranda pertaining to the
proceeding, memoranda of ex parte meetings, determinations, notices
published in the Federal Register, and transcripts of hearings. The
record will not include any factual information, written argument, or
other material which is not timely filed or which the Secretary returns
to the submitter under 355.31(b)(2), 355.32(d), 355.32(g), or
355.34(c). The record will contain material that is public, proprietary,
privileged, and classified. For purposes of section 516A(b)(2) of the
Act, the record is the official record of each judicially reviewable
segment of the proceeding.
(b) Public record. The Secretary will maintain in the Central
Records Unit a public record of each proceeding. The record will
consist of all material described in paragraph (a) of this section that
the Secretary decides is public information within the meaning of
355.4(a), governmental memoranda or portions of memoranda that the
Secretary decides may be disclosed to the general public, plus public
versions of all determinations, notices, and transcripts. The public
record will be available to the public for inspection and copying in the
Central Records Unit (see 355.31(d)). The Secretary will charge an
appropriate fee for providing copies of documents.
(c) Protection of records. Unless ordered by the Secretary or
required by law, no record or portion of a record will be removed from
the Department.
19 CFR 355.4 Public, proprietary, privileged, and classified
information.
(a) Public information. The Secretary normally will consider the
following to be public information:
(1) Factual information of a type that has been published or
otherwise made available to the public by the person submitting it;
(2) Factual information that is not designated proprietary by the
person submitting it;
(3) Factual information which, although designated proprietary by the
person submitting it, is in a form which cannot be associated with or
otherwise used to identify activities of a particular person;
(4) Publicly available laws, regulations, decrees, orders, and other
official documents of a country, including English translations; and
(5) Written argument relating to the proceeding that is not
designated proprietary.
(b) Proprietary information. The Secretary normally will consider
the following factual information to be proprietary information, if so
designated by the submitter:
(1) Business or trade secrets concerning the nature of a product or
production process;
(2) Production costs (but not the identity of the production
components unless a particular component is a trade secret);
(3) Distribution costs (but not channels of distribution);
(4) Terms of sale (but not terms of sale offered to the public);
(5) Prices of individual sales, likely sales, or other offers (but
not (i) components of prices, such as transportation, if based on
published schedules, (ii) dates of sale, (iii) product descriptions
except as described in paragraph (b)(1), or (iv) order numbers);
(6) The names of particular customers, distributors, or suppliers
(but not destination of sale or designation of type of customer,
distributor, or supplier, unless the destination or designation would
reveal the name);
(7) The exact amounts of the gross or net subsidies received and used
by a person (but not descriptions of the operations of the subsidies, or
the amount if included in official public statements or published
documents);
(8) The names of particular persons from whom proprietary information
was obtained; and
(9) Any other specific business information the release of which to
the public would cause substantial harm to the competitive position of
the submitter.
(c) Privileged information. The Secretary will consider information
privileged if, based on principles of law concerning privileged
information, the Secretary decides that the information should not be
released to the public or to parties to the proceeding.
(d) Classified information. Classified information is information
that is classified under Executive Order No. 12356 of April 2, 1982 (43
FR 28949) or successor executive order, if applicable.
19 CFR 355.5 Library of foreign subsidy practices and countervailing
measures.
The Secretary will maintain in the Central Records Unit a library of
public information relating to all foreign subsidy practices and
countervailing measures that are known to the Secretary, whether or not
the subject of a proceeding. The Secretary will make documents in the
library available to the public and will charge an appropriate fee for
providing copies of documents. For further information, contact the
Central Records Unit at the location stated in 355.31(d).
19 CFR 355.6 Trade and Tariff Act of 1984 -- effective date.
In accordance with section 626 of the Trade and Tariff Act of 1984
(Pub. L. No. 98-573) (for purposes of this subpart, referred to as ''the
1984 Act''), the amendments to the Act made by Title VI of the 1984 Act
are deemed effective as follows:
(a) Except as provided in paragraphs (b), (c), and (d) of this
section, all amendments made by Title VI of the 1984 Act which affect
authorities administered by the Secretary are effective on October 30,
1984.
(b) Amendments made by sections 602, 611, 612, and 620 of the 1984
Act which affect authorities administered by the Secretary take effect
immediately with respect to all investigations and administrative
reviews begun on or after October 30, 1984.
(c) Amendments made by section 623 of the 1984 Act, regarding
judicial review, apply with respect to civil actions pending on, or
filed on or after, October 30, 1984.
(d) Notwithstanding the provisions of paragraphs (a) and (b) of this
section, the Secretary may implement the amendments of the 1984 Act at a
date later than October 30, 1984, if the Secretary determines that
implementation in accordance with paragraphs (a) or (b) of this section
would prevent the Department from complying with other requirements of
law.
19 CFR 355.7 De minimis net subsidies disregarded.
For purposes of this part, the Secretary will disregard any aggregate
net subsidy that the Secretary determines is less than 0.5% ad valorem,
or the equivalent specific rate.
19 CFR 355.7 Subpart B -- Countervailing Duty Procedures
19 CFR 355.11 Self-initiation.
(a) In general. (1) If the Secretary determines from available
information that an investigation is warranted with respect to the
merchandise, the Secretary will initiate an investigation and publish in
the Federal Register notice of ''Initiation of Countervailing Duty
Investigation.'' The Secretary will publish the notice only after
providing the government of the affected country an opportunity for
consultation to the extent required by Article 3(1) of the Agreement or
by a substantially equivalent obligation.
(2) The notice will include:
(i) A description of the merchandise, after consultation as
appropriate with the Commission;
(ii) The name of the country in which the merchandise is produced
and, if the merchandise is imported from a country other than that in
which it is produced, the name of the intermediate country; and
(iii) A summary of the available information that would, if accurate,
support the imposition of countervailing duties.
(b) Information provided to the commission. If the merchandise is
from a country entitled to an injury test for the merchandise, the
Secretary will notify the Commission at the time of initiation of the
investigation and will make available to it and to its employees
directly involved in the proceeding all information upon which the
Secretary based the initiation and which the Commission may consider
relevant to its injury determinations.
19 CFR 355.12 Petition requirements.
(a) In general. Any interested party, as defined in paragraph
(i)(3), (i)(4), (i)(5), or (i)(6) of 355.2, may file on behalf of an
industry a petition under this section requesting the imposition of
countervailing duties equal to the alleged subsidy, if that person has
reason to believe that:
(1) A subsidy is being provided with respect to the merchandise, and
(2) If the merchandise is from a country entitled to an injury test
for the merchandise, an industry is materially injured, is threatened
with material injury, or its establishment is materially retarded by the
merchandise.
Factual information in the petition shall be certified, as provided
in 355.31(i).
(b) Contents of petition. The petition shall contain the following,
to the extent reasonably available to the petitioner:
(1) The name and address of the petitioner and any person the
petitioner represents;
(2) The identity of the industry on behalf of which the petitioner is
filing, including the names and addresses of other persons in the
industry (if numerous, provide information at least for persons that,
based on publicly available information, individually accounted for two
percent or more of the industry, in terms of sales or production levels,
during the most recent 12-month period);
(3) A statement indicating whether the petitioner has filed for
import relief under sections 337 or 732 of the Act (19 U.S.C. 1337 or
1673a), sections 201 or 301 of the Trade Act of 1974 (19 U.S.C. 2251 or
2411), or section 232 of the Trade Expansion Act of 1962 (19 U.S.C.
1862) with respect to the merchandise;
(4) A detailed description of the merchandise that defines the
requested scope of the investigation, including technical
characteristics and uses of the merchandise, and its current U.S.
tariff classification number;
(5) The name of the country in which the merchandise is produced and,
if the merchandise is imported from a country other than that in which
it is produced, the name of the intermediate country;
(6) The names and addresses of each person the petitioner believes
benefits from the subsidy and exports the merchandise to the United
States and the proportion of total exports to the United States which
each person accounted for during the most recent 12-month period (if
numerous, provide information at least for persons that, based on
publicly available information, individually accounted for two percent
or more of the exports);
(7) The alleged subsidy and factual information (particularly
documentary evidence) relevant to the alleged subsidy, including the
authority under which it is provided, the manner in which it is paid,
and the value of the subsidy to producers or exporters of the
merchandise;
(8) If the petitioner alleges an upstream subsidy under section 771A
of the Act, factual information regarding:
(i) Domestic subsidies described in section 771(5) of the Act that
the government of the affected country provides to the upstream
supplier;
(ii) The competitive benefit the subsidies bestow on the merchandise;
and
(iii) The significant effect the subsidies have on the cost of
producing the merchandise;
(9) The volume and value of the merchandise during the most recent
two-year period and any other recent period that the petitioner believes
to be more representative or, if the merchandise was not imported during
the two-year period, information as to the likelihood of its sale for
importation;
(10) The name and address of each person the petitioner believes
imports or, if there were no importations, is likely to import the
merchandise;
(11) If the merchandise is from a country entitled to an injury test
for the merchandise, factual information regarding material injury,
threat of material injury, or material retardation, as described in 19
CFR 207.11 and 207.26;
(12) If the petitioner alleges ''critical circumstances'' under
355.16, factual information regarding:
(i) Material injury which is difficult to repair;
(ii) Massive imports in a relatively short period; and
(iii) An export subsidy inconsistent with the Agreement; and
(13) Any other factual information on which the petitioner relies.
(c) Simultaneous filing with the Commission. If the merchandise is
from a country entitled to an injury test for the merchandise, the
petitioner must file a copy of the petition with the Commission and the
Secretary on the same day and so certify in submitting the petition to
the Secretary.
(d) Proprietary status of information. The Secretary will not
consider any factual information for which the petitioner requests
proprietary treatment unless the petitioner meets the requirements of
355.32.
(e) Amendment of petition. The Secretary will allow timely amendment
of the petition. If the merchandise is from a country entitled to an
injury test for the merchandise, the petitioner must file an amendment
with the Commission and the Secretary on the same day and so certify in
submitting the amendment to the Secretary. The timeliness of new
allegations is controlled under 355.31.
(f) Where to file; time of filing; format and number of copies.
The requirements of 355.31(d), (e), and (f) apply to this section.
(g) Notification of affected country's representative. Upon receipt
of a petition, the Secretary will deliver a public version of the
petition, as described in 355.31(e)(2), to a representative in
Washington, DC, of the government of the affected country.
(h) Petition based upon derogation of an international undertaking on
official export credits. In addition to the other requirements of this
section, if the sole basis of a petition is the derogation of an
international undertaking on official export credits, the Secretary will
immediately notify the Secretary of the Treasury of the filing. The
petitioner shall file a copy of the petition with the Secretary of the
Treasury and the Secretary on the same day and so certify in submitting
the petition to the Secretary.
(i) Assistance to small businesses; additional information.
(1) The Secretary will provide technical assistance to eligible small
businesses, as defined in section 339 of the Act, to enable them to
prepare and file petitions. The Secretary may deny assistance if the
Secretary concludes that the petition, if filed, could not satisfy the
requirements of 355.13.
(2) For additional information concerning petitions, contact the
Deputy Assistant Secretary for Investigations, Import Administration,
International Trade Administration, Room B099, U.S. Department of
Commerce, Pennsylvania Avenue and 14th Street, N.W., Washington, DC
20230; (202) 377-5497.
(j) Limitation on communication before initiation.
(1) Except as provided in paragraph (j)(2) of this section, before
the Secretary decides whether to initiate an investigation, the
Secretary will not accept from an interested party, as defined in
paragraph (i)(1) or (i)(2) of 355.2, oral or written communication
regarding a petition except inquiries concerning the status of the
proceeding.
(2) The Secretary will provide the government of the affected country
an opportunity for consultation to the extent required by Article 3(1)
of the Agreement or by a substantially equivalent obligation.
(The information collection requirements contained in paragraph (b)
have been approved by the Office of Management and Budget under control
number 0625-0148)
19 CFR 355.13 Determination of sufficiency of petition.
(a) Determination of sufficiency. Not later than 20 days after a
petition is filed under 355.12, the Secretary will determine whether
the petition properly alleges the basis on which a countervailing duty
may be imposed under section 701(a) of the Act, contains information
reasonably available to the petitioner supporting the allegations, and
is filed by an interested party as defined in paragraph (i)(3), (i)(4),
(i)(5), or (i)(6) of 355.2.
(b) Notice of initiation. If the Secretary determines that the
petition is sufficient under paragraph (a) of this section, the
Secretary will initiate an investigation and publish in the Federal
Register notice of ''Initiation of Countervailing Duty Investigation.''
The notice will include the information described in 355.11(a)(2). If
the merchandise is from a country entitled to an injury test for the
merchandise, the Secretary will notify the Commission at the time of
initiation of the investigation and will make available to it and to its
employees directly involved in the proceeding all information upon which
the Secretary based the initiation and which the Commission may consider
relevant to its injury determinations.
(c) Insufficiency of petition. If the Secretary determines that a
petition is insufficient under paragraph (a) of this section, the
Secretary will dismiss the petition in whole or in part and, if
appropriate, terminate the proceeding. The Secretary will notify the
petitioner in writing of the reasons for dismissal, notify the
Commission of the dismissal, if appropriate, and publish in the Federal
Register notice of ''Dismissal of Countervailing Duty Petition,''
summarizing the reasons for dismissal.
19 CFR 355.14 Request for exclusion from countervailing duty order.
(a) Any producer or exporter which exported the merchandise to the
United States during the period described in paragraph (b)(1) of this
section and which desires exclusion from a countervailing duty order
must submit to the Secretary, not later than 30 days after the date of
publication of the notice of initiation under 355.11 or 355.13, an
irrevocable written request for exclusion.
(b) The person must submit with the request:
(1) The person's certification that the person did not apply for or
receive any net subsidy on the merchandise, during the period from the
beginning of the last fiscal year for which the person has records to
the date of filing of the petition, from any program listed in the
Secretary's notice of initiation (except programs that the Secretary has
previously found, in a notice published under 355.20 or 355.22(c)(8),
not to be countervailable) and will not apply for or receive any subsidy
on the merchandise in the future;
(2) The certification of the government of the affected country that
the government did not provide to that person any net subsidy during the
period described in paragraph (b)(1) of this section; and
(3) If the person is not the producer of the merchandise, the
certification under paragraph (b)(1) of this section of the suppliers
and producers of the merchandise and the certification under paragraph
(b)(2) of this section of the government regarding those suppliers and
producers.
(c) The Secretary will investigate requests for exclusion to the
extent practicable in each investigation.
19 CFR 355.15 Preliminary determination.
(a) In general. (1) Not later than 85 days after the date of filing
of a petition or the date of publication of notice of initiation under
355.11, the Secretary will make a determination based on the available
information at the time whether there is a reasonable basis to believe
or suspect that a subsidy is being provided with respect to the
merchandise. If the merchandise is from a country entitled to an injury
test for the merchandise, the Secretary will not make the determination
unless the Commission has made an affirmative preliminary determination.
(2) The Secretary's determination will include:
(i) The factual and legal conclusions on which the determination is
based;
(ii) The estimated net subsidy, if any, stated on a country-wide
basis, except as provided in 355.20(d); and
(iii) A preliminary finding on critical circumstances, if
appropriate, under 355.16(b)(2)(i).
(3) If affirmative, the Secretary's determination will also:
(i) Order the suspension of liquidation of all entries of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the date of publication of the notice of the Secretary's
preliminary determination; and
(ii) Impose provisional measures by instructing the Customs Service
to require for each entry of the merchandise suspended under this
paragraph a cash deposit or bond equal to the estimated net subsidy.
(4) The Secretary will publish in the Federal Register notice of
''Affirmative (Negative) Preliminary Countervailing Duty
Determination,'' including the estimated net subsidy, if any, and an
invitation for argument consistent with 355.38.
(5) The Secretary will notify all parties to the proceeding. If the
merchandise is from a country entitled to an injury test for the
merchandise, the Secretary also will notify the Commission.
(b) Postponement in extraordinarily complicated investigation. If
the Secretary decides the investigation is extraordinarily complicated,
the Secretary may postpone the preliminary determination to not later
than 150 days after the proceeding begins. The Secretary will base the
decision on express findings that:
(1) The respondent parties to the proceeding are cooperating in the
investigation;
(2) The investigation is extraordinarily complicated by reason of (i)
the large number or complex nature of the alleged subsidies, (ii) novel
issues raised, (iii) the need to determine the extent to which
particular subsidies are used by individual producers or exporters, or
(iv) the large number of producers and exporters; and
(3) Additional time is needed to make the preliminary determination.
(c) Postponement at the request of the petitioner. If the
petitioner, not later than 25 days before the scheduled date for the
Secretary's preliminary determination, requests a postponement and
states the reasons for the request, the Secretary will postpone the
preliminary determination to not later than 150 days after the date of
filing of the petition, unless the Secretary finds compelling reasons to
deny the request.
(d) Postponement to investigate upstream subsidies. (1) Any
interested party shall submit in writing any allegation of upstream
subsidies not later than 10 days before the scheduled date for the
Secretary's preliminary determination under this part.
(2) If the Secretary decides to investigate an upstream subsidy
allegation and concludes that additional time is needed to investigate
the allegation, the Secretary may postpone the preliminary determination
to not later than 250 days after the proceeding begins (up to 310 days
if also postponed under paragraph (b) or (c) of this section).
(e) Notice of postponement. (1) If the Secretary decides to postpone
the preliminary determination under paragraph (b) or (c) of this
section, the Secretary will notify all parties to the proceeding not
later than 20 days before the scheduled date for the Secretary's
preliminary determination and will publish in the Federal Register
notice of ''Postponement of Preliminary Countervailing Duty
Determination,'' stating the reasons for the postponement.
(2) If the Secretary decides to postpone the preliminary
determination under paragraph (d)(2) of this section, the Secretary will
notify all parties to the proceeding not later than the scheduled date
for the Secretary's preliminary determination and will publish in the
Federal Register notice of ''Postponement of Preliminary Countervailing
Duty Determination'' stating the reasons for the postponement.
(f) Expedited preliminary determination. Not later than 55 days
after the initiation of an investigation under 355.13, the Secretary
will review the record of the first 50 days of the investigation. If
the available information is sufficient for the Secretary to make a
preliminary determination, the Secretary will disclose to the
petitioner, and any interested party that has requested disclosure, all
available public and proprietary information (subject to the
requirements of 355.34). If, not later than three business days after
disclosure, each party to whom disclosure was made furnishes an
irrevocable written waiver of verification and agrees to a preliminary
determination based on information in the record on the 50th day of the
investigation, the Secretary will make an expedited preliminary
determination.
(g) Commission access to information. If the merchandise is from a
country entitled to an injury test for the merchandise, the Secretary
will make available to the Commission and to employees of the Commission
directly involved in the proceeding all information upon which the
Secretary based the determination and which the Commission may consider
relevant to its injury determination.
(h) Disclosure. Promptly after making the preliminary determination,
the Secretary will provide to parties to the proceeding which request
disclosure a further explanation of the calculation methodology used in
making the determination.
19 CFR 355.16 Critical circumstances findings.
(a) In general. If the merchandise is from a country entitled to an
injury test for the merchandise and if a petitioner submits to the
Secretary a written allegation of critical circumstances, with
reasonably available factual information supporting the allegation, not
later than 21 days before the scheduled date of the Secretary's final
determination, or on the Secretary's own initiative in an investigation
under 355.11, the Secretary will make a finding whether:
(1) Any alleged export subsidy that benefits the merchandise is
inconsistent with the Agreement; and
(2) There have been massive imports of the merchandise over a
relatively short period.
(b) Preliminary finding. (1) If the petitioner submits the
allegation of critical circumstances not later than 30 days before the
scheduled date for the Secretary's final determination under 355.20,
the Secretary, based on the available information, will make a
preliminary finding whether there is a reasonable basis to believe or
suspect that critical circumstances as described in paragraph (a) of
this section exist.
(2) The Secretary will issue the preliminary finding:
(i) Not later than the Secretary's preliminary determination under
355.15, if the allegation is submitted not later than 20 days before the
scheduled date for the preliminary determination; or
(ii) Not later than 30 days after the petitioner submits the
allegation, if the allegation is submitted later than 20 days before the
scheduled date for the Secretary's preliminary determination.
The Secretary will notify the Commission and publish in the Federal
Register notice of the preliminary finding.
(c) Suspension of liquidation. If the Secretary makes an affirmative
preliminary finding of critical circumstances, either before or at the
time of an affirmative preliminary determination under 355.15, any
suspension of liquidation ordered under 355.15 will apply to all
entries of the merchandise covered by the finding entered, or withdrawn
from warehouse, for consumption on or after 90 days before the date of
the order of suspension of liquidation. If the Secretary makes an
affirmative preliminary finding of critical circumstances after an
affirmative preliminary determination under 355.15, the Secretary will
amend the order suspending liquidation to apply to all entries of the
merchandise covered by the finding entered, or withdrawn from warehouse,
for consumption on or after 90 days before the date suspension of
liquidation was first ordered.
(d) Final finding. For any allegation submitted not later than 21
days before the scheduled date for the Secretary's final determination
under 355.20, the Secretary will make a final finding on critical
circumstances. If the final finding is affirmative and if the Secretary
did not make an affirmative preliminary finding of critical
circumstances, the Secretary will order the suspension of liquidation of
all entries of the merchandise entered, or withdrawn from warehouse, for
consumption on or after 90 days before the date the Secretary ordered
suspension of liquidation either as part of an affirmative preliminary
or final determination. If the final finding is negative and if the
Secretary made an affirmative preliminary finding of critical
circumstances, the Secretary will end the retroactive suspension of
liquidation ordered under paragraph (c) of this section, and will
instruct the Customs Service to release the cash deposit or bond.
(e) Findings in self-initiated investigations. In investigations
initiated under 355.11, the Secretary will make a preliminary and final
finding on critical circumstances without regard to the time limits in
paragraphs (b) and (d) of this section.
(f) Massive imports. (1) In determining for the purpose of paragraph
(a) of this section whether imports of the merchandise have been
massive, the Secretary normally will examine:
(i) The volume and value of the imports;
(ii) Seasonal trends; and
(iii) The share of domestic consumption accounted for by the imports.
(2) In general, unless the imports during the period identified in
paragraph (g) of this section have increased by at least 15 percent over
the imports during an immediately preceding period of comparable
duration, the Secretary will not consider the imports massive.
(g) Relatively short period. For the purpose of paragraph (a) of
this section, the Secretary normally will consider the period beginning
on the date the proceeding begins and ending approximately three months
later. However, if the Secretary finds that importers or exporters had
reason to believe, at some time prior to the beginning of the
proceeding, that a proceeding was likely, then the Secretary may
consider a period of not less than three months from that earlier time.
19 CFR 355.17 Termination of investigation.
(a) Withdrawal of petition. (1) Except as provided in paragraph (b)
of this section, the Secretary may terminate an investigation upon
withdrawal of the petition by the petitioner, or on the Secretary's own
initiative in an investigation initiated under 355.11, after notifying
all parties to the proceeding and, if the merchandise is from a country
entitled to an injury test on the merchandise, after consultation with
the Commission. The Secretary may not terminate an investigation unless
the Secretary concludes the termination is in the public interest.
(2) If the Secretary terminates an investigation, the Secretary will
publish in the Federal Register notice of ''Termination of
Countervailing Duty Investigation'' together with, when appropriate, a
copy of any correspondence with the petitioner forming the basis of the
withdrawal and the termination.
(b) Withdrawal of petition based on acceptance of quantitative
restriction agreements. (1) The Secretary may not terminate under
paragraph (a) of this section an investigation by accepting an
understanding or other kind of agreement with the government of the
affected country to restrict the volume of the merchandise unless the
Secretary, taking into account the factors listed in section
704(a)(2)(B) of the Act, is satisfied that termination is in the public
interest.
(2) In deciding for the purpose of paragraph (b)(1) of this section
whether termination is in the public interest, the Secretary, to the
extent practicable, will consult with representatives of potentially
affected United States consuming industries and potentially affected
persons in the industry, including persons not parties to the
proceeding.
(3) At the direction of the President of the United States or a
designee, the Secretary will modify any understanding or other kind of
quantitative restriction agreement accepted under paragraph (b)(1) of
this section as a result of consultations entered into under section
761(a) of the Act.
(c) Negative determination. An investigation terminates, without
further comment or action, upon publication in the Federal Register of
the Secretary's negative final determination or the Commission's
negative preliminary or final determination.
(d) End of suspension of liquidation. If the Secretary previously
ordered suspension of liquidation, the Secretary will order the
suspension ended on the date of publication of the notice of termination
under paragraph (a) of this section or on the date of publication of a
negative determination referred to in paragraph (c) of this section, and
will instruct the Customs Service to release any cash deposit or bond.
19 CFR 355.18 Suspension of investigation.
(a) Agreement to eliminate or offset completely a subsidy or to cease
exports. If the Secretary is satisfied that suspension is in the public
interest, the Secretary may suspend an investigation at any time before
the Secretary's final determination by accepting an agreement with the
government of the affected country or exporters that account for
substantially all of the merchandise:
(1) To eliminate or to offset completely the net subsidy with respect
to the merchandise; or
(2) To cease exports of the merchandise not later than 180 days after
the date of publication of the notice of suspension of investigation.
(b) Agreement eliminating injurious effect. (1) As provided in this
paragraph and paragraph (b)(2) or (b)(3), the Secretary may suspend an
investigation at any time before the Secretary's final determination if
the merchandise is from a country entitled to an injury test for the
merchandise and if the Secretary:
(i) Is satisfied that the proposed suspension is in the public
interest;
(ii) Finds that extraordinary circumstances are present; and
(iii) Finds that the agreement will eliminate completely the
injurious effect of the merchandise.
(2) The Secretary may suspend an investigation under paragraph (b)(1)
of this section by accepting an agreement with the government of the
affected country or exporters that account for substantially all of the
merchandise, if the Secretary finds that:
(i) The agreement will prevent the suppression or undercutting by the
merchandise of prices of like products produced in the United States;
and
(ii) The agreement will eliminate or offset completely at least 85
percent of the net subsidy.
(3) The Secretary may suspend an investigation under paragraph (b)(1)
of this section by accepting an agreement with the government of the
affected country to restrict the volume of the merchandise. In
considering for the purpose of this paragraph whether suspension is in
the public interest, the Secretary will take into account, in addition
to other factors the Secretary considers appropriate, the factors listed
in section 704(a)(2)(B) of the Act. To the extent practicable, the
Secretary will consult with representatives of potentially affected
United States consuming industries and potentially affected persons in
the industry, including persons not party to the proceeding.
(c) Definition of ''substantially all.'' For purposes of paragraphs
(a) and (b)(2) of this section, exporters which account for
''substantially all'' of the merchandise means exporters that have
accounted for not less than 85 percent by value or volume of the
merchandise during the period for which the Department is measuring
benefits in the investigation or such other period that the Secretary
considers representative.
(d) Definition of ''extraordinary circumstances.'' For purposes of
paragraph (b) of this section, ''extraordinary circumstances'' means
circumstances in which (1) suspension of the investigation will be more
beneficial to the industry than continuation of the investigation and
(2) there are a large number of alleged subsidy practices which are
complicated, the issues raised are novel, or the number of exporters is
large.
(e) Monitoring. The Secretary will not accept an agreement unless
effective monitoring of the agreement by the Secretary is practicable.
In monitoring an agreement under paragraph (b) of this section, the
Secretary will not be obliged to ascertain on a continuing basis the
prices in the United States of the merchandise or of like products
produced in the United States.
(f) Exports not to increase during interim period. The Secretary
will not accept an agreement under paragraph (a) of this section unless
the agreement ensures that the quantity of the merchandise exported
during the interim period set forth in the agreement does not exceed the
quantity of the merchandise exported during a period of comparable
duration that the Secretary considers representative.
(g) Procedure for suspension of investigation. (1) The government of
the affected country or the exporters, as appropriate, shall:
(i) Submit to the Secretary a proposed agreement not later than 45
days before the scheduled date for the Secretary's final determination
under 355.20; and
(ii) Serve a copy of an agreement preliminarily accepted by the
Secretary on other parties to the proceeding not later than the day
following the Secretary's preliminary acceptance.
(2) The Secretary will:
(i) Not later than 30 days before the date the Secretary suspends the
investigation, notify all parties to the proceeding of the proposed
suspension and provide to the petitioner a copy of the agreement
preliminarily accepted by the Secretary (the agreement shall contain the
procedures for monitoring compliance and a statement of the
compatibility of the agreement with the requirements of this section);
and
(ii) Consult with the petitioner concerning the proposed suspension.
(3) The Secretary will provide all interested parties and United
States Government agencies an opportunity to submit, not later than 10
days before the scheduled date for the Secretary's final determination,
written argument and factual information concerning the proposed
suspension.
(h) Acceptance of agreement. (1) If the Secretary accepts an
agreement to suspend an investigation, the Secretary will publish in the
Federal Register notice of ''Suspension of Countervailing Duty
Investigation,'' including the text of the agreement. If the Secretary
has not already published notice of affirmative preliminary
determination, the Secretary will include that notice. In accepting an
agreement, the Secretary may rely on factual or legal conclusions the
Secretary reached in or after the affirmative preliminary determination.
(2) If the Secretary suspends an investigation based on an agreement
under paragraph (a) of this section, the Secretary will not order the
suspension of liquidation of entries of the merchandise. If the
Secretary previously ordered suspension of liquidation, the Secretary
will order the suspension of liquidation ended on the effective date of
notice of suspension of investigation and will instruct the Customs
Service to release any cash deposit or bond.
(3) If the Secretary suspends an investigation based on an agreement
under paragraph (b) of this section, the Secretary will order the
suspension of liquidation to continue or to begin, as appropriate. The
suspension of liquidation will not end until the Commission completes
any requested review, under section 704(h) of the Act, of the agreement.
If the Commission receives no request for review within 20 days after
the date of publication of the notice of suspension of investigation,
the Secretary will order the suspension of liquidation ended on the 21st
day after the date of publication and will instruct the Customs Service
to release any cash deposit or bond.
(4) If the Commission undertakes a review of an agreement under
section 704(h) of the Act and determines that the agreement will not
eliminate the injurious effect, the Secretary will resume the
investigation on the date of publication of the Commission's
determination as if the Secretary's affirmative preliminary
determination had been made on that date. If the Commission determines
that the agreement will eliminate the injurious effect, the Secretary
will continue the suspension of investigation, order the suspension of
liquidation ended on the date of publication of the Commission's
determination, and instruct the Customs Service to release any cash
deposit or bond.
(i) Continuation of investigation.
(1) An interested party, as defined in paragraph (i)(2), (i)(3),
(i)(4), (i)(5), or (i)(6) of 355.2, not later than 20 days after the
date of publication of the notice of suspension of investigation, may
request in writing that the Secretary continue the investigation. If
the merchandise is from a country entitled to an injury test for the
merchandise, the party shall simultaneously file a request with the
Commission to continue its investigation.
(2) Upon receiving the request, the Secretary and, if appropriate,
the Commission will continue the investigation.
(i) If the Secretary and the Commission make affirmative final
determinations, the suspension agreement will remain in effect in
accordance with the factual and legal conclusions in the Secretary's
final determination. This paragraph does not affect the provisions of
paragraph (h) of this section regarding suspension of liquidation.
(ii) If the Secretary or the Commission makes a negative final
determination, the agreement shall have no force or effect.
(j) Merchandise imported in excess of allowed quantity. (1) The
Secretary may instruct the Customs Service not to accept entries, or
withdrawals from warehouse, for consumption of the merchandise in excess
of any quantity allowed by paragraph (f) or by an agreement under
paragraph (a) or (b) of this section.
(2) Imports in excess of the quantity allowed by an agreement may be
exported or destroyed under Customs Service supervision, except that if
the agreement is under paragraph (b)(3) of this section, the excess
merchandise may be held for future opening under the agreement by
placing it in a foreign trade zone or by entering it for warehouse.
(k) Modification of quantitative restriction agreements. At the
direction of the President or a designee, the Secretary will modify an
agreement accepted under paragraph (b)(2) of this section as a result of
consultation under section 761(a) of the Act.
19 CFR 355.19 Violation of agreement.
(a) Immediate determination. If the Secretary determines that the
signatory foreign government or exporters have violated a suspension
agreement, the Secretary, without right of comment, will:
(1) Order the suspension of liquidation of all entries of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the later of (i) 90-days before the date of publication of the
notice of cancellation of agreement or (ii) the date of first entry, or
withdrawal from warehouse, for consumption of the merchandise the sale
or export of which was in violation of the agreement;
(2) If the investigation was not completed under 355.18(i), resume
the investigation as if the Secretary made an affirmative preliminary
determination on the date of publication of the notice of cancellation
and impose provisional measures by instructing the Customs Service to
require for each entry of the merchandise suspended under paragraph
(a)(1) of this section a cash deposit or bond equal to the estimated net
subsidy determined in the affirmative preliminary determination;
(3) If the investigation was completed under 355.18(i), issue a
countervailing duty order for all entries subject to suspension of
liquidation under paragraph (a)(1) of this section and instruct the
Customs Service to require for each entry of the merchandise suspended
under this paragraph a cash deposit equal to the estimated net subsidy
determined in the affirmative final determination;
(4) Notify all persons who are or were parties to the proceeding, the
Commission if appropriate, and if the Secretary determines that the
violation was intentional, the Commissioner of Customs; and
(5) Publish in the Federal Register notice of ''Countervailing Duty
Order (Resumption of Countervailing Duty Investigation); Cancellation
of Suspension Agreement.''
(b) Determination after notice and comment. (1) Notwithstanding
paragraph (a) of this section, if the Secretary has reason to believe
that the signatory government or exporters have violated an agreement or
that an agreement no longer meets the requirements of section 704(d)(1)
of the Act, the Secretary will publish in the Federal Register notice of
''Invitation for Comment on Countervailing Duty Suspension Agreement.''
(2) After publication of the notice inviting comment and after
consideration of comments received the Secretary will:
(i) If the Secretary determines that the signatory government or
exporters have violated the agreement, take appropriate action as
described in paragraphs (a)(1) through (a)(5) of this section; or
(ii) If the Secretary determines that the agreement no longer meets
the requirements of section 704(d)(1) of the Act:
(A) Take appropriate action as described in paragraphs (a)(1) through
(a)(5) of this section, except that, for paragraph (a)(1)(ii) of this
section, the date shall be the date of first entry, or withdrawal from
warehouse, for consumption of the merchandise the sale or export of
which does not meet the requirements of section 704(d)(1) of the Act;
(B) Continue the suspension of investigation by accepting a revised
suspension agreement under 355.18(a) (whether or not the Secretary
accepted the original agreement under that paragraph) that, at the time
the Secretary accepts the revised agreement, meets the applicable
requirements of section 704(d)(1) of the Act, and publish in the Federal
Register notice of ''Revision of Agreement Suspending Countervailing
Duty Investigation;'' or
(C) Continue the suspension of investigation by accepting a revised
suspension agreement under 355.18(b) (whether or not the Secretary
accepted the original agreement under that paragraph) that, at the time
the Secretary accepts the revised agreement, meets the applicable
requirements of section 704(d)(1) of the Act, and publish in the Federal
Register notice of ''Revision of Agreement Suspending Countervailing
Duty Investigation.'' If the Secretary continues to suspend an
investigation based on a revised agreement accepted under 355.18(b),
the Secretary will order suspension of liquidation to begin. The
suspension will not end until the Commission completes any requested
review of the agreement under section 704(h) of the Act. If the
Commission receives no request for review within 20 days after the date
of publication of the notice of the revision, the Secretary will order
the suspension of liquidation ended on the 21st day after the date of
publication, and will instruct the Customs Service to release any cash
deposit or bond. If the Commission undertakes a review under section
704(h) of the Act, the provisions of 355.18(h)(4) will apply.
(iii) If the Secretary decides neither to consider the order violated
nor to revise the agreement, the Secretary will publish in the Federal
Register notice of the Secretary's decision under paragraph (b)(2) of
this section, including a statement of the factual and legal conclusions
on which the decision is based.
(c) Additional signatories. If the Secretary decides that the
agreement no longer meets the requirements of 355.18(b)(1)(iii) or that
the signatory exporters no longer account for substantially all of the
merchandise, the Secretary may revise the agreement to include
additional signatory exporters.
(d) Definition of ''violation.'' For the purpose of this section,
''violation'' means noncompliance with the terms of a suspension
agreement caused by an act or omission of a signatory foreign government
or exporter, except, at the discretion of the Secretary, an act or
omission which is inadvertent or inconsequential.
19 CFR 355.20 Final determination.
(a) In general. (1) Not later than 75 days after the date of the
Secretary's preliminary determination, the Secretary will make a final
determination whether a net subsidy is being provided with respect to
the merchandise.
(2) The Secretary's determination will include:
(i) The factual and legal conclusions on which the determination is
based;
(ii) The estimated net subsidy, if any, stated on a country-wide
basis, except as provided in paragraph (d) or (e) of this section; and
(iii) If appropriate, a final finding on critical circumstances under
355.16.
(3) If affirmative, the Secretary's determination will also:
(i) Unless previously ordered by the Secretary, order the suspension
of liquidation of all entries of the merchandise entered, or withdrawn
from warehouse, for consumption on or after the date of publication of
the notice of the Secretary's final determination; and
(ii) If the merchandise is from a country not entitled to an injury
test for the merchandise, instruct the Customs Service to require a cash
deposit, as provided in 355.21(b), for each suspended entry of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the date of publication of the countervailing duty order under
355.21; or
(iii) If the merchandise is from a country entitled to an injury test
for the merchandise, instruct the Customs Service to require, for each
suspended entry of the merchandise entered, or withdrawn from warehouse,
for consumption on or after the date of publication of the Secretary's
final determination, a cash deposit or bond equal to the estimated net
subsidy determined under paragraph (a) of this section.
(4) The Secretary will publish in the Federal Register notice of
''Affirmative (Negative) Final Countervailing Duty Determination,''
including the estimated net subsidy, if any.
(5) The Secretary will notify all parties to the proceeding. If the
merchandise is from a country entitled to an injury test for the
merchandise, the Secretary will also notify the Commission.
(b) Postponement to investigate upstream subsidies. (1) Any
interested party shall submit in writing any allegation of upstream
subsidies not later than 15 days before the scheduled date for the
Secretary's final determination under this part.
(2) If the Secretary decides to investigate an upstream subsidy
allegation and concludes that additional time is needed to investigate
the allegation, the Secretary may:
(i) If the Secretary's preliminary determination was negative,
postpone the final determination under this section to not later than
165 days after the preliminary determination;
(ii) If the Secretary's preliminary determination was affirmative:
(A) Postpone the final decision concerning upstream subsidization
until the conclusion of the first administrative review of a
countervailing duty order, if any; or
(B) At the written request of the petitioner:
(i) Make the decision concerning upstream subsidization in the final
determination under this section;
(ii) Postpone the final determination to not later than 165 days
after the preliminary determination; and
(iii) End the suspension of liquidation ordered in the preliminary
determination not later than 120 days after the date of publication of
the preliminary determination, and not resume it unless and until the
Secretary publishes a countervailing duty order.
(3) If the Secretary decides to postpone the final determination
under paragraph (b)(2)(i) or (b)(2)(ii)(B) of this section, the
Secretary will notify all parties to the proceeding not later than the
scheduled date for the Secretary's final determination and will publish
in the Federal Register notice of ''Postponement of Final Countervailing
Duty Determination'' stating the reason for the postponement.
(c) Postponement for simultaneous investigations. (1) If the
Secretary simultaneously initiated antidumping and countervailing duty
investigations on the merchandise (from the same or other countries),
the Secretary will:
(i) At the petitioner's request, postpone the final determination
under this part to the date of the final determination under part 353,
unless the Secretary's final determination under this part is due on a
later date as the result of postponement under paragraph (b) of this
section or 355.15; and
(ii) If the Secretary postpones the final determination, end any
suspension of liquidation ordered in the preliminary determination not
later than 120 days after the date of publication of the preliminary
determination, and not resume it unless and until the Secretary
publishes a countervailing duty order.
(2) The petitioner shall submit any such request in writing not later
than 10 days before the scheduled date for the Secretary's final
determination under this part.
(3) If the Secretary decides to postpone the final determination
under paragraph (c)(1) of this section, the Secretary will notify all
parties to the proceeding not later than the scheduled date for the
Secretary's final determination and will publish in the Federal Register
notice of ''Postponement of Final Countervailing Duty Determination''
stating the reason for the postponement.
(d) Calculation of individual rates. (1) For a producer or exporter
that is government-owned, the Secretary will, and to the extent
practicable for other producers or exporters the Secretary may,
investigate whether a significant differential existed, during the
period for which the Department is measuring benefits in the
investigation, between the net subsidy received by an individual
producer or exporter of the merchandise and the weighted-average net
subsidy calculated on a country-wide basis.
(2) If the Secretary decides that an individual (including
government-owned) producer or exporter received a significantly
different net subsidy during the period, the Secretary will state in the
final determination an individual estimated net subsidy for that person.
(3) A significant differential is:
(i) A difference of the greater of at least five percentage points,
or 25 percent, from the weighted-average net subsidy calculated on a
country-wide basis; or
(ii) The difference between a net subsidy of zero (or de minimis) and
any rate greater than de minimis.
(e) Effect of decision not to exclude from order. If the Secretary
finds that a person requesting exclusion under 355.14 received, during
the period for which the Department measured benefits in the
investigation, any net subsidy from any program that the Secretary
determines countervailable in the affirmative final determination, the
Secretary will state in the affirmative final determination an
individual rate for that person, and that rate will be the basis for the
cash deposit or bond, as appropriate, of estimated countervailing duties
for that person. The individual rate, calculated in accordance with
paragraph (d) of this section, will be either the weighted-average net
subsidy calculated on a country-wide basis or the individual rate
calculated for that person.
(f) Commission access to information. If the merchandise is from a
country entitled to an injury test for the merchandise, the Secretary
will make available to the Commission and to employees of the Commission
directly involved in the proceeding all information upon which the
Secretary based the final determination and which the Commission may
consider relevant to its injury determination.
(g) Effect of negative final determination. An investigation
terminates, without further comment or action, upon publication in the
Federal Register of the Secretary's or the Commission's negative final
determination. If the Secretary previously ordered suspension of
liquidation, the Secretary will order the suspension ended on the date
of publication of the notice of negative final determination and will
instruct the Customs Service to release any cash deposit or bond.
(h) Disclosure. Promptly after making the final determination, the
Secretary will provide to parties to the proceeding which request
disclosure a further explanation of the calculation methodology used in
making the determination.
19 CFR 355.21 Countervailing duty order.
Not later than seven days after receipt of notice of the Commission's
affirmative final determination under section 705 of the Act, or
simultaneously with publication of the Secretary's affirmative final
determination if the merchandise is from a country not entitled to an
injury test for the merchandise, the Secretary will publish in the
Federal Register a ''Countervailing Duty Order'' that:
(a) Instructs the Customs Service to assess countervailing duties on
the merchandise, in accordance with the Secretary's instructions at the
completion of each administrative review requested under 355.22(a) or,
if not requested, in accordance with the Secretary's instructions under
355.22(g);
(b) For each entry of the merchandise entered, or withdrawn from
warehouse, for consumption on or after the date of publication of the
order, instructs the Customs Service to require a cash deposit of
estimated countervailing duties equal to the net subsidy stated in the
Secretary's final determination;
(c) Excludes from the application of the order any producer or
exporter that the Secretary finds did not receive directly or
indirectly, during the period for which the Department measured benefits
in the investigation, any net subsidy on the merchandise from any
program that the Secretary determined countervailable in the affirmative
final determination; and
(d) Orders the suspension of liquidation ended for all entries of the
merchandise entered, or withdrawn from warehouse, for consumption before
the date of publication of the Commission's final determination, and
instructs the Customs Service to release the cash deposit or bond on
those entries, if in its final determination, the Commission found a
threat of material injury or material retardation of the establishment
of an industry, unless the Commission in its final determination also
found that, absent the suspension of liquidation ordered under
355.15(a), it would have found material injury.
19 CFR 355.22 Administrative review of orders and suspension
agreements.
(a) Request for administrative review; withdrawal of request for
review. (1) Each year during the anniversary month of the publication
of an order or suspension of investigation (the calendar month in which
the anniversary of the date of publication of the order or suspension
occurs), an interested party may request in writing that the Secretary
conduct an administrative review of all producers or exporters covered
by an order or an agreement on which suspension of investigation was
based.
(2) During the same month, a producer or exporter covered by an order
may request in writing that the Secretary conduct an administrative
review of only that person if the person submits with the request:
(i) The person's certification that the person did not apply for or
receive any net subsidy on the merchandise, during the appropriate
period described in paragraph (b) of this section, from any program that
the Secretary previously found countervailable in the proceeding, and
that the person will not do so in the future;
(ii) The certification of the government of the affected country that
the government did not provide to that person any net subsidy, during
the period described in paragraph (b) of this section, from any program
that the Secretary previously found countervailable in the proceeding;
and
(iii) If the person is not the producer of the merchandise, the
certifications under paragraph (a)(2)(i) of this section of the
suppliers and producers of the merchandise and the certification under
paragraph (a)(2)(ii) of this section of the government regarding those
suppliers and producers.
(3) The Secretary may permit a party that requests a review under
paragraph (a) of this section to withdraw the request not later than 90
days after the date of publication of notice of initiation of the
requested review. The Secretary may extend this time limit if the
Secretary decides that it is reasonable to do so. When a request for
review is withdrawn, the Secretary will publish in the Federal Register
notice of ''Termination of Countervailing Duty Administrative Review''
or, if appropriate, ''Partial Termination of Countervailing Duty
Administrative Review.''
(b) Period under review. (1) Except as provided in paragraph (b)(2),
an administrative review under paragraph (a) of this section normally
will cover entries or exports of the merchandise during the most
recently completed reporting year of the government of the affected
country.
(2) For requests received during the first anniversary month after
publication of an order or suspension of investigation, the review under
paragraph (a) of this section will cover entries or exports, as
appropriate, during the period from the date of suspension of
liquidation under this part or suspension of investigation to the end of
the most recently completed reporting year of the government of the
affected country.
(c) Procedures. After receipt of a timely request under paragraph
(a) of this section, or on the Secretary's own initiative when
appropriate, the Secretary will:
(1) Not later than 15 days after the anniversary month, publish in
the Federal Register notice of ''Initiation of Countervailing Duty
Administrative Review;''
(2) Normally not later than 30 days after the date of publication of
the notice of initiation, send to appropriate interested parties or a
sample of interested parties questionnaires requesting factual
information for the review;
(3) Conduct, if appropriate, a verification under 355.36;
(4) Issue preliminary results of review, based on the available
information, that include:
(i) The factual and legal conclusions on which the preliminary
results are based;
(ii) The net subsidy, if any, during the period of review stated on a
country-wide basis, except as provided in paragraph (d) or (f) of this
section;
(iii) A description of official changes in the subsidy programs made
by the government of the affected country that affect the cash deposit
of estimated countervailing duties; and
(iv) For an agreement, the Secretary's preliminary conclusions with
respect to the status of, and compliance with, the agreement;
(5) Publish in the Federal Register notice of ''Preliminary Results
of Countervailing Duty Administrative Review,'' including the net
subsidy, if any, the estimated net subsidy for cash deposit purposes,
and an invitation for argument consistent with 355.38, and notify all
parties to the proceeding;
(6) Promptly after issuing the preliminary results, provide to
parties to the proceeding which request disclosure a further explanation
of the calculation methodology used in reaching the preliminary results;
(7) Not later than 365 days after the anniversary month, issue final
results of review that include:
(i) The factual and legal conclusions on which the final results are
based;
(ii) The net subsidy, if any, during the period of review stated on a
country-wide basis, except as provided in paragraph (d) or (f) of this
section;
(iii) A description of official changes in the subsidy programs, made
by the government of the affected country not later than the date of
publication of the notice of preliminary results, that affect the cash
deposit of estimated countervailing duties; and
(iv) For an agreement, the Secretary's conclusions with respect to
the status of, and compliance with, the agreement;
(8) Publish in the Federal Register notice of ''Final Results of
Countervailing Duty Administrative Review,'' including the net subsidy,
if any, and the estimated net subsidy for cash deposit purposes, and
notify all parties to the proceeding;
(9) Promptly after issuing the final results, provide to parties to
the proceeding which request disclosure a further explanation of the
calculation methodology used in reaching the final results; and
(10) Promptly after publication of the notice of final results,
instruct the Customs Service to assess countervailing duties on the
merchandise described in paragraph (b) of this section and to collect a
cash deposit of estimated countervailing duties on future entries. Both
the assessment and the cash deposit will be at the rates found in the
final results of review, calculated on a country-wide basis, except as
provided in paragraph (d) or (f) of this section.
(d) Calculation of individual rates. (1) If a producer or exporter
is government-owned, the Secretary will, and to the extent practicable
for other producers or exporters the Secretary may, review whether a
significant differential existed, during the period under review,
between the net subsidy received by an individual producer or exporter
of the merchandise and the weighted-average net subsidy calculated on a
country-wide basis.
(2) If the Secretary decides that an individual (including
government-owned) producer or exporter received a significantly
different net subsidy during the period, the Secretary will state in the
final results an individual rate for that person, and that rate will be
the basis for the assessment of countervailing duties and, except as
provided in paragraph (c)(7)(iii) of this section, the cash deposit of
estimated countervailing duties for that person.
(3) A significant differential is:
(i) A difference of the greater of at least five percentage points,
or 25 percent, from the weighted-average net subsidy calculated on a
country-wide basis; or
(ii) The difference between a net subsidy of zero (or de minimis) and
any rate greater than de minimis.
(e) Possible cancellation or revision of suspension agreement. If
during an administrative review the Secretary determines or has reason
to believe that the signatory foreign government or exporters have
violated a suspension agreement or that the agreement no longer meets
the requirements of 355.18, the Secretary will take appropriate action
under 355.19. The Secretary may suspend the time limit in paragraph
(c)(7) of this section while taking action under 355.19(b).
(f) Review of individual producer or exporter. For an administrative
review requested under paragraph (a)(2) of this section:
(1) The Secretary will verify whether there is a net subsidy on the
merchandise covered by the request from any program that the Secretary:
(i) Previously found countervailable in the proceeding; or
(ii) Determines in the review to be countervailable.
(2) If the Secretary verifies that the certifications are complete
and accurate with regard to paragraph (f)(1)(i) of this section and
verifies that there is no net subsidy described in paragraph (f)(1)(ii)
of this section on the merchandise, the Secretary will issue and publish
in the Federal Register final results for that person and take actions
under paragraph (c)(9) of this section that include a zero rate of
assessment and the appropriate cash deposit.
(3) If the Secretary verifies that the certifications are complete
and accurate with regard to paragraph (f)(1)(i) but is unable to verify
there is no net subsidy described in paragraph (f)(1)(ii) of this
section on the merchandise, the Secretary will:
(i) Issue and publish final results for that person and take actions
under paragraph (c)(9) of this section that include a rate based on the
net subsidies found; and
(ii) Initiate an administrative review under paragraphs (b) and (c)
of this section of all producers and exporters covered by the order,
unless the Secretary is concurrently reviewing the same period as a
result of a request under paragraph (a)(1) of this section.
(4) If the Secretary is unable to verify that the certifications are
complete and accurate with regard to paragraph (f)(1)(i) of this section
but verifies there is no net subsidy described in paragraph (f)(1)(ii)
of this section on the merchandise, the Secretary will issue and publish
final results for that person and take actions under paragraph (c)(9) of
this section that include a rate based on the previously or concurrently
determined country-wide weighted-average rate.
(5) If the Secretary is unable to verify that the certifications are
complete and accurate with regard to paragraph (f)(1)(i) of this section
and is unable to verify that there is no net subsidy described in
paragraph (f)(1)(ii) of this section on the merchandise, the Secretary
will:
(i) Issue and publish final results for that person and take actions
under paragraph (c)(9) of this section that include a rate based on the
previously determined country-wide weighted-average rate plus the
additional rate under paragraph (f)(1)(ii) of this section, or, if
appropriate, the concurrently determined country-wide weighted-average
rate; and
(ii) Initiate an administrative review under paragraphs (b) and (c)
of this section of all producers and exporters covered by the order,
unless the Secretary is concurrently reviewing the same period as a
result of a request under paragraph (a)(1) of this section.
(6) In addition to the actions described in paragraphs (f)(4) and
(f)(5) of this section, if the Secretary is unable to verify that the
certifications are complete and accurate with regard to paragraph
(f)(1)(i) of this section, the Secretary will refuse to accept any other
requests for review under paragraph (a)(2) of this section for the
duration of the order.
(g) Automatic assessment of duty. (1) For orders, if the Secretary
does not receive a timely request under paragraph (a)(1) or (a)(2) of
this section, the Secretary, without additional notice, will instruct
the Customs Service to assess countervailing duties on the merchandise
described in paragraph (b) of this section at rates equal to the cash
deposit of or bond for estimated countervailing duties required on that
merchandise at the time of entry, or withdrawal from warehouse, for
consumption and to continue to collect the cash deposit previously
ordered.
(2) If the Secretary receives a timely request under paragraph (a)(2)
of this section and no request under paragraph (a)(1) of this section,
the Secretary in accordance with paragraph (g)(1) of this section will
instruct the Customs Service to assess countervailing duties, and to
continue to collect the cash deposits, on the merchandise not covered by
the request.
(h) Changed circumstances review. (1) If the Secretary concludes
from available information, including information in a request under
this paragraph for an administrative review, that changed circumstances
sufficient to warrant a review exist, the Secretary will:
(i) Publish in the Federal Register notice of ''Initiation of Changed
Circumstances Countervailing Duty Administrative Review;''
(ii) If necessary, send to appropriate interested parties or a sample
of interested parties questionnaires requesting factual information for
the review;
(iii) Conduct, if appropriate, a verification under 355.36;
(iv) Issue preliminary results of review based on the available
information that include the factual and legal conclusions on which the
preliminary results are based and any action the Secretary proposes
based on the preliminary results;
(v) Publish in the Federal Register notice of ''Preliminary Results
of Changed Circumstances Countervailing Duty Administrative Review,''
including an invitation for argument consistent with 355.38;
(vi) Notify all parties to the proceeding of the preliminary results;
(vii) Promptly after issuing the preliminary results, provide to
parties to the proceeding which request disclosure a further explanation
of the preliminary results;
(viii) Not later than 270 days after the date of the Secretary's
initiation of the review, issue final results of review that include the
factual and legal conclusions on which the final results are based and
any action, including action under paragraph (c)(9) of this section and
355.25(d), that the Secretary will take based on the final results;
(ix) Publish in the Federal Register notice of ''Final Results of
Changed Circumstances Countervailing Duty Administrative Review;'' and
(x) Notify all parties to the proceeding; and
(xi) Promptly after issuing the final results, provide to the parties
to the proceeding which request disclosure a further explanation of the
final results.
(2) Changed circumstances reviews may be requested at any time,
including periods other than anniversary months.
(3) The Secretary will not initiate an administrative review under
paragraph (h) of this section before the end of the second annual
anniversary month (the calendar month in which the anniversary of the
date of publication of the order or suspension occurs) after the date of
publication of the Secretary's affirmative preliminary determination or
suspension of investigation, unless the Secretary finds that good cause
exists.
(4) If the Secretary concludes that expedited action is warranted,
the Secretary may combine the notices identified in paragraphs (h)(1)(i)
and (h)(1)(v) of this section in a notice of ''Initiation and
Preliminary Results of Changed Circumstances Countervailing Duty
Administrative Review.'' In that event, the notification required in
paragraph (h)(1)(vi) of this section will be given to all interested
parties included on the Department's service list described in
355.31(h).
(i) Review at the direction of the president. At the direction of
the President or a designee, the Secretary will conduct an
administrative review to determine if a net subsidy is being provided
with respect to the merchandise subject to an understanding or other
kind of quantitative restriction agreement accepted under 355.17(b) or
355.18(b)(3). The Secretary will:
(1) Publish in the Federal Register notice of ''Initiation of
Countervailing Duty Administrative Review at the Direction of the
President,'' which will include a description of the merchandise, the
period under review, and a summary of the available information which
would, if accurate, support the imposition of countervailing duties;
(2) Notify the Commission;
(3) Send to appropriate interested parties or a sample of interested
parties, normally not later than 30 days after the date of publication
of the notice of initiation, questionnaires requesting factual
information for the review;
(4) Conduct, if appropriate, a verification under 355.36;
(5) Issue preliminary results of review, based on the available
information, that include:
(i) The factual and legal conclusions on which the preliminary
results are based;
(ii) The net subsidy, if any, during the period of review stated on a
country-wide basis, except as provided in paragraph (d) of this section;
and
(iii) A description of official changes in the subsidy programs made
by the government of the affected country that affect the estimated net
subsidy;
(6) Publish in the Federal Register notice of ''Preliminary Results
of Countervailing Duty Administrative Review at the Direction of the
President,'' including the net subsidy, if any, the estimated net
subsidy for cash deposit purposes, and an invitation for argument
consistent with 355.38;
(7) Notify the Commission and all parties to the proceeding;
(8) Promptly after issuing the preliminary results, provide to
parties to the proceeding which request disclosure a further explanation
of the preliminary results;
(9) Issue final results of review that include:
(i) The factual and legal conclusions on which the final results are
based;
(ii) The net subsidy, if any, during the period of review stated on a
country-wide basis, except as provided in paragraph (d) of this section;
and
(iii) A description of official changes in the subsidy programs, made
by the government of the affected country not later than the date of
publication of the notice of preliminary results, that affect the
estimated net subsidy;
(10) Publish in the Federal Register notice of ''Final Results of
Countervailing Duty Administrative Review at the Direction of the
President,'' including the net subsidy, if any, and the estimated net
subsidy for cash deposit purposes; and
(11) Notify all parties to the proceeding;
(12) Promptly after issuing the final results, provide to parties to
the proceeding which request disclosure a further explanation of the
final results; and
(13) If the Secretary's final results of administrative review under
paragraph (i)(9) of this section and the Commission's final results of
review under section 762(a)(2) of the Act are affirmative:
(i) Publish in the Federal Register a ''Countervailing Duty Order''
under 355.21 on or promptly after the date the agreement terminates;
and
(ii) Order the suspension of liquidation of entries of the
merchandise entered, or withdrawn from warehouse, for consumption on or
after the date of publication of the countervailing duty order.
19 CFR 355.23 Provisional measures deposit cap.
This section applies to the merchandise entered, or withdrawn from
warehouse, for consumption before the date of publication of the
Commission's notice of affirmative final determination or, if the
merchandise is from a country not entitled to an injury test for the
merchandise, the date of the Secretary's notice of affirmative final
determination. If the cash deposit or bond required under the
Secretary's affirmative preliminary or affirmative final determination
is different from the net subsidy the Secretary calculates under
355.22, the Secretary will instruct the Customs Service to disregard the
difference to the extent that the cash deposit or bond is less than the
net subsidy, and to assess countervailing duties equal to the net
subsidy calculated under 355.22 if the cash deposit or bond is more
than the net subsidy.
19 CFR 355.24 Interest on certain overpayments and underpayments.
(a) In general. The Secretary will instruct the Customs Service to
pay or collect, as appropriate, interest on the difference between the
cash deposit of estimated countervailing duties and the assessed
countervailing duties on entries of the merchandise entered, or
withdrawn from warehouse, for consumption on or after the date of
publication of a countervailing duty order.
(b) Rate. The rate or rates of interest payable or collectible under
paragraph (a) of this section for any period of time are the rates
established under section 6621 of the Internal Revenue Code of 1954.
(c) Period. The Secretary will instruct the Customs Service to
calculate interest for each entry from the date that a cash deposit is
required to be deposited for the entry through the date of liquidation
of the entry.
19 CFR 355.25 Revocation of orders; termination of suspended
investigation.
(a) Revocation or termination based on absence of subsidy. (1) The
Secretary may revoke an order or terminate a suspended investigation if
the Secretary concludes that:
(i) The government of the affected country has eliminated all
subsidies on the merchandise by abolishing for the merchandise, for a
period of at least three consecutive years, all programs that the
Secretary has found countervailable; and
(ii) It is not likely that the government of the affected country
will in the future reinstate for the merchandise those programs or
substitute other countervailable programs.
(2) The Secretary may revoke an order or terminate a suspended
investigation if the Secretary concludes that:
(i) All producers and exporters covered at the time of revocation by
the order or the suspension agreement have not applied for or received
any net subsidy on the merchandise for a period of at least five
consecutive years; and
(ii) It is not likely that those persons will in the future apply for
or receive any net subsidy on the merchandise from those programs the
Secretary has found countervailable in any proceeding involving the
affected country or from other countervailable programs.
(3) The Secretary may revoke an order in part if the Secretary
concludes that:
(i) One or more producers or exporters covered by the order have not
applied for or received any net subsidy on the merchandise for a period
of at least five consecutive years;
(ii) It is not likely that those persons will in the future apply for
or receive any net subsidy on the merchandise from those programs the
Secretary has found countervailable in any proceeding involving the
affected country or from other countervailable programs; and
(iii) Except for producers or exporters that the Secretary previously
has determined have not received any net subsidy on the merchandise, the
producers or exporters agree in writing to their immediate reinstatement
in the order, as long as any producer or exporter is subject to the
order, if the Secretary concludes under 355.22(h) that the producer or
exporter, subsequent to the revocation, has received any net subsidy on
the merchandise.
(b) Request for revocation or termination. (1) During the third and
subsequent annual anniversary months of the publication of an order or
suspension of investigation (the calendar month in which the anniversary
of the date of publication of the order or suspension occurs), the
government of the affected country may request in writing that the
Secretary revoke an order or terminate a suspended investigation under
paragraph (a)(1) of this section if the government submits with the
request its certification that it has satisfied, during the period
described in 355.22(b)(1), the requirements of paragraph (a)(1)(i) of
this section and that it shall not reinstate for the merchandise those
programs or substitute other countervailable programs; or
(2) During the fifth and subsequent annual anniversary months of the
publication of an order or suspended investigation, the government of
the affected country may request in writing that the Secretary revoke an
order or terminate a suspended investigation under paragraph (a)(2) of
this section if the government submits with the request:
(i) The certifications required under 355.22(a)(2) for all producers
and exporters covered by the order or suspension agreement; and
(ii) Those producers' and exporters' certifications that they shall
not apply for or receive any net subsidy on the merchandise from any
program described in paragraph (a)(2)(ii) of this section.
(3) During the fifth and subsequent annual anniversary months of
publication of an order or suspension of investigation, a producer or
exporter may request in writing that the Secretary revoke an order with
regard to that person if the person submits with the request:
(i) The certifications required under 355.22(a)(2);
(ii) The certifications described in paragraph (b)(2)(ii) of this
section for the merchandise covered by the request; and
(iii) The agreement described in paragraph (a)(3)(iii) of this
section.
(c) Procedures. (1) After receipt of a timely request under
paragraph (b) of this section, the Secretary will consider the request
as including a request for an administrative review and will conduct a
review under 355.22(c).
(2) In addition to the requirements of 355.22(c), the Secretary
will:
(i) Publish with the notice of initiation, under 355.22(c)(1),
notice of ''Request for Revocation of Order (in Part)'' or, if
appropriate, ''Request for Termination of Suspended Investigation;''
(ii) Conduct a verification under 355.36;
(iii) Include in the preliminary results of review, under
355.22(c)(4), the Secretary's decision whether there is a reasonable
basis to believe that the requirements for revocation or termination are
met;
(iv) If the Secretary's preliminary decision under paragraph
(c)(2)(iii) of this section is affirmative, publish with the notice of
preliminary results of review, under 355.22(c)(5), notice of ''Intent
to Revoke Order (in Part)'' or, if appropriate, ''Intent to Terminate
Suspended Investigation;''
(v) Include in the final results of review, under 355.22(c)(7), the
Secretary's final decision whether the requirements for revocation or
termination are met; and
(vi) If the Secretary's final decision under paragraph (c)(2)(v) of
this section is affirmative, publish with the notice of final results of
review, under 355.22(c)(8), notice of ''Revocation of Order (in Part)''
or, if appropriate, ''Termination of Suspended Investigation.''
(3) If the Secretary revokes an order or revokes an order in part,
the Secretary will order the suspension of liquidation ended for the
merchandise covered by the revocation on the first day after the period
under review, and will instruct the Customs Service to release any cash
deposit or bond.
(d) Revocation or termination based on changed circumstances. (1)
The Secretary may revoke an order or terminate a suspended investigation
if the Secretary concludes that:
(i) The order or suspended investigation no longer is of interest to
interested parties, as defined in paragraphs (i)(3), (i)(4), (i)(5), and
(i)(6) of 355.2; or
(ii) Other changed circumstances sufficient to warrant revocation or
termination exist.
(2) If at any time the Secretary concludes from the available
information, including an affirmative statement of no interest from the
petitioner in the proceeding, that changed circumstances sufficient to
warrant revocation or termination may exist, the Secretary will conduct
an administrative review under 355.22(h).
(3) In addition to the requirements of 355.22(h), the Secretary
will:
(i) Publish with the notice of initiation, under 355.22(h)(1)(i),
notice of ''Consideration of Revocation of Order (in Part)'' or, if
appropriate, ''Consideration of Termination of Suspended
Investigation;''
(ii) If the Secretary's conclusion, as described in paragraph (d)(2)
of this section, is not based on a request, the Secretary, not later
than the date of publication of the notice described in paragraph
(d)(3)(i) of this section, will serve written notice of the
consideration of revocation or termination on each interested party
listed on the Department's service list and on any other person which
the Secretary has reason to believe is a producer or seller in the
United States of the like product;
(iii) Conduct a verification, if appropriate, under 355.36;
(iv) Include in the preliminary results of review, under
355.22(h)(1)(iv), the Secretary's decision whether there is a reasonable
basis to believe that the requirements for revocation or termination
based on changed circumstances are met;
(v) If the Secretary's preliminary decision under paragraph
(d)(3)(iv) of this section is affirmative, publish with the notice of
preliminary results of review, under 355.22(h)(1)(v), notice of
''Intent to Revoke Order (in Part)'' or, if appropriate, ''Intent to
Terminate Suspended Investigation;''
(vi) Include in the final results of review, under
355.22(h)(1)(viii), the Secretary's final decision whether the
requirements for revocation or termination based on changed
circumstances are met; and
(vii) If the Secretary's final decision under paragraph (d)(3)(vi) of
this section is affirmative, publish with the notice of final results of
review, under 355.22(h)(1)(ix), a notice of ''Revocation of Order (in
Part)'' or, if appropriate, ''Termination of Suspended Investigation.''
(4)(i) If for four consecutive annual anniversary months no
interested party has requested an administrative review, under
355.22(a), of an order or suspended investigation, not later than the
first day of the fifth consecutive annual anniversary month, the
Secretary will publish in the Federal Register notice of ''Intent to
Revoke Order'' or, if appropriate, ''Intent to Terminate Suspended
Investigation.''
(ii) Not later than the date of publication of the notice described
in paragraph (d)(4)(i) of this section, the Secretary will serve written
notice of the intent to revoke or terminate on each interested party
listed on the Department's service list and on any other person which
the Secretary has reason to believe is a producer or seller in the
United States of the like product.
(iii) If by the last day of the fifth annual anniversary month no
interested party objects, or requests an administrative review under
355.22(a), the Secretary at that time will conclude that the
requirements of paragraph (d)(1)(i) of this section for revocation or
termination are met, revoke the order or terminate the suspended
investigation, and publish in the Federal Register the notice described
in paragraph (d)(3)(vii) of this section.
(5) If the Secretary under paragraph (d) of this section revokes an
order or revokes an order in part, the Secretary will order the
suspension of liquidation ended for the merchandise covered by the
revocation on the effective date of the notice of revocation, and will
instruct the Customs Service to release any cash deposit or bond.
(e) Revocation or termination based on injury reconsideration. If
the Commission determines in an administrative review under section
751(b) of the Act that an industry in the United States would not be
materially injured, or would not be threatened with material injury, or
the establishment of an industry in the United States would not be
materially retarded, by reason of imports of the merchandise covered by
a countervailing duty order or suspension agreement, the Secretary will
revoke, in whole or in part, the order or terminate the suspended
investigation, and will publish in the Federal Register notice of
''Revocation of Order (in Part)'' or, if appropriate, ''Termination of
Suspended Investigation.''
19 CFR 355.27 Procedures for initiation of downstream product
monitoring.
(a) In general. A domestic producer of an article that is like a
component part or a downstream product may file an application pursuant
to this section requesting that the Secretary designate a downstream
product for monitoring.
(b) Contents of application -- The application shall contain the
following information, to the extent reasonably available to the
applicant:
(1) The name and address of the person requesting the monitoring and
a description of the article it produces which is the basis for filing
its application;
(2) A detailed description of the downstream product in question;
(3) A detailed description of the component product incorporated into
such downstream product, including the value of the component part in
relation to the value of the downstream product, and the extent to which
the component part has been substantially transformed as a result of its
incorporation into the downstream product;
(4) The name of the home market country of both the downstream and
component products and the name of any intermediate country through
which these products are transshipped;
(5) The name and address of all known producers of the component part
and downstream product in the relevant countries and a detailed
description of any relationship between such producers;
(6) Whether the component part is already subject to monitoring to
aid in the enforcement of a bilateral arrangement within the meaning of
Section 804 of the Trade and Tariff Act of 1984;
(7) A list of all antidumping or countervailing duty investigations
suspended under 353.18 or 355.18, or antidumping or countervailing
duty orders issued under 353.21 or 355.21 on merchandise related to
the component part and manufactured in the same foreign country in which
the component part is manufactured;
(8) A list of all antidumping or countervailing duty investigations
suspended under 353.18 or 355.18, or antidumping or countervailing
orders issued under 353.21 or 355.21 on merchandise manufactured or
exported by the manufacturer or exporter of the component part that is
similar in description and use to the component part; and
(9) The reasons for suspecting that the imposition of antidumping or
countervailing duties has resulted in a diversion of exports of the
component part into increased production and exportation to the United
Sates of such downstream product.
(c) Determination of sufficiency of application -- (1) In general.
Within 14 days after an application is filed under paragraph (b) of this
section the Secretary will determine the sufficiency of the application.
An application is considered to be filed at the time it is received by
the Secretary. In order to determine that an application is sufficient,
the Secretary must find:
(i) There is a reasonable likelihood that imports of the downstream
product into the United States will increase as an indirect result of
any diversion with respect to the component part; and
(ii) That --
(A) The component part is already subject to monitoring with respect
to the enforcement of a bilateral arrangement within the meaning of
Section 804 of the Trade and Tariff Act of 1984, or
(B) Merchandise related to the component part and manufactured in the
same foreign country in which the component part is manufactured has
been the subject of a significant number of antidumping or
countervailing duty investigations suspended under 353.18 or 355.18,
or antidumping or countervailing duty orders issued under 353.21 or
355.21, or
(C) Merchandise manufactured or exported by the manufacturer or
exporter of the component part that is similar in description and use to
the component part has been the subject of at least two antidumping or
countervailing duty investigations suspended under 353.18 or 355.18,
or antidumping or countervailing duty orders issued under 353.21 or
355.21.
(2) In making a determination under paragraph (c)(1)(i) of this
section, the Secretary will consider all factors the Secretary considers
relevant and may, if appropriate, take into account such factors as:
(i) The value of the component part in relation to the value of the
downstream product;
(ii) The extent to which the component part has been substantially
transformed as a result of its incorporation into the downstream
product; and
(iii) The relationship between the producers of the component part
and producers of the downstream product.
(d) Notice of determination. The Secretary will publish in the
Federal Register notice of each affirmative or negative ''monitoring''
determination made under paragraph (c) of his section and if the
determination under (c)(1)(i) and under any clause of (c)(1)(ii) are
affirmative, will transmit to the Commission a copy of the determination
and the application. The Secretary will make available to the
Commission and to its employees directly involved in the monitoring all
information upon which the Secretary based the initiation.
(e) Action on basis of monitoring reports. The Secretary will review
the information in any monitoring reports submitted to the Department by
the Commission under Section 780 of the Act and will:
(1) Consider the information in determining whether to initiate an
investigation under 355.11 regarding any downstream product; and
(2) Request the Commission to cease monitoring any downstream product
if the information indicates that imports into the United States are not
increasing and there is no reasonable likelihood of diversion with
respect to the component part.
(f) Definitions. (1) ''Downstream product'' means any manufactured
product imported into the United States into which a component part is
incorporated.
(2) ''Component part'' means any imported article which:
(i) During the previous five-year period, ending on the date on which
the application is filed under paragraph (b) of this section, has been
subject to --
(A) An antidumping or countervailing duty order issued under 353.21
or 355.21 that required the deposit of estimated antidumping or
countervailing duties, applicable to the particular manufacturer or
exporter, at a rate of at least 15 percent ad valorem or,
(B) A suspension agreement entered into under 353.18 or 355.18
after a preliminary determination under 353.15 or 355.15 was made by
the Secretary which included a determination that the estimated net
antidumping margin or subsidy rate, applicable to the particular
manufacturer or exporter, was at least 15 percent ad valorem; and
(ii) Due to its inherent characteristics, is routinely used as a
major part, material, component, assembly, or subassembly in a
downstream product.
(g) Where to file; time of filing; format and number of copies.
The requirements of 355.31 (d), (e), (f), and (g) apply to this
section.
(55 FR 9052, Mar. 9, 1990)
19 CFR 355.28 Procedures for the correction of ministerial errors.
(a) In general. The Secretary will disclose the calculations
performed in connection with a final countervailing duty determination
pursuant to 355.20, or in a final results of an administrative review
of a countervailing duty order pursuant to 355.22, to any party to the
proceeding making a request in accordance with this section. A party to
the proceeding must file such a request in writing with the Secretary
within five business days of the date of publication of the relevant
final determination or final results of administrative review. A party
to whom the Secretary has disclosed final calculations may submit
comments concerning any ministerial errors in such calculations.
(b) Time limits. Comments must be filed within five business days
after the date of disclosure unless the Secretary extends the time limit
based upon a written request for extension that is filed within five
business days after the date of disclosure and showing cause for such
extension. Comments shall be submitted in writing to the Secretary and
shall be served on all interested parties on the Department's service
list. Interested parties may file replies to any comments submitted
under paragraph (a) of this section. Any replies must be filed with the
Secretary within five business days after the date the relevant comments
under paragraph (a) are received by that party and shall be served on
all interested parties on the Department's service list. All service of
interested parties on the Department's service list pursuant to this
paragraph shall be in accordance with 355.31(g). Notwithstanding the
provisions of 355.34(d), the Secretary may permit representatives to
retain proprietary information released under administrative protective
order under 355.34 until the expiration of the time for filing for
judicial review of the Secretary's correction of any ministerial errors.
If the Secretary determines there are no ministerial errors,
proprietary information will be returned in accordance with the
provisions of 355.34(d).
(c) Corrections. The Secretary will analyze any comments received
and will correct any ministerial errors by amending the final
countervailing duty determination or final results of administrative
review. Such corrections will be published in the Federal Register. A
correction notice does not alter the anniversary month of an order or
suspension of investigation for purposes of requesting an administrative
review under 355.22.
(d) Definition of ''ministerial error''. For purposes of this
section, ''ministerial error'' means an error in addition, subtraction,
or other arithmetic function, clerical error resulting from inaccurate
copying, duplication, or the like, and any other type of unintentional
error which the Secretary considers ministerial.
(55 FR 9053, Mar. 9, 1990)
19 CFR 355.29 Scope determination.
(a) Self-initiation. If the Secretary determines from available
information that an inquiry is warranted to determine whether a product
is included within the scope of a countervailing duty order, the
Secretary will initiate an inquiry and notify all interested parties on
the Department's service lists of its initiation of a scope inquiry.
(b) By application. Any interested party, as defined in 355.2(i),
may file an application to determine whether a particular product is
within the scope of an order. The application shall contain the
following, to the extent reasonably available to the interested party:
(1) A detailed description of the product, including technical
characteristics and uses of the product, and its current U.S. Tariff
Classification number;
(2) A statement of the interested party's position as to whether the
product is within the scope of an order, including --
(i) A summary of the reasons for this conclusion,
(ii) Citations to any applicable statutory authority, and
(iii) Attachment of any factual support for this position, including
applicable portions of the Secretary's or the Commission's
investigation.
Where all of these conditions are met, the Secretary will evaluate
the application. If the Secretary determines that no inquiry is
warranted to determine whether a product is included within the scope of
an order, the Secretary will issue a final ruling as to whether the
merchandise which is the subject of the application is included in the
existing order. The Secretary will, by mail, notify all interested
parties on the Department's service lists of its determination. If,
however, the Secretary determines that a scope inquiry is warranted, the
Secretary will, by mail, notify all interested parties on the
Department's service lists of the initiation of a scope inquiry.
(c) Notice. Any initiation of a scope inquiry issued pursuant to
paragraphs (a) or (b) of this section will include:
(1) A description of the product that is the subject of the scope
inquiry; and
(2) An explanation of the reasons for the Secretary's decision to
initiate a scope inquiry; and
(3) A schedule for submission of comments.
(d) Procedures for scope inquiry. Except as provided under paragraph
(d)(6) of this section, the procedures for scope inquiries will be as
follows:
(1) Interested parties shall file any comments not later than twenty
days after receipt of the notification described in paragraph (c) of
this section, unless the Secretary alters this time limit;
(2) Not later than the time limit stated in the notification
described in paragraph (c) of this section (ordinarily five days after
the time limit for filing the comments described in paragraph (d)(1) of
this section), any interested party may submit rebuttal comments;
(3) Whenever the Secretary determines that a scope inquiry presents
an issue of significant difficulty, the Secretary will issue a
preliminary scope ruling based upon the available information at the
time, as to whether there is a reasonable basis to believe or suspect
that the product subject to a scope inquiry is included within the
order. The Secretary will, by mail, notify all interested parties on
the Department's service lists of its preliminary scope ruling and
provide an invitation for comment. Unless otherwise specified, the
Secretary will provide all interested parties thirty days from the date
of receipt of the notification for comment;
(4) The Secretary may issue questionnaires or verify submissions
received, where appropriate;
(5) The Secretary will issue a final ruling as to whether the product
which is the subject of the scope inquiry is included in the existing
order, including an explanation of the factual and legal conclusions on
which the final ruling is based. The Secretary will, by certified mail,
return receipt requested, notify all interested parties on the
Department's service lists of its final scope ruling;
(6) When a 355.22 review is in progress at the time the Secretary
provides the notification outlined in paragraph (c) of this section, the
scope investigation, in the Secretary's discretion, may be conducted in
conjunction with a 355.22(c) review;
(7) With respect to countervailing duty proceedings in which the
Commission made an affirmative injury determination, prior to issuing a
ruling in accordance with paragraph (3) or (5) of this section or
355.22(c)(4) or 355.22(c)(8) to include products within the scope of an
order pursuant to --
(i) Paragraph (e) of this section, other than operations in the
United States involving minor completion or assembly,
(ii) Paragraph (f) of this section, or
(iii) Paragraph (h) of this section, with respect to later-developed
products which incorporate a signficant technological advance or
significant alteration of an earlier product,
the Secretary will notify the Commission in writing of the proposed
inclusion of such products in the order. Upon the written request of
the Commission, the Secretary will consult with the Commission regarding
the proposed inclusion and any such consultation will be completed
within 15 days after the date of such request. If the Commission
believes, after such consultation, that a significant injury issue is
presented by the proposed inclusion, the Commission may provide written
advice to the Secretary as to whether the inclusion would be
inconsistent with the affirmative determination of the Commission on
which the order is based; and
(8) On a quarterly basis, the Secretary will publish in the Federal
Register a list of scope rulings completed within the last three months.
This list will include the case name, reference number and a brief
description of the ruling.
(e) Products completed or assembled in the United States.
(1) In General. If --
(i) A product sold in the United States is of the same class or kind
as merchandise that is the subject of an order, and
(ii) Such product sold in the United States is completed or assembled
in the United States from parts or components produced in the foreign
country with respect to which such order applies, and
(iii) The difference between the value of such product sold in the
United States and the value of the imported parts and components
referred to in paragraph (e)(1)(ii) is small,
the Secretary, after taking into account any advice provided by the
Commission under paragraph (d)(7) of this section, may include within
the scope of such order the imported parts or components referred to in
paragraph (e)(1)(ii) that are used in the completion or assembly of the
merchandise in the United States at any time such order is in effect.
(2) Factors to consider. In determining whether to include parts or
components in an order under paragraph (e)(1) of this section, the
Secretary will take into account such factors as:
(i) The pattern of trade;
(ii) Whether the manufacturer or exporter of the parts or components
is related to the person who assembles or completes the merchandise sold
in the United States from the parts or components produced in the
foreign country with respect to which the order described in paragraph
(e)(1) of this section applies; and
(iii) Whether imports into the United States of the parts or
components produced in such foreign country have increased after the
issuance of such order or finding.
(f) Products completed or assembled in other foreign countries -- (1)
In General. If --
(i) A product sold in the United States is of the same class or kind
as the merchandise that is the subject of an order,
(ii) Before importation into the United States, such imported product
is completed or assembled in another foreign country from merchandise
which is subject to such order, or is produced in the foreign country
with respect to which such order applies,
(iii) The difference between the value of such imported products and
the value of the merchandise described in paragraph (f)(1)(ii) is small,
and
(iv) The Secretary determines that action is appropriate under this
paragraph to prevent evasion of such order,
the Secretary, after taking into account any advice provided by the
Commission under paragraph (d)(7) of this section, may include such
imported products within the scope of such order at any time such order
is in effect.
(2) Factors to consider. In determining whether to include a product
in an order under paragraph (f)(1) of this section, the Secretary will
take into account such factors as:
(i) The pattern of trade;
(ii) Whether the manufacturer or exporter of the product described in
paragraph (f)(1)(ii) is related to the person who uses the merchandise
described in paragraph (f)(1)(ii) to assemble or complete in the foreign
country the product that is subsequently imported into the United
States; and
(iii) Whether imports into the foreign country of the product
described in paragraph (f)(1)(ii) have increased after the issuance of
such order.
(g) Minor alterations of merchandise -- (1) In general. The class or
kind of merchandise subject to an investigation or order will include
articles altered in form or appearance in minor respects (including raw
agricultural products that have undergone minor processing), whether or
not included in the same tariff classification.
(2) Exception. Paragraph (g)(1) of this section will not apply with
respect to altered merchandise if the Secretary determines that it would
be unnecessary to consider the altered merchandise within the scope of
the investigation or order.
(h) Later-developed products -- (1) In general. For purposes of
determining whether a product developed after a countervailing duty
investigation is initiated (hereafter in this paragraph referred to as
the ''later-developed merchandise'') is within the scope of an order,
the Secretary will consider whether:
(i) The later-developed product has the same general physical
characteristics as the merchandise with respect to which the order was
originally issued (hereafter in this paragraph referred to as the
''earlier merchandise'');
(ii) The expectations of the ultimate purchasers of the
later-developed product are the same as for the earlier merchandise;
(iii) The ultimate use of the earlier merchandise and the
later-developed product are the same;
(iv) The later-developed product is sold through the same channels of
trade as the earlier merchandise; and
(v) The later-developed product is advertised and displayed in a
manner similar to the earlier merchandise.
The Secretary will take into account any advice provided by the
Commission under paragraph (d)(7) of this section before making a
determination under this paragraph.
(2) Exclusion from orders. The Secretary may not exclude
later-developed products from an order merely because the products:
(i) Are classified under the tariff classification other than that
identified in the petition or the Secretary's prior notices during the
proceeding; or
(ii) Permit the purchaser to perform additional functions, unless
such additional functions constitute the primary use of the products and
the cost of the additional functions constitute more than a significant
proportion of the total cost of production of the products.
(i) Other scope determinations. With respect to those scope
determinations that are not covered under paragraphs (e) through (h) of
this section, in considering whether a particular product is within the
class or kind of merchandise described in an existing order, the
Secretary will take into account the following:
(1) The descriptions of the product contained in the petition, the
initial investigation, and the determinations of the Secretary and the
Commission.
(2) When the above criteria are not dispositive, the Secretary will
further consider:
(i) The physical characteristics of the product;
(ii) The expectations of the ultimate purchasers;
(iii) The ultimate use of the product; and
(iv) The channels of trade.
(j) Suspension of liquidation.
(1) When the Secretary initiates a scope inquiry pursuant to
paragraph (c) of this section, and the subject product is already
subject to suspension of liquidation, that suspension of liquidation
will be continued pending a preliminary or a final scope ruling. Any
suspension of liquidation will be at the cash desposit of estimated duty
rate that will apply if the subject product is ruled to be included
within the scope of the order.
(2) If the Secretary issues a preliminary scope ruling pursuant to
paragraph (d)(3) of this section to the effect that the subject product
is included within the scope of the order, any suspension of liquidation
described in paragraph (j)(1) of this section will continue. Where
there has been no suspension of liquidation, the Secretary will instruct
the Customs Service to suspend liquidation and require a cash deposit of
estimated duties, at the applicable rate, for each suspended entry of
the product entered, or withdrawn from warehouse, for consumption on or
after the date of the preliminary scope ruling. If the Secretary issues
a preliminary scope ruling to the effect that the subject product is not
included within the scope of the order, the Secretary will order any
suspension of liquidation on the subject product ended and will instruct
the Customs Service to refund any cash deposits or release any bonds
relating to this product.
(3) If the Secretary issues a final scope ruling, pursuant to either
paragraph (b) or (d)(5) of this section, to the effect that the subject
product is included within the scope of the order, any suspension of
liquidation pursuant to paragraph (j)(1) or (j)(2) of this section will
continue. Where there has been no suspension of liquidation, the
Secretary will instruct the Customs Service to suspend liquidation and
require a cash deposit of estimated duties, at the applicable rate, for
each entry of the product entered, or withdrawn from warehouse, for
consumption on or after the date of the final scope ruling. If the
Secretary's final scope ruling is to the effect that the subject product
is not included within the scope of the order, the Secretary will order
any suspension of liquidation on the subject product ended and will
instruct the Customs Service to refund any cash deposits or release any
bonds relating to this product.
(k) Where to file; time of filing; format and number of copies.
The requirements of 355.31 (d), (e), (f), and (g) apply to this
section.
(55 FR 9054, Mar. 9, 1990)
19 CFR 355.29 Subpart C -- Information and Argument
19 CFR 355.31 Submission of factual information.
(a) Time limits in general. (1) Except as provided in paragraphs
(a)(2) and (b) of this section, submissions of factual information for
the Secretary's consideration shall be submitted not later than:
(i) For the Secretary's final determination, the day before the
scheduled date on which the verification is to commence; or
(ii) For the Secretary's final results of an administrative review,
the earlier of the date of publication of notice of preliminary results
of review or 180 days after the date of publication of notice of
initiation of the review.
(2) Any interested party, as defined in paragraphs (i)(3), (i)(4),
(i)(5), and (i)(6) of 355.2, may submit factual information to rebut,
clarify, or correct factual information submitted by an interested
party, as defined in paragraph (i)(1) or (i)(2) of 355.2, at any time
prior to the deadline provided in this section for submission of such
factual information or, if later, 10 days after the date such factual
information is served on the interested party, or, if appropriate, made
available under administrative protective order to the interested party.
(3) The Secretary will not consider in the final determination or the
final results, or retain in the record of the proceeding, any factual
information submitted after the applicable time limit. The Secretary
will return such information to the submitter with written notice
stating the reasons for return of the information.
(b) Questionnaire responses and other submissions on request. (1)
Notwithstanding paragraph (a) of this section, the Secretary may request
any person to submit factual information at any time during a
proceeding.
(2) In the Secretary's written request to an interested party for a
response to a questionnaire or for other factual information, the
Secretary will specify the time limit for response. The Secretary
normally will not consider or retain in the record of the proceeding
unsolicited questionnaire responses, and in no event will the Secretary
consider unsolicited questionnaire responses submitted after the date of
publication of the Secretary's preliminary determination. The Secretary
will return to the submitter, with written notice stating the reasons
for return of the document, any untimely or unsolicited questionnaire
responses rejected by the Department.
(3) Ordinarily, the Secretary will not extend the time limit stated
in the questionnnaire or request for other factual information. Before
the time limit expires, the recipient of the Secretary's request may
request an extension. The request must be in writing and state the
reasons for the request. Only the following employees of the Department
may approve an extension: the Assistant Secretary for Import
Administration, the Deputy Assistant Secretary for Import
Administration, the Deputy Assistant Secretary for Investigations, the
Deputy Assistant Secretary for Compliance, and the office or division
director responsible for the proceeding. An extension must be approved
in writing.
(4) Subject to the other provisions of paragraph (b) of this section,
questionnaire responses in administrative reviews must be submitted not
later than 60 days after the date of receipt of the questionnaire.
(c) Time limits for certain allegations. (1) Except for an
allegation of upstream subsidies submitted in an investigation (see
355.15(d) and 355.20(b)), the Secretary will not consider any subsidy
allegation submitted by the petitioner or other interested party, as
defined in paragraph (i)(3), (i)(4), (i)(5), or (i)(6) of 355.2, later
than:
(i) In an investigation, 40 days prior to the scheduled date of the
Secretary's preliminary determination; or
(ii) In an administrative review, 120 days after the date of
publication of the notice of initiation of the review.
(2) The Secretary will not consider any allegation in an
investigation that the petitioner lacks standing unless the allegation
is submitted, together with supporting factual information, not later
than 10 days before the scheduled date for the Secretary's preliminary
determination.
(3) Any interested party may request in writing not later than the
time limits specified in paragraph (c)(1) or (c)(2) of this section, as
applicable, an extension of those time limits. If the Assistant
Secretary for Import Administration concludes that an extension would
facilitate the proper administration of the law, the Assistant Secretary
may grant an extension of not longer than 10 days in an investigation or
30 days in an administrative review.
(d) Where to file; time of filing. Address and submit documents to
the Secretary of Commerce, Attention: Import Administration, Central
Records Unit, Room B-099, U.S. Department of Commerce, Pennsylvania
Avenue and 14th St., NW., Washington, DC 20230, between the hours of
8:30 a.m. and 5:00 p.m. on business days. For all time limits in this
part, the Secretary will consider documents received when stamped by the
Central Records Unit with the date and time of receipt. If the time
limit expires on a non-business day, the Secretary will accept documents
that are filed on the next following business day.
(e) Format and number of copies. (1) In general. Unless the
Secretary alters the requirements of this section, submitters shall make
all submissions in the format specified in paragraph (e) of this
section. The Secretary may refuse to accept for the record of the
proceeding any submission that does not conform to the requirements of
paragraph (e) of this section.
(2) Documents. In an investigation, submit 10 copies of any
document, except a computer printout, and, if a person has requested
that the Secretary treat portions of the document as proprietary
information, submit five copies of a public version of the document,
including any public summaries required under 355.32(b) as substitutes
for the portions for which the person has requested proprietary
treatment; and if administrative protective order versions are required
to be served pursuant to 355.31(g) (1) or (2), submit one copy of the
cover page, marked as described in paragraph (e)(2)(v), together with
only those pages that differ from the public or proprietary versions.
In an administrative review, scope inquiry, or downstream product
monitoring application, submit seven copies of any document, except a
computer printout; and if a person has requested that the Secretary
treat portions of the document as proprietary information, submit three
copies of a public version of the document, as described above; and
submit one copy of any administrative protective order versions required
to be served pursuant to 355.31(g) (1) or (2), as described above. In
an investigation, administrative review, scope inquiry, or downstream
product monitoring application, submit documents, if prepared for that
segment of the proceeding, on letter-size paper, single-sided and
double-spaced. Securely bind each copy as a single document with any
letter of transmittal as the first page of the document. Mark the first
page of each document in the upper right-hand corner with the following
information in the following format:
(i) On the first line, except for a petition, the Department case
number;
(ii) On the second line, the total number of pages in the document
including cover pages, appendices, and any unnumbered pages;
(iii) On the third line, state whether the document is for an
investigation, scope inquiry, downstream product monitoring application,
or an administrative review and, if the latter, the inclusive dates of
the review;
(iv) On the fourth and subsequent lines, state whether any portion of
the document contains classified, privileged, or proprietary information
and, if so, list the applicable page numbers and state either ''Document
May be Released Under APO'' or ''Document May Not be Released Under
APO'' (see 355.32(c) and 355.34);
(v) For administrative protective order versions, described in
355.31(g) (1) or (2), complete the marking as required in paragraphs
(i)-(iv) above for the proprietary document, but conspicuously mark the
first page ''APO Version Prepared for (Name of party entitled to receive
materials)''; and
(vi) For public versions of proprietary documents, required by
355.32(b), complete the marking as required in paragraphs (e)(2) (i)
through (iv) of this section for the proprietary document, but
conspicuously mark the first page ''Public Version.''
(3) Computer tapes and printouts. The Secretary may require
submission of factual information on computer tape unless the Secretary
decides that the submitter does not maintain records in computerized
form and cannot supply the requested information on computer tape
without unreasonable additional burden in time and expense. In an
investigation or administrative review, the tape shall be accompanied by
three copies of any computer printout and three copies of the public
version of the printout.
(f) Translation to English. Unless the Secretary waives in writing
this requirement for an individual document, any document submitted
which is in a foreign language must be accompanied by an English
translation.
(g) Service of copies on other parties. With the exception of
petitions, proposed suspension agreements submitted under
355.18(g)(1)(i), and factual information submitted under 355.32(a) that
is not required to be served on an interested party, the submitter of a
document shall, at the same time, serve either a copy of the document or
a copy of the public version required by 355.32(b) on the government of
the affected country and all interested parties on the Department's
service list by first class mail or personal service. In addition,
where proprietary information is involved, the submitter shall serve the
following administrative protective order versions:
(1) With respect to parties to the proceeding that are subject to
administrative protective orders under 355.34, the submitter of a
document shall include that proprietary information that the interested
party is entitled to receive under the terms of the administrative
protective order, as well as the party's own proprietary information,
but no other proprietary information;
(2) With respect to interested parties that are not subject to an
administrative protective order, but when the submission contains that
interested party's proprietary information, the submitter of a document
shall serve the interested party with a version that contains just the
interested party's own proprietary information.
The Secretary will not accept any document that is not accompanied by
a certificate of service listing the parties served, the type of
document served, and, for each, indicating the date and method of
service.
(h) Service list. The Central Records Unit will maintain and make
available a service list for each proceeding. Each interested party
which asks to be on the service list shall designate a person to receive
service of documents filed in a proceeding.
(i) Certifications. Any interested party which submits factual
information to the Secretary must submit with the factual information
the certification in paragraph (i)(1) and, if the party has legal
counsel or another representative, the certification in paragraph (i)(2)
of this section:
(1) For the interested party's official responsible for presentation
of the factual information: ''I, (name and title), currently employed
by (interested party), certify that (1) I have read the attached
submission, and (2) the information contained in this submission is, to
the best of my knowledge, complete and accurate.''
(2) For interested party's legal counsel or other representative:
''I, (name), of (law or other firm), counsel or representative to
(interested party), certify that (i) I have read the attached
submission, and (ii) based on the information made available to me by
(interested party), I have no reason to believe that this submission
contains any material misrepresentation or omission of fact.''
(53 FR 52344, Dec. 27, 1988, as amended at 55 FR 9056, Mar. 9, 1990)
19 CFR 355.32 Request for proprietary treatment of information.
(a) Submission and content of request. (1) Any person who submits
factual information to the Secretary in connection with a proceeding may
request that the Secretary treat that information, or any specified
part, as proprietary.
(2) The submitter shall identify proprietary information on each page
by placing brackets around the proprietary information and clearly
stating at the top of each page ''Proprietary Treatment Requested.'' The
submitter shall provide a full explanation why each piece of factual
information subject to the request is entitled to proprietary treatment
under 355.4. The request and explanation shall be a part of or securely
bound with the document containing the information.
(b) Public summary. All requests for proprietary treatment shall
include or be accompanied by:
(1) An adequate public summary of all proprietary information,
incorporated in the public version of the document (generally, numeric
data are adequately summarized if grouped or presented in terms of
indices, or figures within 10 percent of the actual figure, and if an
individual portion of the data is voluminous, at least one percent
representative of that portion is individually summarized in this
manner); or
(2) A statement itemizing those portions of the proprietary
information which cannot be summarized adequately and all arguments
supporting that conclusion for each portion.
(c) Agreement to release. All requests for proprietary treatment
shall include either an agreement to permit disclosure under
administrative protective order, or a statement itemizing which portions
of the proprietary information should not be released under
administrative protective order and all arguments supporting that
conclusion for each portion. The Secretary ordinarily will not provide
the submitter further opportunity for argument on whether to grant a
request for disclosure under administrative protective order.
(d) Return of information as a result of nonconforming request. The
Secretary may return to the submitter any factual information for which
the submitter requested proprietary treatment when the request does not
conform to the requirements of this section and in any event will not
consider the information. If the Secretary returns the information, the
Secretary will provide a written explanation of the reasons why it does
not conform and will not consider it unless it is resubmitted with a new
request which complies with the requirements of this section not later
than two business days after receipt of the Department's explanation for
rejection of the information.
(e) Status during consideration of request. While considering
whether to grant a request for proprietary treatment, the Secretary will
not disclose or make public the information. The Secretary normally
will decide not later than 14 days after the Secretary receives the
request.
(f) Treatment of proprietary information. Unless the Secretary
otherwise provides, the person to whom the Secretary discloses
information shall not disclose the information to any other person. The
Secretary may disclose factual information which the Secretary decides
is proprietary only to:
(1) A representative of an interested party who requests and is
granted an administrative protective order under 355.34;
(2) An employee of the Department directly involved in the proceeding
for which the information is submitted;
(3) An employee of the Commission directly involved in the proceeding
for which the information is submitted;
(4) An employee of the Customs Service directly involved in
conducting a fraud investigation relating to a countervailing duty
proceeding on the merchandise;
(5) Any person to whom the submitter specifically authorizes (in
writing) disclosure; and
(6) A charged party or counsel for the charged party under Part 354
of this title (19 CFR part 354).
(g) Denial of request for proprietary treatment. If the Secretary
decides that the factual information does not warrant proprietary
treatment in whole or in part, the Secretary will notify the submitter.
Unless the submitter agrees that the information be considered public,
the Secretary will return the information to the submitter with written
notice stating the reasons for return of the information and will not
consider it in the proceeding.
19 CFR 355.33 Information exempt from disclosure.
Privileged or classified information is exempt from disclosure to the
public or to representatives of interested parties.
19 CFR 355.34 Disclosure of proprietary information under
administrative protective order.
(a) In general. Upon receipt of an application (before or after
receipt of the information requested) which describes in general terms
the information requested and sets forth the reasons for the request,
the Secretary shall require all proprietary information presented to, or
obtained by it, during a segment of a proceeding (except privileged
information, classified information, and specific information of a type
for which there is a clear and compelling need to withhold from
disclosure) to be disclosed to interested parties who are parties to the
proceeding under a protective order described in this section,
regardless of when the information is submitted during the segment of
the proceeding.
(b) Request for disclosure. (1) A representative must file a request
for disclosure under administrative protective order not later than the
later of:
(i) 30 days after the date of publication in the Federal Register of
the notice of initiation under 355.11 or 355.13, or the notice of
initiation of administrative review under 355.22; or
(ii) 30 days after the initiation of a scope inquiry pursuant to
355.29 (a) or (b); or
(iii) 10 days after the date the representative's client or employer
becomes a party to the proceeding, but in no event later than the date
the case briefs, under 355.38 are due.
(2) The representative must file the request for disclosure on the
standard form provided by the Secretary (Form ITA-367). The standard
form will require only such particularity in the description of the
requested information as is consistent with both the criteria the
Secretary uses to decide whether to disclose, and with the fact that a
request may be made for factual information not yet submitted.
(3) The request shall obligate the representative:
(i) Not to disclose the proprietary information to anyone other than
the submitter and other persons authorized by an administrative
protective order to have access to the information;
(ii) To use the information solely for the segment of the proceeding
in which it was submitted;
(iii) To ensure the security of the proprietary information at all
times; and
(iv) To report promptly to the Secretary any apparent violation of
the terms of the protective order.
(4) The request shall contain an acknowledgement by the
representative that:
(i) A representative determined to have violated a protective order
may be subject to any or all of the sanctions listed in part 354 of this
title; and
(ii) The firm of which a person determined to have violated a
protective order is a partner, associate, or employee, and any partner,
associate, employer, or employee of such person, may be subject to any
or all of the sanctions listed in part 354 of this title.
(5) The Secretary will decide whether to disclose information under
administrative protective order:
(i) Not later than 14 days after the date on which the information is
submitted; or
(ii) If --
(A) The person who submitted the information raises objection to its
release, or
(B) The information is unusually voluminous or complex,
not later than 30 days after the date on which the information is
submitted.
(6) If the Secretary decides that disclosure of information under
administrative protective order is proper under paragraph (b)(5) of this
section:
(i) With respect to proprietary information submitted to the
Secretary on or before the date of the decision to disclose, the
submitting party shall, within two business days of the date of
decision, serve the party which requested such disclosure, in accordance
with 355.31(g); and
(ii) The submitting party shall serve all future submissions of
proprietary information directly on the requesting party as required by
355.31(g).
(c) Opportunity to withdraw proprietary information. If the
Secretary decides to require disclosure of proprietary information under
administrative protective order without the consent of the submitter,
the Secretary will provide to the submitter written notice of the
decision and the reasons therefor and will permit the submitter to
withdraw the information from the official record within two business
days. The Secretary will not consider withdrawn information.
Furthermore, if the submitter does not withdraw the information but
fails to serve the party requesting such information, in accordance with
355.34(b)(6), the Secretary will not consider such information.
(d) Disposition of proprietary information disclosed under
administrative protective order. (1) At the expiration of the time for
filing for judicial review of a decision by the Secretary, if there is
no filing by any party to the proceeding, or at an earlier date the
Secretary decides appropriate, the representative must return or destroy
all proprietary information released under this section and all other
materials containing the proprietary information (such as notes or
memoranda). The representative at that time must certify to the
Secretary full compliance with the terms of the protective order and the
return or destruction of all proprietary information.
(2) The representative of a party to the proceeding that files for
judicial review or intervenes in the judicial review may retain the
proprietary information, provided that the party applies for a court
protective order for the information not later than 15 days after the
Secretary files the administrative record with the court. If the court
denies the party's application for a court protective order, the
representative must return or destroy the proprietary information and
all other materials containing the proprietary information not later
than 48 hours after the court's decision and certify to the Secretary as
provided under paragraph (d)(1) of this section.
(e) Violation of administrative protective order. The procedures for
investigating any alleged violation of an administrative protective
order issued under this section and for imposing sanctions for a
violation of such order are set forth in part 354 of this title (19 CFR
part 354).
(53 FR 52344, Dec. 27, 1988, as amended at 55 FR 9056, Mar. 9, 1990)
19 CFR 355.35 Ex parte meeting.
The Secretary will prepare for the official record a written
memorandum of any ex parte meeting between any person providing factual
information in connection with a proceeding and the person to whom the
Secretary has delegated the authority to make the decision in question
or the person making a final recommendation to that person. The
memorandum will include the date, time, and place of the meeting, the
identity and affiliation of all persons present, and a public summary of
the factual information submitted.
19 CFR 355.36 Verification of information.
(a) In general. (1) The Secretary will verify all factual
information the Secretary relies on in:
(i) A final determination under 355.18(i) or 355.20;
(ii) A revocation under 355.25;
(iii) The final results of an administrative review under 355.22(c),
(h), or (i) if the Secretary decides that good cause for verification
exists; and
(iv) The final results of an administrative review under 355.22(c)
if:
(A) An interested party, as defined in paragraph (i)(3), (i)(4),
(i)(5), or (i)(6) of 355.2, not later than 120 days after the date of
publication of the notice of initiation of review, submits a written
request for verification; and
(B) The Secretary conducted no verification under this paragraph
during either of the two immediately preceding administrative reviews.
(2) If the Secretary decides that, because of the large number of
producers and exporters included in an investigation or administrative
review, it is impractical to verify relevant factual information for
each person, the Secretary may select and verify a sample. The
Secretary will apply the results of the verification of the sample to
all producers and exporters included in the investigation or review.
(b) Notice of verification. In publishing a notice of final
determination, revocation, or final results of administrative review,
the Secretary will report the methods and procedures used to verify
under this section.
(c) Procedures for verification. In verifying under this section,
the Secretary will notify the government of the affected country in
which verification takes place that employees of the Department will
visit with producers, exporters, or government agencies in order to
verify the accuracy and completeness of submitted factual information.
As part of the verification, employees of the Department will request
access to all files, records, and personnel of the producers, exporters,
or the government agencies which the Secretary considers relevant to
factual information submitted by those persons.
19 CFR 355.37 Best information available.
(a) Use of best information available. The Secretary may use the
best information available whenever the Secretary:
(1) Does not receive a complete, accurate, and timely response to the
Secretary's request for factual information; or
(2) Is unable to verify, within the time specified, the accuracy and
completeness of the factual information submitted.
(b) What is best information available. The best information
available may include the factual information submitted in support of
the petition or subsequently submitted by interested parties, as defined
in paragraph (i)(3), (i)(4), (i)(5), or (i)(6) of 355.2. If an
interested party refuses to provide factual information requested by the
Secretary or otherwise impedes the proceeding, the Secretary may take
that into account in determining what is the best information available.
19 CFR 355.38 Written argument and hearings.
(a) Written argument. The Secretary will consider in making the
final determination under 355.18(i) or 355.20 or the final results
under 355.22 only written arguments in case or rebuttal briefs filed
within the time limits in this section. The Secretary will not consider
or retain in the record of the proceeding any written argument, unless
requested by the Secretary (and received within the time limit specified
by the Secretary), that is submitted after the time limits specified in
this section. At any time during the proceeding, the Secretary may
request written argument on any issue from any interested party or
United States Government agency. The Secretary will return to the
submitter, with written notice stating the reasons for return of the
document, any written argument submitted after the time limits specified
in this section or by the Secretary.
(b) Request for hearing. Not later than 10 days after the date of
publication of the Secretary's preliminary determination or preliminary
results of administrative review, unless the Secretary alters this time
limit, any interested party may request that the Secretary hold a public
hearing on arguments to be raised in case or rebuttal briefs. To the
extent practicable, a party requesting a hearing shall identify
arguments to be raised at the hearing. At the hearing, an interested
party may make an affirmative presentation only on arguments included in
that party's case brief and may make a rebuttal presentation only on
arguments included in that party's rebuttal brief.
(c) Case brief. (1) Any interested party or U.S. Government agency
may submit a ''case brief'':
(i) Not later than 50 days after the date of publication of the
Secretary's preliminary determination in an investigation, unless the
Secretary alters this time limit; or
(ii) Not later than 30 days after the date of publication of the
preliminary results of administrative review.
(2) The case brief shall separately present in full all arguments
that continue in the submitter's view to be relevant to the Secretary's
final determination or final results, including any arguments presented
before the date of publication of the preliminary determination or
preliminary results.
(d) Rebuttal brief. Not later than the time limit stated in the
notice of the Secretary's preliminary determination or preliminary
results, ordinarily five days in an investigation and seven days in an
administrative review after the time limit for filing the case brief,
any interested party or U.S. Government agency may submit a ''rebuttal
brief.'' The rebuttal brief shall separately present in full all
rebuttal arguments, responding only to arguments raised in case briefs.
(e) Service of briefs. The submitter of either a case or rebuttal
brief shall serve a copy of that brief on the government of the affected
country, on any interested party on the Department's service list, and
on any U.S. Government agency that has submitted in the segment of the
proceeding a case or rebuttal brief. If the party has designated under
355.31(h) an agent in the United States, service shall be either by
personal service on the same day the brief is filed with the Secretary
or by overnight mail or courier on the next day and, if the party has
designated an agent outside the United States, service shall be by first
class airmail. The submitter shall attach to each brief a certificate
of service listing the parties (including agents) served and, for each,
the date and method of service.
(f) Hearings. If an interested party submits a request under
paragraph (b) of this section, the Secretary will hold a public hearing
on the date stated in the notice of the Secretary's preliminary
determination or preliminary results of administrative review, unless
the Secretary alters the date. Ordinarily, the hearing will be held, in
an investigation, two days after the scheduled date for submission of
rebuttal briefs and, in an administrative review, seven days after the
scheduled date for submission of rebuttal briefs.
(1) The Secretary will place a verbatim transcript of the hearing in
the public and official records of the proceeding and will announce at
the hearing how interested parties may obtain copies of the transcript.
(2) One of the following employees of the Department will chair the
hearing: the Assistant Secretary for Import Administration, the Deputy
Assistant Secretary for Import Administration, the Deputy Assistant
Secretary for Investigations, the Deputy Assistant Secretary for
Compliance, or the office or division director responsible for the
proceeding.
(3) The hearing is not subject to the Administrative Procedure Act.
Witness testimony, if any, shall not be under oath or subject to
cross-examination by another interested party or witness. During the
hearing, the chair may question any interested party or witness and may
request interested parties to present additional written argument.
(g) Where to file; time of filing. The requirements in 355.31(d)
apply to this section.
(h) Format and number of copies. The requirements in 355.31(e)
apply to this section, except that in an administrative review submit 10
copies of each brief and five copies of the public version, including
the public summary required under 355.32(b).
19 CFR 355.39 Subsidy practice discovered during investigation or
review.
(a) Inclusion in proceeding. If during an investigation or an
administrative review the Secretary discovers a practice which appears
to provide a subsidy with respect to the merchandise and the practice
was not alleged or examined in the proceeding, the Secretary will
examine the practice if the Secretary concludes that sufficient time
remains before the scheduled date for the Secretary's final
determination or final results of review.
(b) Deferral of examination. If the Secretary concludes that
insufficient time remains, before the scheduled date for the Secretary's
final determination or final results of review, to examine the practice
described in paragraph (a) of this section, the Secretary will:
(1) During an investigation, allow the petitioner to withdraw the
petition without prejudice and resubmit it with an allegation with
regard to the newly discovered practice; or
(2) During an investigation or review, defer consideration of the
newly discovered practice until the next review under 355.22(c).
(c) Notice. The Secretary will notify the parties to the proceeding
of any practice the Secretary discovered and whether or not it will be
included in the then ongoing proceeding.
19 CFR 355.39 Subpart D -- Quota Cheese Subsidy Determinations
19 CFR 355.41 Definition of subsidy.
For purposes of this subpart, subsidy means both subsidy and net
subsidy as defined in sections 771(5) and 771(6) of the Act.
19 CFR 355.42 Annual list and quarterly update.
(a) Annual list. Not later than January 1st of each year, the
Secretary, in consultation with the Secretary of Agriculture, will
determine based on the available information whether any foreign
government is providing a subsidy, as defined in 355.41, with respect
to any article of quota cheese, as defined in section 701(c)(1) of the
Trade Agreements Act, and will publish in the Federal Register a list of
the type and amount of each subsidy. The Secretary will incorporate in
each annual list any changes and additional subsidies for the preceding
calendar year determined under paragraph (b) of this section or under
355.43(b).
(b) Quarterly update. Not later than April 1st, July 1st, and
October 1st of each year, the Secretary, in consultation with the
Secretary of Agriculture, will determine based on the available
information whether there have been any changes in or additions to the
latest annual list, and will publish in the Federal Register a quarterly
update of those changes and additions.
19 CFR 355.43 Determination upon request.
(a) Request for determination. Any person, including the Secretary
of Agriculture, who has reason to believe there have been changes in or
additions to the latest annual list may request in writing that the
Secretary determine whether there are any changes or additions. The
person shall file the request at the time and place specified in
355.31(d). The request shall allege either a change in the type or
amount of any subsidy included in the latest annual list or quarterly
update or an additional subsidy not included in that list or update
provided by a foreign government, and shall contain the following, to
the extent reasonably available to the requesting person:
(1) The name and address of the person;
(2) The article of quota cheese allegedly benefitting from the
changed or additional subsidy;
(3) The country of origin of the article of quota cheese; and
(4) The alleged subsidy or changed subsidy and relevant factual
information (particularly documentary evidence) regarding the alleged
changed or additional subsidy including the authority under which it is
provided, the manner in which it is paid, and the value of the subsidy
to producers or exporters of the article.
The requirements of 355.31(d) and (f) apply to this section.
(b) Determination. Not later than 30 days after receiving an
acceptable request, the Secretary will:
(1) In consultation with the Secretary of Agriculture, determine
based on the available information whether there has been any change in
the type or amount of any subsidy included in the latest annual list or
quarterly update or an additional subsidy not included in that list or
update is being provided by a foreign government;
(2) Notify the Secretary of Agriculture and the person making the
request of the determination; and
(3) Promptly publish in the Federal Register notice of any changes or
additions.
19 CFR 355.44 Complaint of price-undercutting by subsidized imports.
Upon receipt of a complaint filed with the Secretary of Agriculture
under section 702(b) of the Trade Agreements Act concerning
price-undercutting by subsidized imports, the Secretary will promptly
determine, under 355.43(b), whether or not the alleged subsidies are
included in or should be added to the latest annual list or quarterly
update. The Department of Agriculture regulations concerning complaints
of price-cutting by subsidized imports of quota cheese are published in
7 CFR part 6.
19 CFR 355.45 Access to information.
Subpart C of this part applies to factual information submitted in
connection with this subpart.
19 CFR 355.45 Subpart E -- Effective Dates
19 CFR 355.51 Effective dates of amendments to the Tariff Act of 1930
made by the Omnibus Trade and Competitiveness Act of 1988.
In accordance with section 1337 of the Omnibus Trade and
Competitiveness Act of 1988 (Pub. L. No. 100-418) (''the 1988 Act''),
the amendments to the Tariff Act of 1930 made by the 1988 Act are deemed
effective as follows:
(a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of
this section, all amendments made by Title I, Subtitle C, Part II of the
1988 Act which affect authorities administered by the Secretary are
deemed effective as of August 23, 1988.
(b) Amendments made by sections 1312, 1315, 1316, 1318, 1325, 1327,
1331, and 1332 of the 1988 Act which affect authorities administered by
the Secretary are deemed to take effect immediately with respect to all
investigations, section 736(c) reviews, or section 751 reviews initiated
after August 23, 1988.
(c) The amendment made by section 1324 of the 1988 Act which affects
authorities administered by the Secretary is deemed to apply only to
investigations initiated after August 23, 1988.
(d) The amendments made by sections 1321(a) and 1334 of the 1988 Act
which affect authorities administered by the Secretary are deemed to be
effective with respect to articles entered, or withdrawn from warehouse
for consumption, on or after August 23, 1988.
(e) The amendments made by section 1321(b) and 1335 of the 1988 Act
which affect authorities administered by the Secretary are deemed to be
effective with respect to entries, and withdrawals from warehouse for
consumption that are liquidated on or after August 23, 1988.
(f) The amendment made by section 1319 is deemed effective with
respect to all section 736(c) and section 751 reviews initiated on or
after August 23, 1988, as well as to all section 736(c) and section 751
reviews for which there is a request for revocation pending on August
23, 1988.
(g) Notwithstanding the provisions of paragraphs (a) through (f) of
this section, the Secretary may implement the amendments of the 1988 Act
at a date later than August 23, 1988, if the Secretary determines that
implementation in accordance with paragraphs (a) through (f) of this
section would prevent the Department from complying with other
requirements of law.
(55 FR 9057, Mar. 9, 1990)
19 CFR 355.51 Annex I -- List of Countries Under the Agreement
19 CFR 355.51 Pt. 355, Annex I
1. As of the date of publication of this part, the Agreement applies
between the United States and the following countries, as determined
under section 2(b) of the Trade Agreements Act of 1979: Australia,
Austria, Brazil, Canada, Chile, Egypt, European Economic Community
(accepted for member states), Finland, United Kingdom for Hong Kong,
India, Indonesia, Israel, Japan, Korea, Norway, Pakistan, Philippines,
Sweden, Switzerland, Turkey, and Uruguay. See section 701(b)(1) of the
Act.
2. Taiwan and Mexico have assumed obligations with respect to the
United States which the President has determined are substantially
equivalent to obligations under the Agreement. See section 701(b)(2) of
the Act.
3. The following countries are entitled to an injury test under
section 701(b)(3) of the Act: Venezuela, Honduras, Nepal, North Yemen,
El Salvador, Paraguay, and Liberia.
For further information, contact the Office of Policy, Import
Administration, at the address stated in 355.31(d).
19 CFR 355.51 Annex II -- Time Limits for Submissions Specified in this part
19 CFR 355.51 Pt. 355, Annex II
19 CFR 355.51 Pt. 356
19 CFR 355.51 PART 356 -- PROCEDURES AND RULES FOR IMPLEMENTING ARTICLE 1904 OF THE UNITED STATES-CANADA FREE-TRADE AGREEMENT
19 CFR 355.51 Subpart A -- Scope and Definitions
Sec.
356.1 Scope.
356.2 Definitions.
19 CFR 355.51 Subpart B -- Procedures for Commencing Review of Final
Determinations
356.3 Filing and service requirements.
356.4 Notice of intent to commence judicial review.
356.5 Request for panel review.
356.6 Receipt of notice of scope determinations by the Government of
Canada.
356.7 Request to determine when the Government of Canada received
notice of a scope determination.
356.8 Continued suspension of liquidation.
19 CFR 355.51 Subpart C -- Proprietary and privileged information
356.9 Persons authorized to receive proprietary information.
356.10 Procedures for obtaining access to proprietary information.
356.11 Procedures for obtaining access to privileged information.
19 CFR 355.51 Subpart D -- Violation of a Protective Order or a
Disclosure Undertaking
356.12 Sanctions for violation of a protective order or disclosure
undertaking.
356.13 Suspension of rules.
356.14 Report of violation and investigation.
356.15 Initiation of proceedings.
356.16 Charging letter.
356.17 Request to charge.
356.18 Interim sanctions.
356.19 Request for a hearing.
356.20 Discovery.
356.21 Subpoenas.
356.22 Prehearing conference.
356.23 Hearing.
356.24 Proceeding without a hearing.
356.25 Witnesses.
356.26 Initial decision.
356.27 Final decision.
356.28 Reconsideration.
356.29 Confidentiality.
356.30 Sanctions for violations of a protective order for privileged
information.
Authority: 19 U.S.C. 1516a and 1677f(d), unless otherwise noted.
Source: 56 FR 37804, Aug. 8, 1991, unless otherwise noted.
19 CFR 355.51 Subpart A -- Scope and Definitions
19 CFR 356.1 Scope.
This part sets forth procedures and rules for the implementation of
Article 1904 of the United States-Canada Free-Trade Agreement under the
Tariff Act of 1930, as amended by title IV of the United States-Canada
Free-Trade Agreement Implementation Act of 1988 (''FTA Act'') (19 U.S.C.
1516a and 1677f(d)).
19 CFR 356.2 Definitions.
For purposes of this part:
(a) Act means the Tariff Act of 1930, as amended;
(b) Administrative law judge means the person appointed under 5
U.S.C. 3105 who presides over the taking of evidence as provided by
Subpart D;
(c) Affected party means a person against whom sanctions have been
proposed for alleged violation of a protective order or disclosure
undertaking but who is not a charged party;
(d) Agreement means the Free-Trade Agreement between Canada and the
United States of America entered into between the Government of Canada
and the Government of the United States of America, which took effect on
January 1, 1989;
(e) APO Sanctions Board means the Administrative Protective Order
Sanctions Board;
(f) Authorized agency of Canada means any Canadian government agency
that is authorized by Canadian law to request the Department to initiate
proceedings to impose sanctions for an alleged violation of a disclosure
undertaking;
(g) Binational panel means a binational panel established pursuant to
annex 1901.2 to chapter 19 of the Agreement for the purpose of reviewing
a final determination;
(h) Canadian Secretary means the Secretary of the Canadian section of
the Secretariat and includes any person authorized to act on behalf of
the Secretary;
(i) Charged party means a person who is charged by the Deputy Under
Secretary with violating a protective order or an undertaking;
(j) Chief Counsel means the Chief Counsel for Import Administration,
U.S. Department of Commerce, or designee;
(k) Competent investigating authority means the agency of a
government that issued the final determination at issue, which may be:
(1) in the case of Canada,
(i) the Deputy Minister of National Revenue for Customs and Excise as
defined in the Special Import Measures Act, or his successor, or
(ii) the Canadian International Trade Tribunal, or its successor;
and
(2) in the case of the United States,
(i) the International Trade Administration of the United States
Department of Commerce, or its successor, or
(ii) the United States International Trade Commission, or its
successor;
(l) Date of service means, for purposes of Subpart C only, the day a
document is deposited in the mail or delivered in person;
(m) Days means calendar days, except that a deadline which falls on a
weekend or holiday shall be extended to the next working day;
(n) Department means the U.S. Department of Commerce;
(o) Deputy Under Secretary means the Deputy Under Secretary for
International Trade, U.S. Department of Commerce;
(p) Director means an Office Director under the Deputy Assistant
Secretary for Investigations, U.S. Department of Commerce, or designee,
if the panel review is of a final determination by the Department under
section 751 of the Act, or an Office Director under the Deputy Assistant
Secretary for Compliance, or designee, if the panel review is of a final
determination by the Department under section 705(a) or 735(a) of the
Act;
(q) Disclosure undertaking means the Canadian mechanism for
protecting proprietary or privileged information during proceedings
pursuant to Article 1904 of the Agreement, as prescribed by 77.21(2) of
the Special Import Measures Act;
(r) Extraordinary challenge committee means the committee established
pursuant to section 407 of the FTA Act to review decisions of a panel or
conduct of a panelist;
(s) Final determination has the meaning assigned to the term ''final
determination'' by Article 1911 of the Agreement and includes a Canadian
definitive decision within the meaning of 77.1(1) of the Special Import
Measures Act;
(t) Lesser-included sanction means a sanction of the same type but of
more limited scope than the proposed sanction for violation of a
protective order or disclosure undertaking; thus, a one-year bar on
representation before the Department is a lesser-included sanction of a
proposed seven-year bar;
(u) Panel review means review of a final determination pursuant to
chapter 19 of the Agreement;
(v) Party to the proceeding means a person that would be entitled,
under section 516A of the Act, to commence proceedings for judicial
review of a final determination;
(w) Participant means a party to the proceeding that files a
Complaint or a Notice of Appearance in a panel review, or the
Department;
(x) Parties means, in an action under subpart D, the Department and
the charged party or affected party;
(y) Person means, an individual, partnership, corporation,
association, organization, or other entity;
(z) Privileged information means
(1) With respect to a panel review of a final determination made in
the United States, information of the investigating authority that is
subject to the attorney-client, attorney work product or government
deliberative process privilege under the laws of the United States and
with respect to which the privilege has not been waived, and;
(2) With respect to a panel review of a final determination made in
Canada, information of the Government of Canada that is subject to the
solicitor-client privilege under the laws of Canada or that constitutes
part of the deliberative process with respect to the final determination
and with respect to which the privilege has not been waived.
(aa) Proprietary information means information the disclosure of
which the Department has decided is limited under the procedures adopted
pursuant to Article 1904.14 of the Agreement, including business or
trade secrets; production costs; terms of sale; prices of individual
sales, likely sales, or offers; names of customers, distributors, or
suppliers; exact amounts of the subsidies received and used by a
person; names of particular persons from whom proprietary information
was obtained; and any other business information the release of which
to the public would cause substantial harm to the competitive position
of the submitter; or information the disclosure of which an authorized
agency of Canada has decided is limited under the procedures adopted
pursuant to Article 1904.14 of the Agreement;
(bb) Protective order means an administrative protective order issued
by the Department under 19 CFR 356.10(c)(1), 356.10(c)(2), 356.10(d)(2)
or 356.11(c)(1);
(cc) Scope determination means a determination by the Department,
reviewable under section 516A(a)(2)(B)(vi) of the Act, as to whether a
particular type of merchandise is within the class or kind of
merchandise described in an existing finding of dumping or an
antidumping or countervailing duty order covering Canadian merchandise;
(dd) Secretariat means the Secretariat established pursuant to
Article 1909 of the Agreement and includes the Secretariat sections
located in both Canada and the United States;
(ee) Service address means the facsimile number, if any, and address
set out by a party to the proceeding as the address of counsel at which
the party may be served, or, where the party is not represented by
counsel, the facsimile number, if any, and address of the party;
(ff) Service list means, with respect to a panel review,
(1) Where the final determination was made in the United States, the
list maintained by the competent investigating authority of parties to
the proceeding leading to the final determination, and
(2) Where the final determination was made in Canada, the list of
persons to whom notice of the final determination was sent by the Deputy
Minister or the list of persons that appeared in the proceedings before
the Tribunal, as the case may be;
(gg) Under Secretary means the Under Secretary for International
Trade, U.S. Department of Commerce, or designee;
(hh) United States Secretary means the Secretary of the United States
section of the Secretariat and includes any person authorized to act on
behalf of the Secretary.
19 CFR 356.2 Subpart B -- Procedures for Commencing Review of Final Determinations
19 CFR 356.3 Filing and service requirements.
(a) Notice of Intent to Commence Judicial Review. Where a party to
the proceeding intends to commence judicial review of a final
determination, the party shall serve an original and 8 copies of the
Notice of Intent to Commence Judicial Review on the United States
Secretary or the Canadian Secretary during normal business hours of the
Secretariat and within the time limits established in 356.4(b). The
party shall serve the Notice on all other parties to the proceeding and
the competent investigating authority in accordance with paragraph (c)
of this section.
(b) Request for Panel Review. Where a party to the proceeding seeks
panel review of a final determination by filing a Request for Panel
Review with the United States Secretary, the party shall file an
original and 8 copies of the Request for Panel Review during the normal
business hours of the Secretariat and within the time limits established
in 356.5(a). The party shall serve the Request on all other parties to
the proceeding and the competent investigating authority, except where
the document is required to be served by the United States Secretary, as
provided in 356.5(e).
(c) Service of a document on a party to the proceeding may be
effected in the following manner:
(1) By delivering a copy of the document to the service address of
the party to the proceeding, as defined in 356.2(ee);
(2) By sending a copy of the document to the service address of the
party to the proceeding, as defined in 356.2(ee) by facsimile
transmission or an expedited delivery courier or mail service, such as
express mail; or
(3) By personal service on the party to the proceeding.
(d) Service of a document on the competent investigating authority
may be effected in any manner provided in paragraph (c) of this section,
when made on the General Counsel of the competent investigating
authority.
(e) A certificate of service or certificate of receipt shall appear
on, or be affixed to, the documents referred to in paragraphs (a) and
(b) of this section.
(f) Where a Notice of Intent to Commence Judicial Review or a Request
for Panel Review is served by an expedited delivery courier or mail
service, the date of service set out in the certificate of service shall
be the day on which the document is consigned to the courier service or
mailed.
(g)(1) The normal business hours during which the offices of the
United States section of the Secretariat shall be open to the public are
9:00 a.m. to 5:00 p.m. each weekday except for legal holidays of the
United States section of the Secretariat, as defined in the rules of
procedure adopted pursuant to Article 1904.14 of the Agreement.
(2) The normal business hours during which the offices of the
Canadian section of the Secretariat shall be open to the public are 9:00
a.m. to 5:00 p.m. each weekday except for legal holidays of the Canadian
section of the Secretariat, as defined in the rules of procedure adopted
pursuant to Article 1904.14 of the Agreement.
(h)(1) The United States section of the Secretariat is located at
Room 4012, U.S. Department of Commerce, Pennsylvania Avenue & 14th
Street, NW., Washington, DC 20230.
(2) The Canadian section of the Secretariat is located at Royal Bank
Center, suite 705, 90 Sparks Street, Ottawa, Ontario, Canada K1P5B4.
19 CFR 356.4 Notice of intent to commence judicial review.
(a) A Notice of Intent to Commence Judicial Review shall include the
following information:
(1) The name of the party to the proceeding filing the Notice;
(2) The name of counsel for the party to the proceeding, if any;
(3) The service address, as defined in 356.2(ee);
(4) The telephone number of counsel for the party to the proceeding,
or where the party is not represented by counsel, the telephone number
of the party;
(5) The title of the final determination for which judicial review is
sought, the case number assigned by the competent investigating
authority, and the appropriate citation if the final determination was
published in the Federal Register; and
(6) If the final determination is a scope determination, the date on
which notice of the scope determination was received by the Government
of Canada.
(b) A Notice of Intent to Commence Judicial Review shall be deemed to
be timely filed if a Notice in compliance with these regulations is
delivered no later than 20 days after:
(1) The date the final determination was published in the Federal
Register; or
(2) If the final determination is a scope determination, the date on
which notice of the scope determination was received by the Government
of Canada.
(c) A Notice of Intent to Commence Judicial Review shall be served in
accordance with 356.3 of these regulations.
19 CFR 356.5 Request for panel review.
(a) Only a party to the proceeding may request binational panel
review of a final determination. To make such a request, a party shall
file a Request for Panel Review with the United States Secretary or the
Canadian Secretary no later than the date that is 30 days after:
(1) The date the final determination was published in the Federal
Register or Canada Gazette; or
(2) If the final determination is a scope determination, the date on
which notice of the scope determination was received by the government
of the other country.
(b) Receipt of a request in compliance with this section by the
United States Secretary or the Canadian Secretary, shall be deemed to be
a request for binational panel review within the meaning of section
516A(g)(8) of the Act.
(c) A Request for Panel Review shall contain the following
information:
(1) The name of the party to the proceeding requesting panel review;
(2) The name of counsel for the party to the proceeding, if any;
(3) The service address, as defined in 356.2(ee);
(4) The telephone number of counsel for the party to the proceeding,
or where the party is not represented by counsel, the telephone number
of the party;
(5) The title of the final determination for which panel review is
requested, the case number assigned by the competent investigating
authority, and the appropriate citation if the final determination was
published in the Federal Register or Canada Gazette;
(6) Where a Notice of Intent to Commence Judicial Review has been
served and the sole reason that the Request for Panel Review is made is
to require review of the final determination by a panel, a statement to
that effect;
(7) If the final determination is a scope determination, the date on
which notice of the scope determination was received by the government
of the other country; and
(8) The service list.
(d) A Request for Panel Review shall be filed and served in
accordance with 356.3 of these regulations.
(e) Where a party to the proceeding files a Request for Panel Review
with the Canadian Secretary, the United States Secretary shall serve a
copy of the request on:
(1) Any other party to the proceeding; and
(2) The competent investigating authority.
19 CFR 356.6 Receipt of notice of scope determinations by the
Government of Canada.
(a) Where the Department has made a scope determination, notice of
such determination shall be deemed received by the Government of Canada
when a certified copy of the determination is delivered to the Chancery
of the Embassy of Canada during its normal business hours.
(b) Where feasible, the Department, or an agent therefor, will obtain
a certificate of receipt signed by a person authorized to accept
delivery of documents to the Embassy of Canada acknowledging receipt of
the scope determination. The certificate will describe briefly the
document being delivered to the Embassy of Canada, state the date and
time of receipt, and include the name and title of the person who signs
the certificate. The certificate will be retained by the Department in
its public files pertaining to the scope determination at issue.
19 CFR 356.7 Request to determine when the Government of Canada
received notice of a scope determination.
(a) Pursuant to section 516A(g)(10) of the Act, any party to the
proceeding may request in writing from the Department the date on which
the Government of Canada received notice of a scope determination made
by the Department.
(b) A request shall be made by filing a written request and the
correct number of copies in accordance with the requirements set forth
in 19 CFR 353.31 (d) and (e)(2) or 355.31 (d) and (e)(2) with the
Secretary of Commerce, Attention: Import Administration, Central
Records Unit, room B-099, U.S. Department of Commerce, Pennsylvania Ave.
& 14th Street NW., Washington, DC 20230. A letter of transmittal must
be bound to the original and each copy as the first page of the request.
The letter of transmittal must be marked according to the requirements
of 19 CFR 353.31(e)(2)(i)-(v) or 355.31(e)(2)(i)-(v).
(c) The requesting party shall serve a copy of the Request to
Determine When the Government of Canada Received Notice of a Scope
Determination by first class mail or personal service on any interested
party on the Department's service list in accordance with the service
requirements listed in 19 CFR 353.31(g) or 355.31(g).
(d) The Department will respond to the request referred to in
paragraph (b) of this section within five business days of receipt.
19 CFR 356.8 Continued suspension of liquidation.
(a) In General. In the case of an administrative determination
specified in clause (iii) or (vi) of section 516A(a)(2)(B) of the Act
and involving Canadian merchandise, the Department shall not order
liquidation of entries of merchandise covered by such a determination
until the forty-first day after the date of publication of the notice
described in clause (iii) or receipt of the determination described in
clause (vi), as appropriate. If requested, the Department will order
the continued suspension of liquidation of such entries in accordance
with the terms of paragraphs (b), (c), and (d) of this section.
(b) Eligibility To Request Continued Suspension of Liquidation.
(1) A participant in a binational panel review that was a domestic
party to the proceeding, as described in section 771(9) (C), (D), (E),
(F), or (G) of the Act, may request continued suspension of liquidation
of entries of merchandise covered by the administrative determination
under review by the panel and that would be affected by the panel
review.
(2) A participant in a binational panel review that was a party to
the proceeding, as described in section 771(9)(A) of the Act, may
request continued suspension of liquidation of the merchandise which it
manufactured, produced, exported, or imported and which is covered by
the administrative determination under review by the panel.
(c) A request for continued suspension of liquidation must include:
(1) The name of the final determination subject to binational panel
review and the case number assigned by the Department;
(2) The caption of the binational panel proceeding;
(3) The name of the requesting participant;
(4) The requestor's status as a party to the proceeding and as a
participant in the binational panel review; and
(5) The specific entries to be suspended by name of manufacturer,
producer, exporter, or U.S. importer.
(d) Filing and Service.
(1) A request for Continued Suspension of Liquidation must be filed
with the Assistant Secretary for Import Administration, room B-099,
Pennsylvania Ave. at 14th Street NW., Washington, DC 20230, in
accordance with the requirements set forth in 19 CFR 353.31 (d) and
(e)(2) or 355.31 (d) and (e)(2). A letter of transmittal must be bound
to the original and each copy as the first page of the request. The
letter of transmittal must be marked according to the requirements of 19
CFR 353.31(e)(2)(i)-(v) or 355.31(e)(2)(i)-(v). The envelope and the
first page of the request must be marked: Panel Review -- Request for
Continued Suspension of Liquidation. The request may be made no earlier
than the date on which the first request for binational panel review is
filed.
(2) The requesting party shall serve a copy of the Request for
Continued Suspension of Liquidation on the United States Secretary and
all parties to the Proceeding in accordance with the requirements of 19
CFR 353.31(g), or 19 CFR 355.31(g).
(e) Termination of Continued Suspension. Upon completion of the
panel review, including any panel review of remand determinations and
any review by an extraordinary challenge committee, the Department will
order liquidation of entries, the suspension of which was continued
pursuant to this section.
19 CFR 356.8 Subpart C -- Proprietary and Privileged Information
19 CFR 356.9 Persons authorized to receive proprietary information.
Persons described in paragraphs (a), (d), (e), and (f) of this
section shall, and persons described in paragraphs (b) and (c) of this
section may, be authorized by the Department to receive access to
proprietary information if they comply with these regulations and such
other conditions imposed upon them by the Department;
(a) The members of, and appropriate staff of, a binational panel or
extraordinary challenge committee;
(b) Counsel to participants in panel reviews and professionals
retained by, or under the direction or control of such counsel, provided
that the counsel or professional does not participate in competitive
decision-making activity (such as advice on production, sales,
operations, or investments, but not legal advice) for the participant
represented or for any person who would gain competitive advantage
through knowledge of the proprietary information sought;
(c) Other persons who are retained or employed by and under the
direction or control of a counsel or professional, panelist, or
committee member who has been issued a protective order, such as
paralegals, law clerks, and secretaries, if such other persons are:
(1) Not involved in the competitive decision-making of a participant
to the panel review or for any person who would gain competitive
advantage through knowledge of the proprietary information sought; and
(2) Have agreed to be bound by the terms set forth on the application
for protective order of the counsel or professional, panelist, or
committee member;
(d) The Secretaries of the United States and Canadian sections of the
Secretariat and persons retained or employed by the Secretaries,
including court reporters hired by the Secretariat to transcribe panel
reviews;
(e) Such officials of the United States government as the United
States Trade Representative informs the Department require access to
proprietary information for the purpose of evaluating whether the United
States should seek an extraordinary challenge committee review of a
panel determination; and
(f) Such officials of the Canadian government as an authorized agency
of Canada informs the Department require access to proprietary
information for the purpose of evaluating whether Canada should seek an
extraordinary challenge committee review of a panel determination.
19 CFR 356.10 Procedures for obtaining access to proprietary
information.
(a) Persons Who Must File An Application for Disclosure Under
Protective Order. In order to be permitted access to proprietary
information in the administrative record of a final determination under
review by a panel, all persons described in 356.9(a), (b), (d), (e), or
(f) shall file an application for a protective order.
(b) Procedures for Applying for a Protective Order.
(1) Contents of Applications. (i) The Department has adopted
application forms for disclosure of proprietary information to those
persons described in 356.9 (a), (b), (d), (e), and (f). Application
forms for persons described in 356.9, (a), (d), (e), and (f) are
available from the United States Secretariat. Application forms for
persons described in 356.9(b) are available from the Central Records
Unit, room B-099, U.S. Department of Commerce, Pennsylvania Avenue &
14th Street NW., Washington, DC 20230. These forms may be amended from
time to time.
(ii) Such forms require the applicant to submit a personal sworn
statement stating, in addition to such other terms as the Department may
require, that the applicant shall:
(A) Not disclose any proprietary information obtained under
protective order and not otherwise available to the applicant, to any
person other than:
(1) An official of the Department involved in the particular panel
review in which the proprietary information is part of the
administrative record,
(2) The person from whom the information was obtained,
(3) A person who has been granted access to the proprietary
information at issue under 356.9; and
(4) A person employed by and under the direction or control of a
counsel or professional, panelist, or committee member who has been
issued a protective order, such as a paralegal, law clerk, or secretary
if such person:
(i) Is not involved in competitive decision-making for a participant
in the panel review or for any person that would gain competitive
advantage through knowledge of the proprietary information sought, and
(ii) Has agreed to be bound by the terms set forth in the application
for protective order by the counsel, professional, panelist, or
committee member;
(B) Not use any of the proprietary information not otherwise
available to the applicant for purposes other than proceedings pursuant
to Article 1904 of the Agreement; and
(C) Upon completion of the panel review, or at such earlier date as
may be determined by the Department, return to the Department or certify
to the Department the destruction of all documents released under the
protective order and all other documents containing the proprietary
information (such as briefs, notes, or charts based on any such
information received under the protective order).
(D) Acknowledge that breach thereof may subject the signatory to
sanctions under 356.12.
(2) Timing of Applications. Any person described in 356.9(a) may
file an application for disclosure under protective order after a Notice
of Request for Panel Review has been filed with the Secretariat. Any
person described in 356.9(b) may file at any time but not before that
person files a Complaint or a Notice of Appearance. Any person
described in 356.9(d) shall file an application immediately upon
assuming official responsibilities in the United States or Canadian
Secretariat. Any person described in 356.9(e) shall submit an
application to the United States Trade Representative for filing with
the Department. Any person described in 356.9(f) shall submit an
application to the Canadian Secretary for filing with the Department.
(3) Filing and Service of Applications. (i) Applications of Persons
Described in 356.9(a).
A person described in 356.9(a) shall submit the completed original of
this form to the United States Secretary, FTA Binational Secretariat,
room 4012, U.S. Department of Commerce, Pennsylvania Avenue and 14th
Street NW., Washington, DC 20230. The United States Secretary, in turn,
shall file the original plus six copies of the application with the
competent investigating authority. A letter of transmittal must be
bound to the original and each copy as the first page of this document.
The letter of transmittal must be marked according to the requirements
of 19 CFR 353.31(e)(2)(i)-(v) or 355.31(e)(2)(i)-(v).
(ii) Applications of Persons Described in 356.9(b).
A Person described in Paragraph (b) of 356.9 shall submit the
completed original and correct number of copies of this form in
accordance with the requirements set forth in 19 CFR 353.31(d) and
(e)(2) or 355.31 (d) and (e)(2). A letter of transmittal must be bound
to the original and each copy as the first page of this document. The
letter of transmittal must be marked according to the requirements of 19
CFR 353.31(e)(2)(i)-(v) or 19 CFR 355.31(e)(2)(i)-(v). If the
application is filed before the date on which notices of appearance must
be filed in the panel review, such person shall concurrently serve four
copies of such application on the United States Secretary and one copy
on each person listed on the service list. If the application is filed
after the deadline for filing a Notice of Appearance, such person shall
serve four copies of the application on the United States Secretary and
one copy on each participant in the panel review.
(iii) Applications of Persons Described in 356.9 (d) and (e). Any
person described in paragraph (d) or (e) of 356.9 who files an
application with the Department shall file four copies with the United
States section of the Secretariat, for placement in the public
inspection files of the United States and Canadian sections of the
Secretariat.
(iv) Method of Service. Service of an application shall be made in
accordance with 356.3(c)-(e).
(4) Release to Employees of Panelists, Committee Members, and Counsel
or Professionals. A person described in paragraph (c) of 356.9,
including a paralegal, law clerk, or secretary, may be permitted access
to proprietary information disclosed under protective order by the
counsel or professional, panelist, or committee member who retains or
employs such person, if such person has agreed to the terms of the
protective order issued to the counsel or professional, panelist, or
committee member, by signing and dating a completed copy of the
application for protective order of the representative panelist, or
committee member in the location indicated in that application;
(5) Counsel or Professional Who Retains Access to Proprietary
Information Under a Protective Order Issued During the Administrative
Proceeding. Any counsel or professional who has been granted access to
proprietary information under protective order during an administrative
proceeding that resulted in a final determination that becomes the
subject of panel review may, if permitted by the terms of the protective
order previously issued by the Department, retain such information until
the applicant receives a protective order under this part.
(c) Issuance of a Protective Order to Persons Described in 356.9
(a), (d), (e), and (f).
(1) Issuance to Persons Described in 356.9 (a) and (d). (i) Upon
receipt by the Department of an application from a person described in
paragraph (a) or (d) of 356.9, the Department will issue a protective
order authorizing disclosure of proprietary information included in the
administrative record of the final determination that is the subject of
the panel review at issue.
(ii) Any panelist to whom the Department issues a protective order
must countersign the protective order, and return one copy of the
countersigned protective order to the United States Secretary who shall
return one copy to the Department and retain four copies for placement
in the public inspection files of the United States and Canadian
sections of the Secretariat.
(iii) When the Department issues a protective order to any person
described in paragraph (a) of 356.9, other than a panelist, that person
shall return one copy to the United States Secretary who shall retain
four copies for placement in the public inspection files of the United
States and Canadian sections of the Secretariat.
(2) Issuance to Persons Described in 356.9 (e) or (f). Upon receipt
by the Department from the United States Trade Representative or from
the Canadian government of applications from persons requiring access to
proprietary information for the purpose of evaluating whether the United
States or Canada should request an extraordinary challenge committee,
the Department will issue a protective order authorizing disclosure of
proprietary information included in the record of the panel review at
issue.
(3) The terms and obligations of any protective order issued under
this paragraph will be the same as those established in paragraph (b)(1)
of this section.
(d) Consideration of Applications From Counsel or Professionals. (1)
Opportunity to Object to Disclosure to Persons Described in 356.9 (b)
or (c). The Department will not rule on an application for a protective
order filed by a counsel or professional until at least ten days after
the request is filed, unless there is compelling need to rule more
expeditiously. Unless the Department has indicated otherwise, any
person may file an objection to the application within seven days of
filing of the application. Any such objection shall state the specific
reasons in the view of such person why the application should not be
granted. One copy of the objection shall be served on the applicant and
on all persons who were served with the application. Service shall be
made in accordance with 356.3(c)-(e). Any reply to an objection will
be considered if it is filed before the Department renders a decision.
(2) Timing of Decisions on Applications. Normally, the Department
will render a decision to approve or deny an application for protective
order within 14 days. If the person who submitted the information files
an objection, the Department will normally render the decision within 30
days.
(3) Approval of the Applications. If appropriate, the Department
will issue a protective order permitting the release of proprietary
information to an applicant.
(4) Denial of the Application. If the Department denies an
application, it shall issue a letter notifying the applicant of its
decision and the reasons therefor.
(5) Service of a Protective Order. If the Department issues a
protective order to a person pursuant to paragraph (d)(3) of this
section, such person shall immediately file four copies of the
protective order with the United States Secretariat and, as soon as the
deadline for the filing of Notices of Appearances has passed in the
appropriate panel review, shall serve a copy of that order upon all
participants in that review. Service upon the Secretariat and the
participants shall be made in accordance with 356.3(c)-(e).
(e) Modification or Revocation of Protective Orders. If any person
believes that changed conditions of fact or law, or the public interest,
may require that a protective order issued pursuant to paragraph (c) of
this section be modified or revoked, in whole or in part, such person
may notify the Department in writing. The notification shall state the
changes desired and the changed circumstances warranting such action and
shall include materials and argument in support thereof. Such
notification shall be served by the person submitting it upon the person
to whom the Protective Order was issued. Responses to the notification
may be filed within 20 days after the notification is filed unless the
Department indicates otherwise. The Department may also consider such
action sua sponte.
19 CFR 356.11 Procedures for obtaining access to privileged
information.
(a) Persons Who May Apply for Access to Privileged Information Under
Protective Order. (1) Panelists.
(i) If a panel decides that in camera examination of a document
containing privileged information in an administrative record is
necessary in order for the panel to determine whether the document, or
portions thereof, should be disclosed under a Protective Order for
Privileged Information to counsel or professionals retained by or under
the direction or control of counsel, each panelist who is to conduct the
in camera review, pursuant to the rules of procedure adopted by the
United States and Canada to implement Article 1904 of the Agreement,
shall submit an application for disclosure of the privileged information
under Protective Order for Privileged Information to the United States
Secretary for filing with the Department; and
(ii) If a panel orders disclosure of a document containing privileged
information, any panelist who has not filed an application pursuant to
paragraph (a)(1)(i) of this section shall submit an application for
disclosure of the privileged information under a Protective Order for
Privileged Information to the United States Secretary for filing with
the Department.
(2) Designated Officials of the United States Government. Where, in
the course of a panel review, the panel has reviewed privileged
information under a Protective Order for Privileged Information, and the
issue to which such information pertains is relevant to the evaluation
of whether the United States should request an extraordinary challenge
committee, each official of the United States government whom the United
States Trade Representative informs the Department requires access for
the purpose of such evaluation shall file an application for a
Protective Order for Privileged Information.
(3) Designated Officials of the Government of Canada. Where, in the
course of a panel review, the panel has reviewed privileged information
under a Protective Order for Privileged Information, and the issue to
which such information pertains is relevant to the evaluation of whether
the United States government should request an extraordinary challenge
committee, each official of the Canadian government whom an authorized
agency of Canada informs the Department requires access for the purpose
of such evaluation shall file an application for a Protective Order for
Privileged Information.
(4) Members of an Extraordinary Challenge Committee. Where an
extraordinary challenge record contains privileged information and a
Protective Order for Privileged Information was issued to counsel or
professionals representing participants in the panel review at issue,
each member of the extraordinary challenge committee shall submit an
application for a Protective Order for Privileged Information to the
United States Secretary for filing with the Department.
(5) Other Designated Persons. If the panel decides, in accordance
with the rules of procedure adopted by the United States and Canada to
implement Article 1904 of the FTA, that disclosure of a document
containing privileged information is appropriate, any person identified
in such a decision as entitled to release under Protective Order for
Privileged Information, e.g. counsel or a professional under the
direction or control of counsel, Secretariat personnel, or a member of
the staff of the panel, shall file an application for release under
Protective Order for Privileged Information with the Department.
(b) Contents of Applications for Release Under Protective Order for
Privileged Information. (1) The Department has adopted application
forms for disclosure of privileged information to those persons
described in section 356.11(a). Application forms for persons described
in paragraphs (a)(1) and (4) of this section, Secretariat personnel, and
members of the staff of a panelist or extraordinary challenge committee
member are available from the United States Secretariat. Application
forms for counsel or professionals are available from the Central
Records Unit, room B-099, U.S. Department of Commerce, Pennsylvania
Avenue & 14th Street NW., Washington, DC 20230. These forms may be
amended from time to time.
(2) Such forms require the applicant for release of privileged
information under Protective Order for Privileged Information to submit
a personal sworn statement stating, in addition to such other conditions
as the Department may require, that the applicant shall:
(i) Not disclose any privileged information obtained under protective
order to any person other than:
(A) Officials of the Department involved in the particular panel
review in which the privileged information is part of the record;
(B) A person who has furnished a similar application and who has been
issued a Protective Order for Privileged Information concerning the
privileged information at issue; and
(C) A person retained or employed by counsel, a professional, a
panelist or extraordinary challenge committee member who has been issued
a Protective Order for Privileged Information, such as a paralegal, law
clerk, or secretary, if such person has agreed to be bound by the terms
set forth in the application for Protective Order for Privileged
Information of the counsel, professional, panelist or extraordinary
challenge committee member by signing and dating the completed
application at the location indicated in such application.
(ii) Use such information solely for purposes of the proceedings
under Article 1904 of the Agreement;
(iii) Upon completion of the panel review, or at such earlier date as
may be determined by the Department, return to the Department or certify
to the Department the destruction of all documents released under the
Protective Order for Privileged Information and all other documents
containing the privileged information (such as briefs, notes, or charts
based on any such information received under the Protective Order for
Privileged Information); and
(iv) Acknowledge that breach thereof may subject the signatory to
sanctions under 356.12 and 356.30.
(c) Issuance of Protective Orders for Privileged Information. Upon
receipt of an application for protective order under this section, the
Department shall issue a protective order.
(d) Service of Protective Order for Privileged Information. (1) If
the Department issues a Protective Order for Privileged Information to a
counsel or professional, such person shall immediately file four copies
of the application and Protective Order for Privileged Information with
the United States section of the Secretariat and, as soon as the
deadline for the filing of a Notice of Appearance has passed in the
appropriate panel review, shall serve a copy of that application and
order upon all participants in the panel review.
(2) If the Department issues a Protective Order for Privileged
Information to any other person, such person shall return one copy to
the United States Secretary, who shall return one copy to the Department
and retain four copies for placement in the public inspection files of
the United States and Canadian sections of the Secretariat. If the
person described in the above sections is a panelist, the panelist shall
countersign the protective order, and return one copy of the
countersigned protective order to the United States Secretary, who shall
return one copy to the Department and retain four copies for placement
in the public inspection files of the United States and Canadian
sections of the Secretariat.
(e) Modification or Revocation of Protective Order for Privileged
Information. If any person believes that changed conditions of fact or
law, or the public interest, may require that a Protective Order for
Privileged Information be modified or revoked, in whole or in part, such
person may notify the Department in writing. The notification shall
state the changes desired and the changed circumstances warranting such
action and shall include materials and argument in support thereof.
Such notification shall be served by the person submitting it upon the
person to whom the Protective Order for Privileged Information was
issued. Responses to the notification may be filed within 20 days after
the notification is filed unless the Department indicates otherwise.
The Department may also consider such action sua sponte.
19 CFR 356.11 Subpart D -- Violation of a Protective Order or a Disclosure Undertaking
19 CFR 356.12 Sanctions for violation of a protective order or
disclosure undertaking.
(a) A person determined under this part to have violated a protective
order or a disclosure undertaking may be subjected to any or all or the
following sanctions:
(1) Liable to the United States for a civil penalty not to exceed
$100,000 for each violation;
(2) Barred from appearing before the Department to represent another
for a designated time period from the date of publication in the Federal
Register or Canada Gazette of a notice that a violation has been
determined to exist;
(3) Denied access to proprietary information for a designated time
period from the date of publication in the Federal Register or Canada
Gazette of a notice that a violation has been determined to exist;
(4) Other appropriate administrative sanctions, including striking
from the record of the panel review any information or argument
submitted by, or on behalf of, the violating party or the party
represented by the violating party; terminating any proceeding then in
progress; or revoking any order then in effect; and
(5) Required to return material previously provided by the
investigating authority, and all other materials containing the
proprietary information, such as briefs, notes, or charts based on any
such information received under a protective order or a disclosure
undertaking.
(b)(1) The firm of which a person determined to have violated a
protective order or a disclosure undertaking is a partner, associate, or
employee; any partner, associate, employer, or employee of such person;
and any person represented by such person may be barred from appearing
before the Department for a designated time period from the date of
publication in the Federal Register or Canada Gazette of notice that a
violation has been determined to exist or may be subjected to the
sanctions set forth in paragraph (a) of this section, as appropriate.
(2) Each person against whom sanctions are proposed under paragraph
(b)(1) of this section is entitled to all the administrative rights set
forth in this subpart separately and apart from rights provided to a
person subject to sanctions under paragraph (a), including the right to
a charging letter, right to representation, and right to a hearing, but
subject to joinder or consolidation by the administrative law judge
under 356.23(b).
19 CFR 356.13 Suspension of rules.
Upon request by the Deputy Under Secretary, a charged or affected
party, or the APO Sanctions Board, the administrative law judge may
modify or waive any rule in this subpart upon determining that no party
will be unduly prejudiced and the ends of justice will thereby be served
and upon notice to all parties.
19 CFR 356.14 Report of violation and investigation.
(a) An employee of the Department or any other person who has
information indicating that the terms of a protective order or a
disclosure undertaking have been violated will provide the information
to a Director or the Chief Counsel.
(b) Upon receiving information which indicates that a person may have
violated the terms of a protective order or an undertaking, the Director
will conduct an investigation concerning whether there was a violation
of a protective order or a disclosure undertaking, and who was
responsible for the violation, if any. For purposes of this subpart,
the Director will be supervised by the Deputy Under Secretary with
guidance from the Chief Counsel. The Director will conduct an
investigation only if the information is received within 30 days after
the alleged violation occurred or, as determined by the Director, could
have been discovered through the exercise of reasonable and ordinary
care.
(c) The Director will provide a report of the investigation to the
Deputy Under Secretary, after review by the Chief Counsel, no later than
180 days after receiving information concerning a violation. Upon the
Director's request, and if extraordinary circumstances exist, the Deputy
Under Secretary may grant the Director up to an additional 180 days to
conduct the investigation and submit the report.
(d) The following examples of actions that constitute violations of
an administrative protective order shall serve as guidelines to each
person subject to a protective order. These examples do not represent
an exhaustive list. Evidence that one of the acts described in the
guidelines has been committed, however, shall be considered by the
Director as reasonable cause to believe a person has violated a
protective order within the meaning of 356.15.
(1) Disclosure of proprietary information to any person not granted
access to that information by protective order, including an official of
the Department or member of the Secretariat staff not directly involved
with the panel review pursuant to which the proprietary information was
released, an employee of any other United States, foreign government, or
international agency, or a member of Congress or the Canadian
Parliament.
(2) Failure to follow the detailed procedures outlined in the
protective order for safeguarding proprietary information, including
maintaining a log showing when each proprietary document is used, and by
whom, and requiring all employees who obtain access to proprietary
information (under the terms of a protective order granted their
employer) to sign and date a copy of that protective order.
(3) Loss of proprietary information.
(4) Failure to return or destroy all copies of the original documents
and all notes, memoranda, and submissions containing proprietary
information at the close of the proceeding for which the data were
obtained by burning or shredding of the documents or by erasing
electronic memory, computer disk, or tape memory, as set forth in the
protective order.
(5) Failure to delete proprietary information from the public version
of a brief or other correspondence filed with the Secretariat.
(6) Disclosure of proprietary information during a public hearing.
(e) Each day of a continuing violation shall constitute a separate
violation.
19 CFR 356.15 lnitiation of proceedings.
(a) If the Deputy Under Secretary concludes, after an investigation
and report by the Director under 356.14(c) and consultation with the
Chief Counsel, that there is reasonable cause to believe that a person
has violated a protective order or a disclosure undertaking and that
sanctions are appropriate for the violation, the Deputy Under Secretary
will, at his discretion, either initiate a proceeding under this subpart
by issuing a charging letter as set forth in 356.16 or request that the
authorized agency of Canada initiate a proceeding by issuing a request
to charge as set forth in 356.17. In determining whether sanctions are
appropriate and, if so, what sanctions to impose, the Deputy Under
Secretary will consider the nature of the violation, the resulting harm,
and other relevant circumstances of the case. The Deputy Under
Secretary will decide whether to initiate a proceeding no later than 60
days after receiving a report of the investigation.
(b) If the Department receives a request to charge from an authorized
agency of Canada, the Deputy Under Secretary will promptly initiate
proceedings under this part by issuing a charging letter as set forth in
356.16.
19 CFR 356.16 Charging letter.
(a) Contents of Letter. The Deputy Under Secretary will initiate
proceedings by issuing a charging letter to each charged party and
affected party which includes:
(1) A statement of the allegation that a protective order or a
disclosure undertaking has been violated and the basis thereof;
(2) A statement of the proposed sanctions;
(3) A statement that the charged or affected party is entitled to
review the documents or other physical evidence upon which the charge is
based and the method for requesting access to, or copies of, such
documents;
(4) A statement that the charged or affected party is entitled to a
hearing before an administrative law judge if requested within 30 days
of the date of service of the charging letter and the procedure for
requesting a hearing, including the name, address, and telephone number
of the person to contact if there are further questions;
(5) A statement that the charged or affected party has a right, if a
hearing is not requested, to submit documentary evidence to the Deputy
Under Secretary and an explanation of the method for submitting evidence
and the date by which it must be received; and
(6) A statement that the charged or affected party has a right to
retain counsel at the party's own expense for purposes of
representation.
(b) Settlement and Amendment of the Charging Letter. The Deputy
Under Secretary may amend, supplement, or withdraw the charging letter
at any time with the approval of an administrative law judge if the
interests of justice would thereby be served. If a hearing has not been
requested, the Deputy Under Secretary will ask the Under Secretary to
appoint an administrative law judge to make this determination. If a
charging letter is withdrawn after a request for a hearing, the
administrative law judge will determine whether the withdrawal will bar
the Deputy Under Secretary from seeking sanctions at a later date for
the same alleged violation. If there has been no request for a hearing,
or if supporting information has not been submitted under 356.28, the
withdrawal will not bar future actions on the same alleged violation.
The Deputy Under Secretary and a charged or affected party may settle a
charge brought under this Subpart by mutual agreement at any time after
service of the charging letter; approval of the administrative law
judge or the APO Sanctions Board is not necessary.
(c) Service of Charging Letter on a Resident of the United States.
(1) Service of a charging letter on a United States resident will be
made by:
(i) Mailing a copy by registered or certified mail addressed to the
charged or affected party at the party's last known address;
(ii) Leaving a copy with the charged or affected party or with an
officer, a managing or general agent, or any other agent authorized by
appointment or by law to receive service for the party; or
(iii) Leaving a copy with a person of suitable age and discretion who
resides at the party's last known dwelling.
(2) Service made in the manner described in paragraph (c)(1) (ii) or
(iii) of this section shall be evidenced by a certificate of service
signed by the person making such service, stating the method of service
and the identity of the person with whom the charging letter was left.
(d) Service of Charging Letter on a Non-resident. If applicable laws
or intergovernmental agreements or understandings make the methods of
service set forth in paragraph (c) of this section inappropriate or
ineffective, service of the charging letter on a person who is not a
resident of the United States may be made by any method that is
permitted by the country in which the person resides and that, in the
opinion of the Deputy Under Secretary, satisfies due process
requirements under United States law with respect to notice in
administrative proceedings.
19 CFR 356.17 Request to charge.
Upon deciding to initiate a proceeding pursuant to 356.15, the
Deputy Under Secretary will request an authorized agency of Canada to
initiate a proceeding for imposing sanctions for violation of a
protective order or a disclosure undertaking by issuing a letter of
request to charge that includes a statement of the allegation that a
protective order or a disclosure undertaking has been violated and the
basis thereof.
19 CFR 356.18 Interim sanctions.
(a) If the Deputy Under Secretary concludes, after issuing a charging
letter under 356.16 and before a final decision is rendered, that
interim sanctions are necessary to protect the interests of the
Department, an authorized agency of Canada, or others, including the
protection of proprietary information, the Deputy Under Secretary may
petition an administrative law judge to impose such sanctions.
(b) The administrative law judge may impose interim sanctions against
a person upon determining that:
(1) There is probable cause to believe that there was a violation of
a protective order or a disclosure undertaking and the Department is
likely to prevail in obtaining sanctions under this Subpart,
(2) The Department, authorized agency of Canada, or others are likely
to suffer irreparable harm if the interim sanctions are not imposed, and
(3) The interim sanctions are a reasonable means for protecting the
rights of the Department, authorized agency of Canada, or others while
preserving to the greatest extent possible the rights of the person
against whom the interim sanctions are proposed.
(c) Interim sanctions which may be imposed include any sanctions that
are necessary to protect the rights of the Department, authorized agency
of Canada, or others, including, but not limited to:
(1) Denying a person further access to proprietary information,
(2) Barring a person from representing another person before the
Department,
(3) Barring a person from appearing before the Department, and
(4) Requiring the person to return material previously provided by
the Department or the competent investigating authority of Canada, and
all other materials containing the proprietary information, such as
briefs, notes, or charts based on any such information received under a
protective order or disclosure undertaking.
(d) The Deputy Under Secretary will notify the person against whom
interim sanctions are sought of the request for interim sanctions and
provide to that person the material submitted to the administrative law
judge to support the request. The notice will include a reference to
the procedures of this section.
(e) A person against whom interim sanctions are proposed has a right
to oppose the request through submission of material to the
administrative law judge. The administrative law judge has discretion
to permit oral presentations and to allow further submissions.
(f) The administrative law judge will notify the parties of the
decision on interim sanctions and the basis therefor within five days of
the conclusion of oral presentations or the date of final written
submissions.
(g) If interim sanctions have been imposed, the investigation and any
proceedings under this Subpart will be conducted on an expedited basis.
(h) An order imposing interim sanctions may be revoked at any time by
the administrative law judge and expires automatically upon the issuance
of a final order.
(i) The administrative law judge may reconsider imposition of interim
sanctions on the basis of new and material evidence or other good cause
shown. The Deputy Under Secretary or a person against whom interim
sanctions have been imposed may appeal a decision on interim sanctions
to the APO Sanctions Board, if such an appeal is certified by the
administrative law judge as necessary to prevent undue harm to the
Department or authorized agency of Canada, a person against whom interim
sanctions have been imposed or others, or is otherwise in the interests
of justice. Interim sanctions which have been imposed remain in effect
while an appeal is pending, unless the administrative law judge
determines otherwise.
(j) The Deputy Under Secretary may request an administrative law
judge to impose emergency interim sanctions to preserve the status quo.
Emergency interim sanctions may last no longer than 48 hours, excluding
weekends and holidays. The person against whom such emergency interim
sanctions are proposed need not be given prior notice or an opportunity
to oppose the request for sanctions. The administrative law judge may
impose emergency interim sanctions upon determining that the Department
or authorized agency of Canada is, or others are, likely to suffer
irreparable harm if such sanctions are not imposed and that the
interests of justice would thereby be served. The administrative law
judge will promptly notify a person against whom emergency sanctions
have been imposed of the sanctions and their duration.
(k) If a hearing has not been requested, the Deputy Under Secretary
will request that the Under Secretary appoint an administrative law
judge for making determinations under this section.
(l) The Deputy Under Secretary will notify the Secretariat concerning
the imposition or revocation of interim sanctions or emergency interim
sanctions.
19 CFR 356.19 Request for a hearing.
(a) Any party may request a hearing by submitting a written request
to the Under Secretary within 30 days after the date of service of the
charging letter. However, the Deputy Under Secretary may request a
hearing only if the interests of justice would thereby be served.
(b) Upon timely receipt of a request for a hearing, the Under
Secretary will appoint an administrative law judge to conduct the
hearing and render an initial decision.
19 CFR 356.20 Discovery.
(a) Voluntary Discovery. All parties are encouraged to engage in
voluntary discovery procedures regarding any matter, not privileged,
which is relevant to the subject matter of the pending sanctions
proceeding.
(b) Limitations on Discovery. The administrative law judge shall
place such limits upon the kind or amount of discovery to be had or the
period of time during which discovery may be carried out as shall be
consistent with the time limitations set forth in this Part.
(c) Interrogatories and Requests for Admissions or Production of
Documents. A party may serve on any other party interrogatories,
requests for admissions, or requests for production of documents for
inspection and copying, and the party may then apply to the
administrative law judge for such enforcement or protective order as
that party deems warranted concerning such discovery. The party will
serve a discovery request at least 20 days before the scheduled date of
a hearing, if a hearing has been requested and scheduled, unless the
administrative law judge specifies a shorter time period. Copies of
interrogatories, requests for admissions, and requests for production of
documents and responses thereto will be served on all parties. Matters
of fact or law of which admission is requested will be deemed admitted
unless, within a period designated in the request (at least 10 days
after the date of service of the request, or within such further time as
the administrative law judge may allow), the party to whom the request
is directed serves upon the requesting party a sworn statement either
admitting or denying specifically the matters of which admission is
requested or setting forth in detail the reasons why the party cannot
truthfully either admit or deny such matters.
(d) Depositions. Upon application of a party and for good cause
shown, the administrative law judge may order the taking of the
testimony of any person who is a party, or under the control or
authority of a party, by deposition and the production of specified
documents or materials by the person at the deposition. The application
shall state the purpose of the deposition and shall set forth the facts
sought to be established through the deposition.
(e) Supplementation of Responses. A party who has responded to a
request for discovery with a response that was complete when made is
under no duty to supplement his response to include information
thereafter acquired, except as follows:
(1) A party is under a duty to seasonably supplement his response
with respect to any question directly addressed to:
(i) The identity and location of persons having knowledge of
discoverable matters; and
(ii) The identity of each person expected to be called as an expert
witness at a hearing, the subject matter on which the witness is
expected to testify, and the substance of the testimony.
(2) A party is under a duty to seasonably amend a prior response if
the party obtains information upon the basis of which he or she:
(i) Knows the response was incorrect when made; or
(ii) Knows that the response, though correct when made, is no longer
true, and the circumstances are such that a failure to amend the
response is in substance a knowing concealment.
(3) A duty to supplement responses may be imposed by order of the
administrative law judge, agreement of the parties, or at any time prior
to a hearing through new requests for supplementation of prior
responses.
(f) Enforcement. The administrative law judge may order a party to
answer designated questions, to produce specified documents or items, or
to take any other action in response to a proper discovery request. If
a party does not comply with such an order, the administrative law judge
may make any determination or enter any order in the proceedings as he
or she deems reasonable and appropriate. The administrative law judge
may strike related charges or defenses in whole or in part, or may take
particular facts relating to the discovery request to which the party
failed or refused to respond as being established for purpose of the
proceeding in accordance with the contentions of the party seeking
discovery. In issuing a discovery order, the administrative law judge
will consider the necessity to protect proprietary information and will
not order the release of information in circumstances where it is
reasonable to conclude that such release will lead to unauthorized
dissemination of such information.
19 CFR 356.21 Subpoenas.
(a) Application for Issuance of a Subpoena. An application for
issuance of a subpoena requiring a person to appear and depose or
testify at the taking of a deposition or at a hearing shall be made to
the administrative law judge. An application for issuance of a subpoena
requiring a person to appear and depose or testify and to produce
specified documents, papers, books, or other physical exhibits at the
taking of a deposition, at a prehearing conference, at a hearing, or
under any other circumstances, shall be made in writing to the
administrative law judge and shall specify the material to be produced
as precisely as possible, showing the general relevancy of the material
and the reasonableness of the scope of the subpoena.
(b) Use of Subpoena for Discovery. Subpoenas may be used by any
party for purposes of discovery or for obtaining documents, papers,
books, or other physical exhibits for use in evidence, or for both
purposes. When used for discovery purposes, a subpoena may require a
person to produce and permit the inspection and copying of nonprivileged
documents, papers, books, or other physical exhibits which constitute or
contain evidence relevant to the subject matter involved and which are
in the possession, custody, or control of such person.
(c) Application for Subpoenas for Nonparty Department Records or
Personnel or for Records or Personnel of Other Government Agencies. (1)
An application for issuance of a subpoena requiring the production of
nonparty documents, papers, books, physical exhibits, or other material
in the records of the Department, or requiring the appearance of an
official or employee of the Department, or requiring the production of
records or personnel of other Government agencies shall specify as
precisely as possible the material to be produced, the nature of the
information to be disclosed, or the expected testimony of the official
or employee, and shall contain a statement showing the general relevancy
of the material, information, or testimony and the reasonableness of the
scope of the application, together with a showing that such material,
information, or testimony or their substantial equivalent could not be
obtained without undue hardship by alternative means.
(2) Such applications shall be ruled upon by the administrative law
judge. To the extent that the motion is granted, the administrative law
judge shall provide such terms and conditions for the production of the
material, the disclosure of the information, or the appearance of the
official or employee as may appear necessary and appropriate for the
protection of the public interest.
(3) No application for a subpoena for production of documents
grounded upon the Freedom of Information Act (5 U.S.C. 552) shall be
entertained by the administrative law judge.
(d) Motion To Limit or Quash. Any motion to limit or quash a
subpoena shall be filed within 10 days after service thereof, or within
such other time as the administrative law judge may allow.
(e) Ex Parte Rulings on Applications for Subpoenas. Applications for
the issuance of subpoenas pursuant to this section may be made ex parte,
and, if so made, such applications and rulings thereon shall remain ex
parte unless otherwise ordered by the administrative law judge.
(f) Role of the Under Secretary. If a hearing has not been
requested, the party seeking enforcement will ask the Under Secretary to
appoint an administrative law judge to rule on applications for issuance
of a subpoena under this section.
19 CFR 356.22 Prehearing conference.
(a)(1) If an administrative hearing has been requested, the
administrative law judge will direct the parties to attend a prehearing
conference to consider:
(i) Simplification of issues;
(ii) Obtaining stipulations of fact and of documents to avoid
unnecessary proof;
(iii) Settlement of the matter;
(iv) Discovery; and
(v) Such other matters as may expedite the disposition of the
proceedings.
(2) Any relevant and significant stipulations or admissions will be
incorporated into the initial decision.
(b) If a prehearing conference is impractical, the administrative law
judge will direct the parties to correspond with each other or to confer
by telephone or otherwise to achieve the purposes of such a conference.
19 CFR 356.23 Hearing.
(a) Scheduling of Hearing. The administrative law judge will
schedule the hearing at a reasonable time, date, and place, which will
be in Washington, DC, unless the administrative law judge determines
otherwise based upon good cause shown, that another location would
better serve the interests of justice. In setting the date, the
administrative law judge will give due regard to the need for the
parties adequately to prepare for the hearing and the importance of
expeditiously resolving the matter.
(b) Joinder or Consolidation. The administrative law judge may order
joinder or consolidation if sanctions are proposed against more than one
party or if violations of more than one protective order or disclosure
undertaking are alleged if to do so would expedite processing of the
cases and not adversely affect the interests of the parties.
(c) Hearing Procedures. Hearings will be conducted in a fair and
impartial manner by the administrative law judge, who may limit
attendance at any hearing or portion thereof if necessary or advisable
in order to protect proprietary information from improper disclosure.
The rules of evidence prevailing in courts of law shall not apply, and
all evidentiary material the administrative law judge determines to be
relevant and material to the proceeding and not unduly repetitious may
be received into evidence and given appropriate weight. The
administrative law judge may make such orders and determinations
regarding the admissibility of evidence, conduct of examination and
cross-examination, and similar matters as are necessary or appropriate
to ensure orderliness in the proceedings. The administrative law judge
will ensure that a record of the hearing will be taken by reporter or by
electronic recording, and will order such part of the record to be
sealed as is necessary to protect proprietary information.
(d) Rights of Parties. At a hearing each party shall have the right
to:
(1) Introduce and examine witnesses and submit physical evidence,
(2) Confront and cross-examine adverse witnesses,
(3) Present oral argument, and
(4) Receive a transcript or recording of the proceedings, upon
request, subject to the administrative law judge's orders regarding
sealing the record.
(e) Representation. Each charged or affected party has a right to
represent himself or herself or to retain private counsel for that
purpose. The Chief Counsel will represent the Department, unless the
General Counsel of the Department determines otherwise. The
administrative law judge may disallow a representative if such
representation constitutes a conflict of interest or is otherwise not in
the interests of justice and may debar a representative for contumacious
conduct relating to the proceedings.
(f) Ex Parte Communications. The parties and their representatives
may not make any ex parte communications to the administrative law judge
concerning the merits of the allegations or any matters at issue, except
as provided in 356.18(j) regarding emergency interim sanctions.
19 CFR 356.24 Proceeding without a hearing.
If no party has requested a hearing, the Deputy Under Secretary,
within 40 days after the date of service of a charging letter, will
submit for inclusion into the record and provide each charged or
affected party information supporting the allegations in the charging
letter. Each charged or affected party has the right to file a written
response to the information and supporting documentation within 30 days
after the date of service of the information provided by the Deputy
Under Secretary unless the Deputy Under Secretary alters the time period
for good cause. The Deputy Under Secretary may allow the parties to
submit further information and argument.
19 CFR 356.25 Witnesses.
Witnesses summoned before the Department shall be paid the same fees
and mileage that are paid witnesses in the courts of the United States.
19 CFR 356.26 Initial decision.
(a) Initial Decision. The administrative law judge, if a hearing was
requested, or the Deputy Under Secretary will submit an initial decision
to the APO Sanctions Board, providing copies to the parties. The
administrative law judge or the Deputy Under Secretary will ordinarily
issue the decision within 20 days of the conclusion of the hearing, if
one was held, or within 15 days of the date of service of final written
submissions. The initial decision will be based solely on evidence
received into the record and the pleadings of the parties.
(b) Findings and Conclusions. The initial decision will state
findings and conclusions as to whether a person has violated a
protective order or a disclosure undertaking; the basis for those
findings and conclusions; and whether the sanctions proposed in the
charging letter, or lesser included sanctions, should be imposed against
the charged or affected party. The administrative law judge or the
Deputy Under Secretary may impose sanctions only upon determining that
the preponderance of the evidence supports a finding of violation of a
protective order or a disclosure undertaking and that the sanctions are
warranted against the charged or affected party.
(c) Finality of Decision. If the APO Sanctions Board has not issued
a decision on the matter within 60 days after issuance of the initial
decision, the initial decision becomes the final decision of the
Department.
19 CFR 356.27 Final decision.
(a) APO Sanctions Board. Upon request of a party, the initial
decision will be reviewed by the members of the APO Sanctions Board.
The Board consists of the Under Secretary for International Trade, who
shall serve as Chairperson, the Under Secretary for Economic Affairs,
and the General Counsel.
(b) Comments on Initial Decision. Within 30 days after issuance of
the initial decision, a party may submit written comments to the APO
Sanctions Board on the initial decision, which the Board will consider
when reviewing the initial decision. The parties have no right to an
oral presentation, although the Board may allow oral argument in its
discretion.
(c) Final Decision by the APO Sanctions Board. Within 60 days but
not sooner than 30 days after issuance of an initial decision, the APO
Sanctions Board may issue a final decision which adopts the initial
decision in its entirety; differs in whole or in part from the initial
decision, including the imposition of lesser included sanctions; or
remands the matter to the administrative law judge or the Deputy Under
Secretary for further consideration. The only sanctions that the Board
can impose are those sanctions proposed in the charging letter or lesser
included sanctions.
(d) Contents of Final Decision. If the final decision of the APO
Sanctions Board does not remand the matter and differs from the initial
decision, it will state findings and conclusions which differ from the
initial decision, if any, the basis for those findings and conclusions,
and the sanctions which are to be imposed, to the extent they differ
from the sanctions in the initial decision.
(e) Public Notice of Sanctions. If the final decision is that there
has been a violation of a protective order or a disclosure undertaking
and that sanctions are to be imposed, notice of the decision will be
published in the Federal Register and forwarded to the Secretariat.
Such publication will be no sooner than 30 days after issuance of a
final decision or after a motion to reconsider has been denied, if such
a motion was filed. If the final decision is made in a proceeding based
upon a request to charge by an authorized agency of Canada, the decision
will be forwarded to the Secretariat for transmittal to the authorized
agency of Canada for publication in the Canada Gazette or other
appropriate action. The Deputy Under Secretary will also provide such
information to the ethics panel or other disciplinary body of the
appropriate bar associations or other professional associations whenever
the Deputy Under Secretary subjects a charged or affected party to a
sanction under paragraph (a)(2) of 356.12 and to any Federal agency
likely to have an interest in the matter and will cooperate in any
disciplinary actions by any association or agency.
19 CFR 356.28 Reconsideration.
Any party may file a motion for reconsideration with the APO
Sanctions Board. The party must state with particularity the grounds
for the motion, including any facts or points of law which the party
claims the APO Sanctions Board has overlooked or misapplied. The party
may file the motion within 30 days of the issuance of the final decision
or the adoption of the initial decision as the final decision, except
that if the motion is based on the discovery of new and material
evidence which was not known, and could not reasonably have been
discovered through due diligence prior to the close of the record, the
party shall file the motion within 15 days of the discovery of the new
and material evidence. The party shall provide a copy of the motion to
all other parties. Opposing parties may file a response within 30 days
of the date of service of the motion. The response shall be considered
as part of the record. The parties have no right to an oral
presentation on a motion for reconsideration, but the Board may permit
oral argument at its discretion. If the motion to reconsider is
granted, the Board will review the record and affirm, modify, or reverse
the original decision or remand the matter for further consideration to
an administrative law judge or the Deputy Under Secretary, as warranted.
19 CFR 356.29 Confidentiality.
(a) All proceedings involving allegations of a violation of a
protective order or a disclosure undertaking shall be kept confidential
until such time as the Department makes a final decision under these
regulations, which is no longer subject to reconsideration, imposing a
sanction.
(b) The charged party or counsel for the charged party will be, to
the extent possible, granted access to proprietary information in these
proceedings, as necessary, under administrative protective order,
consistent with the provisions of 356.10.
19 CFR 356.30 Sanctions for violations of a protective order for
privileged information.
The provisions of this Subpart shall apply to persons who are alleged
to have violated a Protective Order for Privileged Information.
19 CFR 356.30 Pt. 357
19 CFR 356.30 PART 357 -- SHORT SUPPLY PROCEDURES
Sec.
357.101 Definitions.
357.102 Short Supply Allowances.
357.103 Petitions for Short Supply Allowances.
357.104 Determination of Adequacy of Petition, Notice of Review, and
Opportunity for Comment.
357.105 Questionnaires.
357.106 Time Limits.
357.107 Publication of Determinations and Notification of Foreign
Governments.
357.108 Disclosure of Information.
357.109 Request for Reconsideration.
357.110 Record of Review.
357.111 Public and Proprietary Information.
Authority: Sec. 4(b) of the Steel Trade Liberalization Program
Implementation Act, Pub. L. No. 101-221, 103 Stat. 1886 (1989).
Source: 55 FR 1349, Jan. 12, 1990, unless otherwise noted:
19 CFR 357.101 Definitions.
(a) Arrangement means an arrangement between the United States
Government and a foreign government whereby the foreign government
agrees to restrain voluntarily certain steel exports to, or destined for
consumption in, the United States for the period of October 1, 1989,
through March 31, 1992.
(b) Aberration means a domestic price which is out of the ordinary
and present course of normal pricing trends.
(c) Interested party means (1) A U.S. producer or consumer of the
product; (2) a U.S. importer/distributor of the product; or (3) a
foreign producer of the product (through its government, if such
government is a party to the arrangement under which a short supply
allowance is requested).
(d) Prevailing domestic market prices means current prices in the
United States market for domestically produced and imported product, as
reflected in actual purchases and sales (but does not include import
prices which the Secretary decides are likely to be significantly
affected by dumping or subsidy practices).
(e) The product means the steel product for which a short supply
allowance is requested or material that possesses the same physical and
mechanical characteristics, and which can be used for the same
applications without imposing any significant retooling costs on the
consumer.
(f) The Secretary means the Secretary of Commerce and the person to
whom the authority to make the short supply determination has been
delegated (the Assistant Secretary for Import Administration) or the
person making a final recommendation for decision to that person (the
Deputy Assistant Secretary for Compliance.)
(g) Short supply exists for a product when there is not a sufficient
supply of that product available to meet market demand in the United
States. In determining whether short supply exists, the Secretary will
not consider one factor alone to be dispositive, but will consider all
relevant factors, including:
(1) To the extent information is available, the recent levels of
capacity utilization for domestic facilities producing the product or
product sector;
(2) The quantity of additional imports of the product requested by
the petitioner and the ability of domestic producers to supply the
product in such quantity;
(3) The willingness of the producers of the product to supply the
product at a price that is not an aberration from prevailing domestic
market prices;
(4) Reasonable specifications requested by the purchaser or any end
user, such as metallurgical, dimensional, quality, service requirements,
and supply only by a qualified supplier if such qualification is
required by the purchaser's customers, and
(5) Delivery times to the purchaser and to end users of the product.
(h) A short supply allowance means an authorization to import into
the United States a quantity of the product in excess of the aggregate
quantitative import limitation under an arrangement.
19 CFR 357.102 Short supply allowances.
(a) The Secretary will authorize a short supply allowance if:
(1) The product is covered by an arrangement that provides for the
authorization of a short supply allowance;
(2) An adequate petition is filed with the Secretary requesting a
short supply allowance with respect to the product; and
(3) The Secretary determines that short supply exists with respect to
the product.
The Secretary's short supply determination will be based only on
information included in the official record. Any determination by the
Secretary that is found to be based on inaccurate information will be
reconsidered immediately.
(b) Address and submit petitions and all other documents concerning a
short supply review (accompanied by four copies) to the Secretary of
Commerce, Attention: Import Administration, Room 7866, U.S. Department
of Commerce, Pennsylvania Avenue and 14th Street NW., Washington, DC
20230. All documents submitted must reference the name or number of the
particular short supply review.
(c) The Secretary generally will consider petitions for short supply
allowances for up to one calendar year. For annual requests for
products that are produced domestically, but for which the domestic
industry has minimal available production capacity, the Secretary may
grant a short supply allowance for less than a full year, if the
Secretary believes that the situation may be significantly altered prior
to the end of one year.
(d) If the Secretary grants only a portion of the short supply
request, or grants a short supply allowance for less than a full year,
the petitioner must file a new petition to receive an allowance for any
subsequent period in the same year. The petitioner must file a new
petition if it subsequently modifies its request to the extent that the
modification represents a substantial change in its request.
19 CFR 357.103 Petitions for short supply allowances.
An interested party may file a petition with the Secretary requesting
a short supply allowance.
(a) All short supply petitions shall contain, at a minimum, the
following information:
(1) The exact specifications of the product for which the request is
made, including dimensions, metallurgical specifications, and unique
characteristics;
(2) A detailed explanation of how the product will be used;
(3) An explanation of why the petitioner believes the product is in
short supply;
(4) The exact quantity of the short supply allowance requested and
justification for the tonnage level. If the request is for more than
one type and size of a product, specific quantity information for each
type and size. If petitioner's request would represent an increase over
previous consumption levels, a full explanation for the increase;
(5) The period of time for which a short supply allowance is
requested; and
(6) A certification that the factual information contained in the
petition is accurate and complete to the best of the petitioner's
knowledge.
(b) If the petitioner is a U.S. company that processes the product in
some manner, the petition shall contain, in addition to the information
required under paragraph (a), the following information:
(1) A list of all U.S. and foreign producers of the product that have
refused to sell the product to the petitioner during the past three
years, indicating when they were contacted and the reason for their
refusal;
(2) A list of all offers to sell the product to the petitioner by
U.S. and foreign producers in the past three years that have been
rejected by the petitioner, indicating the reasons for the rejection;
(3) A list of all domestic and foreign suppliers from whom the
petitioner has purchased the product during the past three years,
including the quantity purchased from each mill during this period;
(4) A list of potential foreign suppliers of the product; and
(5) Documentation indicating that petitioner has made efforts to
purchase the product domestically.
(c) If the petitioner is a U.S. importer/distributor, the petition
shall contain, in addition to the information required under paragraph
(a), the following information:
(1) A list of all U.S. customers which have purchased the product
from the petitioner during the past three years, along with
documentation from these customers demonstrating that they support the
request and have been unable to buy the product domestically;
(2) A list of all of petitioner's sales (by quantity) to U.S.
customers of the product in each of the last three years;
(3) A list of all domestic and foreign firms that have supplied the
product to the petitioner during the past three years, with the total
quantity purchased from each supplier annually.
(4) A list of potential foreign suppliers of the product;
(d) If the petitioner is a foreign producer of the product applying
through its government, the petition shall contain, in addition to the
information required under paragraph (a), the following information:
(1) A list of all U.S. customers that have purchased the product from
the foreign company during the past three years, along with
documentation from these customers demonstrating that they support the
petition and have been unable to purchase the product domestically;
(2) A list of all the foreign company's sales (by quantity) to U.S.
customers of the product in each of the last three years.
19 CFR 357.104 Determination of adequacy of petition, notice of review
and opportunity for comment.
(a) Within 24 hours after a petition is filed, excluding weekends and
holidays, the Secretary will determine whether the petition is adequate.
(b) If the Secretary determines that the petition is adequate, the
Secretary promptly will cause to be published in the Federal Register a
notice that a petition with respect to the product is under review and
provide interested parties with the opportunity to submit written
comments on the petition. Comments will be accepted for a period of
seven days from the date notice of the review of the petition is
published in the Federal Register. Interested parties may file replies
to any comments submitted under this section. Any replies must be filed
with the Secretary within five days after the closing date of the
comment period. Interested parties shall certify that the factual
information contained in any submission they make is accurate and
complete to the best of their knowledge.
(c) If the Secretary determines that the petition is inadequate, the
Secretary immediately will return the petition to the petitioner along
with an explanation of why it is inadequate.
19 CFR 357.105 Questionnaires.
For reviews conducted under section 106(b)(2), the Secretary normally
will send questionnaires to potential producers/suppliers of the product
to determine whether it is in short supply. Questionnaires shall be
completed and delivered to the Secretary within 8 days after being sent
by the Secretary. Questionnaire responses not received within this
period will be deemed favorable to the petition.
19 CFR 357.106 Time limits.
(a) The Secretary will determine, no later than the day specified in
paragraph (b) of this section --
(1) Whether short supply exists with respect to the product; and
(2) If short supply is determined to exist, the quantity of the short
supply allowance.
(b) The Secretary will make a short supply determination not later
than --
(1) The 15th day after the day on which an adequate petition is
received if --
(i) A twelve week moving average of raw steel making capacity
utilization in the United States, as published by the American Iron and
Steel Institute, equals or exceeds 90 percent, or
(ii) The Secretary has granted short supply allowances for the
product during each of the two immediately preceding years. This
requirement will be satisfied by a full or partial grant of a short
supply allowance for the product for a one-year period during each of
the two immediately preceding years, or for a six-month period during
each of the two immediately preceding years, provided that there was not
within the two immediately preceding years a formal negative
determination by the Secretary as to the existence of short supply for
the product; or
(iii) The Secretary, on the basis of available information (and
whether or not in the context of a determination under section 102 of
this part), finds that the product is not produced in the United States.
In making a determination with respect to which section 106(b)(1) of
this part applies, the Secretary will apply a rebuttable presumption
that the product is in short supply. The burden of proof will lie on a
domestic steel producer to prove that it can and will produce and supply
the product within the requested period of time provided it represents a
normal order to delivery period. Unless such proof is provided, the
Secretary will issue a short supply allowance within 15 days of receipt
of an adequate petition.
(2) In all other circumstances, the Secretary will make a
determination within 30 days after the day on which an adequate petition
is received.
19 CFR 357.107 Publication of determinations and notification of
foreign governments.
The Secretary will publish in the Federal Register a notice of each
short supply determination setting forth the basis for that
determination. If the determination authorizes a short supply
allowance, the Secretary will notify a representative of the appropriate
foreign government and issue to the petitioner the necessary
documentation to permit the importation.
19 CFR 357.108 Disclosure of information.
Promptly after making a short supply determination, the Secretary
will disclose to each interested party which requests such disclosure
the rationale for the determination, along with all non-proprietary
information forming the basis of the determination.
19 CFR 357.109 Request for reconsideration.
Interested parties may file a request for reconsideration with the
Secretary. The interested party must state with particularity the
grounds for the request, including any alleged inaccurate information
upon which the short supply determination was based, or facts or points
of law which the interested party claims the Secretary has overlooked or
misapplied. The interested party shall file the request for
reconsideration within 5 days after the publication of the short supply
determination in the Federal Register. If the request for
reconsideration is granted, the Secretary will review and affirm,
modify, or reverse the original determination and publish such decision
in the Federal Register.
19 CFR 357.110 Record of review.
(a) The Secretary will maintain in the Import Administration Central
Records Unit an official record of each short supply review. The
Secretary will include in the record all relevant factual information,
written argument, or other material developed or obtained by the
Secretary during the course of the proceeding. The record will include
governmental memoranda pertaining to the proceeding, memoranda of ex
parte meetings, determinations, notices published in the Federal
Register. The official record will include both public and proprietary
information.
(b) Examination and copying of information. In general, all public
information in the official record will be available for inspection or
copying at the Import Administration Central Records Unit, Room B-099,
by any person during business hours. With respect to documents prepared
by an officer or employee of the United States Government, facts (as
distinguished from advice, recommendations, opinions and evaluations)
contained in any such documents will be made available by summary or
otherwise on the same basis as information contained in documents
submitted by other persons.
(c) Ex Parte meetings. Written memoranda will be prepared as
expeditiously as possible of any ex parte meeting between the Secretary
and any interested party or other person providing factual information
relating to the short supply determination. A memorandum of an ex parte
meeting will include the date, time, and place of the meeting, the
identity of all the persons present, and a non-proprietary summary of
the matters discussed and/or facts submitted.
19 CFR 357.111 Public and proprietary information.
(a) Any person who submits information in connection with a short
supply review may designate that information, or any part thereof, as
proprietary, thereby requesting that the Secretary treat that
information as proprietary. The Secretary normally will not treat as
proprietary any information not designated as proprietary by the
submitter. The submitter must file four copies of a public version of
the proprietary information, including any public summaries as
substitutes for the portions for which the person has requested
proprietary treatment. The submitter must conspicuously mark in the
upper right corner of both versions, the words ''proprietary document''
or ''public version of proprietary document'', as appropriate. Each
separate designation of information as proprietary shall be accompanied
by:
(1) A full statement of the reason or reasons why the submitter
believes that the information is entitled to proprietary treatment; and
(2) Either (i) A full public summary or approximated presentation of
all proprietary information, incorporated in the public version of the
document (generally data in numerical form relating to prices and costs,
operating rates, and deliveries of individual firms shall be presented
in figures ranged within 10 percent of the actual figure); or,
(ii) A statement that the information is not susceptible to such a
summary or presentation, accompanied by a full statement of the reasons
supporting this conclusion.
(b) Proprietary treatment. The Secretary normally will consider the
following factual information to be business proprietary, if so
designated by the submitter:
(1) Business or trade secrets concerning the nature of a product or
production process, if unique or not known to the industry;
(2) Price information;
(3) Operating rates;
(4) The names or identifiers of particular customers, distributors,
or suppliers;
(5) Normal and current order-to-delivery periods; and
(6) Any other specific business information which the submitter can
reasonably demonstrate would be likely to cause substantial harm to the
submitter's competitive position if released.
(c) Confidentiality maintained. Information that the Secretary
designates as proprietary will not be disclosed to any person (other
than officers or employees of the United States Government who are
directly concerned with the short supply determination) without the
consent of the submitter unless disclosure is ordered by a court of
competent jurisdiction.
(d) Public information. The Secretary normally will consider the
following to be public information:
(1) Factual information and written argument that is not designated
business proprietary by the submitter;
(2) Exact tonnages sought or offered for each product included in a
request, if applicable;
(3) Physical and mechanical properties of products offered as
substitutes;
(4) Product specifications;
(5) End use(s) to which the product(s) will be put;
(6) Suppliers contacted, when they were contacted, and the reasons
they cannot supply the product, and
(7) Offers by U.S. and foreign producers for the product that have
been rejected.
(e) Treatment of information where request for proprietary treatment
is denied. If the Secretary denies a request for proprietary treatment
of information submitted in connection with a request for a short supply
allowance, or determines that information claimed not susceptible to a
non-proprietary summary is in fact capable of such summary, the
Secretary promptly will notify the submitter of that determination.
Unless the submitter thereafter agrees that the information (including
any summarized or approximated presented thereof) may be treated as
public information, or provides a summary of matters found to be capable
of such summary, such information (including any summarized approximated
presentation thereof) will be returned to the submitter and not
considered in the short supply determination.
19 CFR 357.111 FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and
an alphabetical list of agencies publishing in the CFR are included in
the CFR Index and Finding Aids volume to the Code of Federal Regulations
which is published separately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
Chap.
19 CFR 357.111 Table of CFR Titles and Chapters
19 CFR 357.111 Title 1 -- General Provisions
I Administrative Committee of the Federal Register (Parts 1 -- 49)
II Office of the Federal Register (Parts 50 -- 299)
III Administrative Conference of the United States (Parts 300 -- 399)
IV Miscellaneous Agencies (Parts 400 -- 500)
19 CFR 357.111 Title 2 -- (Reserved)
19 CFR 357.111 Title 3 -- The President
I Executive Office of the President (Parts 100 -- 199)
19 CFR 357.111 Title 4 -- Accounts
I General Accounting Office (Parts 1 -- 99)
II Federal Claims Collection Standards (General Accounting Office --
Department of Justice) (Parts 100 -- 299)
III General Accounting Office (CASB) (Parts 300 -- 499)
19 CFR 357.111 Title 5 -- Administrative Personnel
I Office of Personnel Management (Parts 1 -- 1199)
II Merit Systems Protection Board (Parts 1200 -- 1299)
III Office of Management and Budget (Parts 1300 -- 1399)
IV Advisory Committee on Federal Pay (Parts 1400 -- 1499)
V The International Organizations Employees Loyalty Board (Parts 1500
-- 1599)
VI Federal Retirement Thrift Investment Board (Parts 1600 -- 1699)
VII Advisory Commission on Intergovernmental Relations (Parts 1700 --
1799)
VIII Office of Special Council (Parts 1800 -- 1899)
IX Appalachian Regional Commission (Parts 1900 -- 1999)
XI United States Soldiers' and Airmen's Home (Parts 2100 -- 2199)
XIV Federal Labor Relations Authority, General Counsel of the Federal
Labor Relations Authority and Federal Service Impasses Panel (Parts 2400
-- 2499)
XV Office of Administration, Executive Office of the President (Parts
2500 -- 2599)
XVI Office of Government Ethics (Parts 2600 -- 2699)
19 CFR 357.111 Title 6 -- Economic Stabilization (Reserved)
19 CFR 357.111 Title 7 -- Agriculture
Subtitle A -- Office of the Secretary of Agriculture (Parts 0 -- 26)
Subtitle B -- Regulations of the Department of Agriculture
I Agricultural Marketing Service (Standards, Inspections, Marketing
Practices), Department of Agriculture (Parts 27 -- 209)
II Food and Nutrition Service, Department of Agriculture (Parts 210
-- 299)
III Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 300 -- 399)
IV Federal Crop Insurance Corporation, Department of Agriculture
(Parts 400 -- 499)
V Agricultural Research Service, Department of Agriculture (Parts 500
-- 599)
VI Soil Conservation Service, Department of Agriculture (Parts 600 --
699)
VII Agricultural Stabilization and Conservation Service (Agricultural
Adjustment), Department of Agriculture (Parts 700 -- 799)
VIII Federal Grain Inspection Service, Department of Agriculture
(Parts 800 -- 899)
IX Agricultural Marketing Service (Marketing Agreements and Orders;
Fruits, Vegetables, Nuts), Department of Agriculture (Parts 900 -- 999)
X Agricultural Marketing Service (Marketing Agreements and Orders;
Milk), Department of Agriculture (Parts 1000 -- 1199)
XI Agricultural Marketing Service (Marketing Agreements and Orders;
Miscellaneous Commodities), Department of Agriculture (Parts 1200 --
1299)
XIV Commodity Credit Corporation, Department of Agriculture (Parts
1400 -- 1499)
XV Foreign Agricultural Service, Department of Agriculture (Parts
1500 -- 1599)
XVI Rural Telephone Bank, Department of Agriculture (Parts 1600 --
1699)
XVII Rural Electrification Administration, Department of Agriculture
(Parts 1700 -- 1799)
XVIII Farmers Home Administration, Department of Agriculture (Parts
1800 -- 2099)
XXI Foreign Economic Development Service, Department of Agriculture
(Parts 2100 -- 2199)
XXII Office of International Cooperation and Development, Department
of Agriculture (Parts 2200 -- 2299)
XXV Office of the General Sales Manager, Department of Agriculture
(Parts 2500 -- 2599)
XXVI Office of Inspector General, Department of Agriculture (Parts
2600 -- 2699)
XXVII Office of Information Resources Management, Department of
Agriculture (Parts 2700 -- 2799)
XXVIII Office of Operations, Department of Agriculture (Parts 2800 --
2899)
XXIX Office of Energy, Department of Agriculture (Parts 2900 -- 2999)
XXX Office of Finance and Management, Department of Agriculture
(Parts 3000 -- 3099)
XXXI Office of Environmental Quality, Department of Agriculture
(Parts 3100 -- 3199)
XXXII Office of Grants and Program Systems, Department of Agriculture
(Parts 3200 -- 3299)
XXXIII Office of Transportation, Department of Agriculture (Parts
3300 -- 3399)
XXXIV Cooperative State Research Service, Department of Agriculture
(Parts 3400 -- 3499)
XXXVI National Agricultural Statistics Service, Department of
Agriculture (Parts 3600 -- 3699)
XXXVII Economic Research Service, Department of Agriculture (Parts
3700 -- 3799)
XXXVIII World Agricultural Outlook Board, Department of Agriculture
(Parts 3800 -- 3899)
XXXIX Economic Analysis Staff, Department of Agriculture (Parts 3900
-- 3999)
XL Economics Management Staff, Department of Agriculture (Parts 4000
-- 4099)
XLI National Agricultural Library, Department of Agriculture (Part
4100)
19 CFR 357.111 Title 8 -- Aliens and Nationality
I Immigration and Naturalization Service, Department of Justice
(Parts 1 -- 499)
19 CFR 357.111 Title 9 -- Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of
Agriculture (Parts 1 -- 199)
II Packers and Stockyards Administration, Department of Agriculture
(Parts 200 -- 299)
III Food Safety and Inspection Service, Meat and Poultry Inspection,
Department of Agriculture (Parts 300 -- 399)
19 CFR 357.111 Title 10 -- Energy
I Nuclear Regulatory Commission (Parts 0 -- 199)
II Department of Energy (Parts 200 -- 699)
III Department of Energy (Parts 700 -- 999)
X Department of Energy (General Provisions) (Parts 1000 -- 1099)
XV Office of the Federal Inspector for the Alaska Natural Gas
Transportation System (Parts 1500 -- 1599)
XVII Defense Nuclear Facilities Safety Board (Parts 1700 -- 1799)
19 CFR 357.111 Title 11 -- Federal Elections
I Federal Election Commission (Parts 1 -- 9099)
19 CFR 357.111 Title 12 -- Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts 1 --
199)
II Federal Reserve System (Parts 200 -- 299)
III Federal Deposit Insurance Corporation (Parts 300 -- 399)
IV Export-Import Bank of the United States (Parts 400 -- 499)
V Office of Thrift Supervision, Department of The Treasury (Parts 500
-- 599)
VI Farm Credit Administration (Parts 600 -- 699)
VII National Credit Union Administration (Parts 700 -- 799)
VIII Federal Financing Bank (Parts 800 -- 899)
IX Federal Housing Finance Board (Parts 900 -- 999)
XI Federal Financial Institutions Examination Council (Parts 1100 --
1199)
XIII Farm Credit System Assistance Board (Parts 1300 -- 1399)
XIV Farm Credit System Insurance Corporation (Parts 1400 -- 1499)
XV Thrift Depositor Protection Oversight Board (Parts 1500 -- 1599)
XVI Resolution Trust Corporation (Parts 1600 -- 1699)
19 CFR 357.111 Title 13 -- Business Credit and Assistance
I Small Business Administration (Parts 1 -- 199)
III Economic Development Administration, Department of Commerce
(Parts 300 -- 399)
19 CFR 357.111 Title 14 -- Aeronautics and Space
I Federal Aviation Administration, Department of Transportation
(Parts 1 -- 199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200 -- 399)
III Office of Commercial Space Transportation, Department of
Transportation (Parts 400 -- 499)
V National Aeronautics and Space Administration (Parts 1200 -- 1299)
19 CFR 357.111 Title 15 -- Commerce and Foreign Trade
Subtitle A -- Office of the Secretary of Commerce (Parts 0 -- 29)
Subtitle B -- Regulations Relating to Commerce and Foreign Trade
I Bureau of the Census, Department of Commerce (Parts 30 -- 199)
II National Institute of Standards and Technology, Department of
Commerce (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
IV Foreign-Trade Zones Board (Parts 400 -- 499)
VII Bureau of Export Administration, Department of Commerce (Parts
700 -- 799)
VIII Bureau of Economic Analysis, Department of Commerce (Parts 800
-- 899)
IX National Oceanic and Atmospheric Administration, Department of
Commerce (Parts 900 -- 999)
XI Technology Administration, Department of Commerce (Parts 1100 --
1199)
XII United States Travel and Tourism Administration, Department of
Commerce (Parts 1200 -- 1299)
XIII East-West Foreign Trade Board (Parts 1300 -- 1399)
XIV Minority Business Development Agency (Parts 1400 -- 1499)
Subtitle C -- Regulations Relating to Foreign Trade Agreements
XX Office of the United States Trade Representative (Parts 2000 --
2099)
Subtitle D -- Regulations Relating to Telecommunications and
Information
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300 -- 2399)
19 CFR 357.111 Title 16 -- Commercial Practices
I Federal Trade Commission (Parts 0 -- 999)
II Consumer Product Safety Commission (Parts 1000 -- 1799)
19 CFR 357.111 Title 17 -- Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1 -- 199)
II Securities and Exchange Commission (Parts 200 -- 399)
IV Department of the Treasury (Parts 400 -- 499)
19 CFR 357.111 Title 18 -- Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy (Parts 1
-- 399)
III Delaware River Basin Commission (Parts 400 -- 499)
VI Water Resources Council (Parts 700 -- 799)
VIII Susquehanna River Basin Commission (Parts 800 -- 899)
XIII Tennessee Valley Authority (Parts 1300 -- 1399)
19 CFR 357.111 Title 19 -- Customs Duties
I United States Customs Service, Department of the Treasury (Parts 1
-- 199)
II United States International Trade Commission (Parts 200 -- 299)
III International Trade Administration, Department of Commerce (Parts
300 -- 399)
19 CFR 357.111 Title 20 -- Employees' Benefits
I Office of Workers' Compensation Programs, Department of Labor
(Parts 1 -- 199)
II Railroad Retirement Board (Parts 200 -- 399)
III Social Security Administration, Department of Health and Human
Services (Parts 400 -- 499)
IV Employees' Compensation Appeals Board, Department of Labor (Parts
500 -- 599)
V Employment and Training Administration, Department of Labor (Parts
600 -- 699)
VI Employment Standards Administration, Department of Labor (Parts
700 -- 799)
VII Benefits Review Board, Department of Labor (Parts 800 -- 899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900 -- 999)
IX Office of the Assistant Secretary for Veterans' Employment and
Training, Department of Labor (Parts 1000 -- 1099)
19 CFR 357.111 Title 21 -- Food and Drugs
I Food and Drug Administration, Department of Health and Human
Services (Parts 1 -- 1299)
II Drug Enforcement Administration, Department of Justice (Parts 1300
-- 1399)
19 CFR 357.111 Title 22 -- Foreign Relations
I Department of State (Parts 1 -- 199)
II Agency for International Development, International Development
Cooperation Agency (Parts 200 -- 299)
III Peace Corps (Parts 300 -- 399)
IV International Joint Commission, United States and Canada (Parts
400 -- 499)
V United States Information Agency (Parts 500 -- 599)
VI United States Arms Control and Disarmament Agency (Parts 600 --
699)
VII Overseas Private Investment Corporation, International
Development Cooperation Agency (Parts 700 -- 799)
IX Foreign Service Grievance Board Regulations (Parts 900 -- 999)
X Inter-American Foundation (Parts 1000 -- 1099)
XI International Boundary and Water Commission, United States and
Mexico, United States Section (Parts 1100 -- 1199)
XII United States International Development Cooperation Agency (Parts
1200 -- 1299)
XIII Board for International Broadcasting (Parts 1300 -- 1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations Authority;
and the Foreign Service Impasse Disputes Panel (Parts 1400 -- 1499)
XV African Development Foundation (Parts 1500 -- 1599)
XVI Japan-United States Friendship Commission (Parts 1600 -- 1699)
19 CFR 357.111 Title 23 -- Highways
I Federal Highway Administration, Department of Transportation (Parts
1 -- 999)
II National Highway Traffic Safety Administration and Federal Highway
Administration, Department of Transportation (Parts 1200 -- 1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300 -- 1399)
19 CFR 357.111 Title 24 -- Housing and Urban Development
Subtitle A -- Office of the Secretary, Department of Housing and
Urban Development (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Housing and Urban Development
I Office of Assistant Secretary for Equal Opportunity, Department of
Housing and Urban Development (Parts 100 -- 199)
II Office of Assistant Secretary for Housing-Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 200 --
299)
III Government National Mortgage Association, Department of Housing
and Urban Development (Parts 300 -- 399)
V Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 500 --
599)
VI Office of Assistant Secretary for Community Planning and
Development, Department of Housing and Urban Development (Parts 600 --
699)
VII Office of the Secretary, Department of Housing and Urban
Development (Section 8 Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700 -- 799)
VIII Office of the Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Section 8
Housing Assistance Programs and Section 202 Direct Loan Program) (Parts
800 -- 899)
IX Office of Assistant Secretary for Public and Indian Housing,
Department of Housing and Urban Development (Parts 900 -- 999)
X Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Interstate
Land Sales Registration Program) (Parts 1700 -- 1799)
XI Solar Energy and Energy Conservation Bank, Department of Housing
and Urban Development (Parts 1800 -- 1899)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000 -- 2099)
XV Mortgage Insurance and Loan Programs under the Emergency
Homeowners' Relief Act, Department of Housing and Urban Development
(Parts 2700 -- 2799)
XX Office of Assistant Secretary for Housing -- Federal Housing
Commissioner, Department of Housing and Urban Development (Parts 3200 --
3699)
XXV Neighborhood Reinvestment Corporation (Parts 4100 -- 4199)
19 CFR 357.111 Title 25 -- Indians
I Bureau of Indian Affairs, Department of the Interior (Parts 1 --
299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300 -- 399)
III National Indian Gaming Commission (Parts 500 -- 599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700 -- 799)
19 CFR 357.111 Title 26 -- Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1 --
799)
19 CFR 357.111 Title 27 -- Alcohol, Tobacco Products and Firearms
I Bureau of Alcohol, Tobacco and Firearms, Department of the Treasury
(Parts 1 -- 299)
19 CFR 357.111 Title 28 -- Judicial Administration
I Department of Justice (Parts 0 -- 199)
III Federal Prison Industries, Inc., Department of Justice (Parts 300
-- 399)
V Bureau of Prisons, Department of Justice (Parts 500 -- 599)
VI Offices of Independent Counsel, Department of Justice (Parts 600
-- 699)
VII Office of Independent Counsel (Parts 700 -- 799)
19 CFR 357.111 Title 29 -- Labor
Subtitle A -- Office of the Secretary of Labor (Parts 0 -- 99)
Subtitle B -- Regulations Relating to Labor
I National Labor Relations Board (Parts 100 -- 199)
II Bureau of Labor-Management Relations and Cooperative Programs,
Department of Labor (Parts 200 -- 299)
III National Railroad Adjustment Board (Parts 300 -- 399)
IV Office of Labor-Management Standards, Department of Labor (Parts
400 -- 499)
V Wage and Hour Division, Department of Labor (Parts 500 -- 899)
IX Construction Industry Collective Bargaining Commission (Parts 900
-- 999)
X National Mediation Board (Parts 1200 -- 1299)
XII Federal Mediation and Conciliation Service (Parts 1400 -- 1499)
XIV Equal Employment Opportunity Commission (Parts 1600 -- 1699)
XVII Occupational Safety and Health Administration, Department of
Labor (Parts 1900 -- 1999)
XX Occupational Safety and Health Review Commission (Parts 2200 --
2499)
XXV Pension and Welfare Benefits Administration, Department of Labor
(Parts 2500 -- 2599)
XXVI Pension Benefit Guaranty Corporation (Parts 2600 -- 2699)
XXVII Federal Mine Safety and Health Review Commission (Parts 2700 --
2799)
19 CFR 357.111 Title 30 -- Mineral Resources
I Mine Safety and Health Administration, Department of Labor (Parts 1
-- 199)
II Minerals Management Service, Department of the Interior (Parts 200
-- 299)
III Board of Surface Mining and Reclamation Appeals, Department of
the Interior (Parts 300 -- 399)
IV Geological Survey, Department of the Interior (Parts 400 -- 499)
VI Bureau of Mines, Department of the Interior (Parts 600 -- 699)
VII Office of Surface Mining Reclamation and Enforcement, Department
of the Interior (Parts 700 -- 999)
19 CFR 357.111 Title 31 -- Money and Finance: Treasury
Subtitle A -- Office of the Secretary of the Treasury (Parts 0 -- 50)
Subtitle B -- Regulations Relating to Money and Finance
I Monetary Offices, Department of the Treasury (Parts 51 -- 199)
II Fiscal Service, Department of the Treasury (Parts 200 -- 399)
IV Secret Service, Department of the Treasury (Parts 400 -- 499)
V Office of Foreign Assets Control, Department of the Treasury (Parts
500 -- 599)
VI Bureau of Engraving and Printing, Department of the Treasury
(Parts 600 -- 699)
VII Federal Law Enforcement Training Center, Department of the
Treasury (Parts 700 -- 799)
VIII Office of International Investment, Department of the Treasury
(Parts 800 -- 899)
19 CFR 357.111 Title 32 -- National Defense
Subtitle A -- Department of Defense
I Office of the Secretary of Defense (Parts 1 -- 399)
V Department of the Army (Parts 400 -- 699)
VI Department of the Navy (Parts 700 -- 799)
VII Department of the Air Force (Parts 800 -- 1099)
Subtitle B -- Other Regulations Relating to National Defense
XII Defense Logistics Agency (Parts 1200 -- 1299)
XVI Selective Service System (Parts 1600 -- 1699)
XIX Central Intelligence Agency (Parts 1900 -- 1999)
XX Information Security Oversight Office (Parts 2000 -- 2099)
XXI National Security Council (Parts 2100 -- 2199)
XXIV Office of Science and Technology Policy (Parts 2400 -- 2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700 -- 2799)
XXVIII Office of the Vice President of the United States (Parts 2800
-- 2899)
19 CFR 357.111 Title 33 -- Navigation and Navigable Waters
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Corps of Engineers, Department of the Army (Parts 200 -- 399)
IV Saint Lawrence Seaway Development Corporation, Department of
Transportation (Parts 400 -- 499)
19 CFR 357.111 Title 34 -- Education
Subtitle A -- Office of the Secretary, Department of Education (Parts
1 -- 99)
Subtitle B -- Regulations of the Offices of the Department of
Education
I Office for Civil Rights, Department of Education (Parts 100 -- 199)
II Office of Elementary and Secondary Education, Department of
Education (Parts 200 -- 299)
III Office of Special Education and Rehabilitative Services,
Department of Education (Parts 300 -- 399)
IV Office of Vocational and Adult Education, Department of Education
(Parts 400 -- 499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500 -- 599)
VI Office of Postsecondary Education, Department of Education (Parts
600 -- 699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700 -- 799)
19 CFR 357.111 Title 35 -- Panama Canal
I Panama Canal Regulations (Parts 1 -- 299)
19 CFR 357.111 Title 36 -- Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1 -- 199)
II Forest Service, Department of Agriculture (Parts 200 -- 299)
III Corps of Engineers, Department of the Army (Parts 300 -- 399)
IV American Battle Monuments Commission (Parts 400 -- 499)
V Smithsonian Institution (Parts 500 -- 599)
VII Library of Congress (Parts 700 -- 799)
VIII Advisory Council on Historic Preservation (Parts 800 -- 899)
IX Pennsylvania Avenue Development Corporation (Parts 900 -- 999)
XI Architectural and Transportation Barriers Compliance Board (Parts
1100 -- 1199)
XII National Archives and Records Administration (Parts 1200 -- 1299)
19 CFR 357.111 Title 37 -- Patents, Trademarks, and Copyrights
I Patent and Trademark Office, Department of Commerce (Parts 1 --
199)
II Copyright Office, Library of Congress (Parts 200 -- 299)
III Copyright Royalty Tribunal (Parts 300 -- 399)
IV Assistant Secretary for Technology Policy, Department of Commerce
(Parts 400 -- 499)
V Under Secretary for Technology, Department of Commerce (Parts 500
-- 599)
19 CFR 357.111 Title 38 -- Pensions, Bonuses, and Veterans' Relief
I Department of Veterans Affairs (Parts 0 -- 99)
19 CFR 357.111 Title 39 -- Postal Service
I United States Postal Service (Parts 1 -- 999)
III Postal Rate Commission (Parts 3000 -- 3099)
19 CFR 357.111 Title 40 -- Protection of Environment
I Environmental Protection Agency (Parts 1 -- 799)
V Council on Environmental Quality (Parts 1500 -- 1599)
19 CFR 357.111 Title 41 -- Public Contracts and Property Management
Subtitle B -- Other Provisions Relating to Public Contracts
50 Public Contracts, Department of Labor (Parts 50-1 -- 50-999)
51 Committee for Purchase from the Blind and Other Severely
Handicapped (Parts 51-1 -- 51-99)
60 Office of Federal Contract Compliance Programs, Equal Employment
Opportunity, Department of Labor (Parts 60-1 -- 60-999)
61 Office of the Assistant Secretary for Veterans Employment and
Training, Department of Labor (Parts 61-1 -- 61-999)
Subtitle C -- Federal Property Management Regulations System
101 Federal Property Management Regulations (Parts 101-1 -- 101-99)
105 General Services Administration (Parts 105-1 -- 105-999)
109 Department of Energy Property Management Regulations (Parts 109-1
-- 109-99)
114 Department of the Interior (Parts 114-1 -- 114-99)
115 Environmental Protection Agency (Parts 115-1 -- 115-99)
128 Department of Justice (Parts 128-1 -- 128-99)
132 Department of the Air Force (Parts 132-1 -- 132-99)
Subtitle D -- Other Provisions Relating to Property Management
(Reserved)
Subtitle E -- Federal Information Resources Management Regulations
System
201 Federal Information Resources Management Regulation (Parts 201-1
-- 201-99)
Subtitle F -- Federal Travel Regulation System
301 Travel Allowances (Parts 301-1 -- 301-99)
302 Relocation Allowances (Parts 302-1 -- 302-99)
303 Payment of Expenses Connected with the Death of Certain Employees
(Parts 303-1 -- 303-2)
304 Payment from a non-Federal source for travel expenses (Parts
304-1 -- 304-99)
19 CFR 357.111 Title 42 -- Public Health
I Public Health Service, Department of Health and Human Services
(Parts 1 -- 199)
IV Health Care Financing Administration, Department of Health and
Human Services (Parts 400 -- 499)
V Office of Inspector General-Health Care, Department of Health and
Human Services (Parts 1000 -- 1999)
19 CFR 357.111 Title 43 -- Public Lands: Interior
Subtitle A -- Office of the Secretary of the Interior (Parts 1 --
199)
Subtitle B -- Regulations Relating to Public Lands
I Bureau of Reclamation, Department of the Interior (Parts 200 --
499)
II Bureau of Land Management, Department of the Interior (Parts 1000
-- 9999)
19 CFR 357.111 Title 44 -- Emergency Management and Assistance
I Federal Emergency Management Agency (Parts 0 -- 399)
IV Department of Commerce and Department of Transportation (Parts 400
-- 499)
19 CFR 357.111 Title 45 -- Public Welfare
Subtitle A -- Department of Health and Human Services, General
Administration (Parts 1 -- 199)
Subtitle B -- Regulations Relating to Public Welfare
II Office of Family Assistance (Assistance Programs), Family Support
Administration, Department of Health and Human Services (Parts 200 --
299)
III Office of Child Support Enforcement (Child Support Enforcement
Program), Family Support Administration, Department of Health and Human
Services (Parts 300 -- 399)
IV Office of Refugee Resettlement, Administration for Children and
Families Department of Health and Human Services (Parts 400 -- 499)
V Foreign Claims Settlement Commission of the United States,
Department of Justice (Parts 500 -- 599)
VI National Science Foundation (Parts 600 -- 699)
VII Commission on Civil Rights (Parts 700 -- 799)
VIII Office of Personnel Management (Parts 800 -- 899)
X Office of Community Services, Family Support Administration,
Department of Health and Human Services (Parts 1000 -- 1099)
XI National Foundation on the Arts and the Humanities (Parts 1100 --
1199)
XII ACTION (Parts 1200 -- 1299)
XIII Office of Human Development Services, Department of Health and
Human Services (Parts 1300 -- 1399)
XVI Legal Services Corporation (Parts 1600 -- 1699)
XVII National Commission on Libraries and Information Science (Parts
1700 -- 1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800 -- 1899)
XX Commission on the Bicentennial of the United States Constitution
(Parts 2000 -- 2099)
XXI Commission on Fine Arts (Parts 2100 -- 2199)
XXII Christopher Columbus Quincentenary Jubilee Commission (Parts
2200 -- 2299)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400 --
2499)
19 CFR 357.111 Title 46 -- Shipping
I Coast Guard, Department of Transportation (Parts 1 -- 199)
II Maritime Administration, Department of Transportation (Parts 200
-- 399)
III Coast Guard (Great Lakes Pilotage), Department of Transportation
(Parts 400 -- 499)
IV Federal Maritime Commission (Parts 500 -- 599)
19 CFR 357.111 Title 47 -- Telecommunication
I Federal Communications Commission (Parts 0 -- 199)
II Office of Science and Technology Policy and National Security
Council (Parts 200 -- 299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300 -- 399)
19 CFR 357.111 Title 48 -- Federal Acquisition Regulations System
1 Federal Acquisition Regulation (Parts 1 -- 99)
2 Department of Defense (Parts 200 -- 299)
3 Department of Health and Human Services (Parts 300 -- 399)
4 Department of Agriculture (Parts 400 -- 499)
5 General Services Administration (Parts 500 -- 599)
6 Department of State (Parts 600 -- 699)
7 Agency for International Development (Parts 700 -- 799)
8 Department of Veterans Affairs (Parts 800 -- 899)
9 Department of Energy (Parts 900 -- 999)
10 Department of the Treasury (Parts 1000 -- 1099)
12 Department of Transportation (Parts 1200 -- 1299)
13 Department of Commerce (Parts 1300 -- 1399)
14 Department of the Interior (Parts 1400 -- 1499)
15 Environmental Protection Agency (Parts 1500 -- 1599)
16 Office of Personnel Management Federal Employees Health Benefits
Acquisition Regulation (Parts 1600 -- 1699)
17 Office of Personnel Management (Parts 1700 -- 1799)
18 National Aeronautics and Space Administration (Parts 1800 -- 1899)
19 United States Information Agency (Parts 1900 -- 1999)
22 Small Business Administration (Parts 2200 -- 2299)
24 Department of Housing and Urban Development (Parts 2400 -- 2499)
25 National Science Foundation (Parts 2500 -- 2599)
28 Department of Justice (Parts 2800 -- 2899)
29 Department of Labor (Parts 2900 -- 2999)
34 Department of Education Acquisition Regulation (Parts 3400 --
3499)
35 Panama Canal Commission (Parts 3500 -- 3599)
44 Federal Emergency Management Agency (Parts 4400 -- 4499)
51 Department of the Army Acquisition Regulations (Parts 5100 --
5199)
52 Department of the Navy Acquisition Regulations (Parts 5200 --
5299)
53 Department of the Air Force Federal Acquisition Regulation
Supplement (Parts 5300 -- 5399)
57 African Development Foundation (Parts 5700 -- 5799)
61 General Services Administration Board of Contract Appeals (Parts
6100 -- 6199)
63 Department of Transportation Board of Contract Appeals (Parts 6300
-- 6399)
99 Cost Accounting Standards Board, Office of Federal Procurement
Policy, Office of Management and Budget (Parts 9900 -- 9999)
19 CFR 357.111 Title 49 -- Transportation
Subtitle A -- Office of the Secretary of Transportation (Parts 1 --
99)
Subtitle B -- Other Regulations Relating to Transportation
I Research and Special Programs Administration, Department of
Transportation (Parts 100 -- 199)
II Federal Railroad Administration, Department of Transportation
(Parts 200 -- 299)
III Federal Highway Administration, Department of Transportation
(Parts 300 -- 399)
IV Coast Guard, Department of Transportation (Parts 400 -- 499)
V National Highway Traffic Safety Administration, Department of
Transportation (Parts 500 -- 599)
VI Urban Mass Transportation Administration, Department of
Transportation (Parts 600 -- 699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts 700 --
799)
VIII National Transportation Safety Board (Parts 800 -- 899)
X Interstate Commerce Commission (Parts 1000 -- 1399)
19 CFR 357.111 Title 50 -- Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Interior
(Parts 1 -- 199)
II National Marine Fisheries Service, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 200 -- 299)
III International Regulatory Agencies (Fishing and Whaling) (Parts
300 -- 399)
IV Joint Regulations (United States Fish and Wildlife Service,
Department of the Interior and National Marine Fisheries Service,
National Oceanic and Atmospheric Administration, Department of
Commerce); Endangered Species Committee Regulations (Parts 400 -- 499)
V Marine Mammal Commission (Parts 500 -- 599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts 600 -- 699)
19 CFR 357.111 CFR Index and Finding Aids Subject/Agency Index
List of Agency Prepared Indexes Parallel Table of Statutory Authorities
and Rules Acts Requiring Publication in the Federal Register List of CFR
Titles, Chapters, Subchapters, and Parts
19 CFR 357.111 Alphabetical List of Agencies Appearing in the CFR
CFR Title, Subtitle or
Agency
Chapter
ACTION 45, XII
Administrative Committee of the Federal Register 1, I
Administrative Conference of the United States 1, III
Advisory Commission on Intergovernmental Relations 5, VII
Advisory Committee on Federal Pay 5, IV
Advisory Council on Historic Preservation 36, VIII
African Development Foundation 22, XV; 48, 57
Agency for International Development 22, II; 48, 7
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Agriculture Department
Agricultural Marketing Service 7, I, IX, X, XI
Agricultural Research Service 7, V
Agricultural Stabilization and Conservation Service 7, VII
Animal and Plant Health Inspection Service 7, III; 9, I
Commodity Credit Corporation 7, XIV
Cooperative State Research Service 7, XXXIV
Economic Analysis Staff 7, XXXIX
Economic Research Service 7, XXXVII
Economics Management Staff 7, XL
Energy, Office of 7, XXIX
Environmental Quality, Office of 7, XXXI
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 4
Federal Crop Insurance Corporation 7, IV
Federal Grain Inspection Service 7, VIII
Finance and Management, Office of 7, XXX
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Economic Development Service 7, XXI
Forest Service 36, II
General Sales Manager, Office of 7, XXV
Grants and Program Systems, Office of 7, XXXII
Information Resources Management, Office of 7, XXVII
Inspector General, Office of 7, XXVI
International Cooperation and Development Office 7, XXII
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
Operations Office 7, XXVIII
Packers and Stockyards Administration 9, II
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Secretary of Agriculture, Office of 7, Subtitle A
Soil Conservation Service 7, VI
Transportation, Office of 7, XXXIII
World Agriculture Outlook Board 7, XXXVIII
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Federal Acquisition Regulation Supplement 48, 53
Alaska Natural Gas Transportation System, Office of the Federal
Inspector 10, XV
Alcohol, Tobacco and Firearms, Bureau of 27, I
AMTRAK 49, VII
American Battle Monuments Commission 36, IV
Animal and Plant Health Inspection Service 7, III; 9, I
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arms Control and Disarmament Agency, U.S. 22, VI
Army Department 32, V
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 51
Assistant Secretary for Technology Policy, Department of Commerce 37,
IV
Benefits Review Board 20, VII
Bicentennial of the United States Constitution, Commission on the 45,
XX
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind and Other Severely Handicapped, Committee for Purchase from 41,
51
Board for International Broadcasting 22, XIII
Budget, Office of Management and 5, III
Census Bureau 15, I
Central Intelligence Agency 32, XIX
Child Support Enforcement, Office of 45, III
Christopher Columbus Quincentenary Jubilee Commission 45, XXII
Civil Rights Commission 45, VII
Civil Rights, Office for (Education Department) 34, I
Claims Collection Standards, Federal 4, II
Coast Guard 33, I; 46, I, III; 49, IV
Commerce Department 44, IV
Census Bureau 15, I
Assistant Secretary for Technology Policy 37, IV
Economic Affairs, Under Secretary 37, V
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Endangered Species Committee 50, IV
Export Administration Bureau 15, VII
Federal Acquisition Regulation 48, 13
Fishery Conservation and Management 50, VI
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Telecommunications and Information Administration 15, XXIII;
47, III
Patent and Trademark Office 37, I
Productivity, Technology and Innovation, Assistant Secretary for 37,
IV
Secretary of Commerce, Office of 15, Subtitle A
Technology Administration 15, XI
Under Secretary for Technology 37, V
United States Travel and Tourism Administration 15, XII
Commercial Space Transportation, Office of, Department of
Transportation 14, III
Commission on the Bicentennial of the United States Constitution 45,
XX
Committee for Purchase from the Blind and Other Severely Handicapped
41, 51
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 17, I
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Product Safety Commission 16, II
Cooperative State Research Service 7, XXXIV
Copyright Office 37, II
Copyright Royalty Tribunal 37, III
Cost Accounting Standards Board, Office of Federal Procurement Policy
48, 99
Council on Environmental Quality 40, V
Customs Service, United States 19, I
Defense Department 32, Subtitle A
Air Force Department 32, VII; 41, Subtitle C, Ch. 132
Army Department 32, V; 33, II; 36, III, 48, 51
Engineers, Corps of 33, II; 36, III
Federal Acquisition Regulation 48, 2
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 32, I
Defense Logistics Agency 32, XII
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Affairs, Under Secretary (Commerce) 37, V
Economic Analysis, Bureau of 15, VIII
Economic Analysis Staff, Department of Agriculture 7, XXXIX
Economic Development Administration 13, III
Economics Management Staff 7, XL
Economic Research Service 7, XXXVII
Education, Department of
Bilingual Education and Minority Languages Affairs, Office of 34, V
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Federal Acquisition Regulation 48, 34
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Vocational and Adult Education, Office of 34, IV
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Employees' Compensation Appeals Board 20, IV
Employees Loyalty Board, International Organizations 5, V
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 10, II, III, X; 41, 109
Federal Acquisition Regulation 48, 9
Federal Energy Regulatory Commission 18, I
Energy, Office of, Department of Agriculture 7, XXIX
Engineers, Corps of 33, II; 36, III
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 40, I; 41, 115; 48, 15
Environmental Quality, Office of (Agriculture Department) 7, XXXI
Equal Employment Opportunity Commission 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Administration, Office of 5, XV
Export Administration Bureau 15, VII
Export-Import Bank of the United States 12, IV
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Farm Credit Administration 12, VI
Farm Credit System Assistance Board 12, XIII
Farm Credit System Insurance Corporation 12, XIV
Farmers Home Administration 7, XVIII
Federal Acquisition Regulation 48, 1
Federal Aviation Administration 14, I
Federal Claims Collection Standards 4, II
Federal Communications Commission 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 12, III
Federal Election Commission 11, I
Federal Emergency Management Agency 44, I; 48, 44
Federal Energy Regulatory Commission 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Grain Inspection Service 7, VIII
Federal Highway Administration 23, I, II; 49, III
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Finance Board 12, IX
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Inspector for the Alaska Natural Gas Transportation System,
Office of 10, XV
Federal Labor Relations Authority, and General Counsel of the Federal
Labor Relations Authority 5, XIV; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 29, XXVII
Federal Pay, Advisory Committee on 5, IV
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Property Management Regulations System 41, Subtitle C
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Federal Retirement Thrift Investment Board 5, VI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 16, I
Federal Travel Regulation System 41, Subtitle F
Finance and Management, Department of Agriculture 7, XXX
Fine Arts Commission 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Fishery Conservation and Management 50, VI
Fishing and Whaling, International Regulatory Agencies 50, III
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of United States 45, V
Foreign Economic Development Service 7, XXI
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV
Forest Service 36, II
General Accounting Office 4, I, II, III
General Sales Manager, Office of 7, XXV
General Services Administration
Contract Appeals Board 48, 61
Federal Acquisition Regulation 48, 5
Federal Information Resources Management Regulations 41, Subtitle E,
Ch. 201
Federal Property Management Regulations System 41, 101, 105
Federal Travel Regulation System 41, Subtitle F
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Reduction in Meeting and Training Allowance Payments 41, 304
Relocation Allowances 41, 302
Travel Allowances 41, 301
Geological Survey 30, IV
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grants and Program Systems, Office of 7, XXXII
Great Lakes Pilotage 46, III
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 45, Subtitle A
Child Support Enforcement, Office of 45, III
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Family Support Administration 45, II, III, IV, X
Federal Acquisition Regulation 48, 3
Food and Drug Administration 21, I
Health Care Financing Administration 42, IV
Human Development Services Office 45, XIII
Inspector General, Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Social Security Administration 20, III; 45, IV
Health Care Financing Administration 42, IV
Housing and Urban Development, Department of
Community Planning and Development, Office of Assistant Secretary for
24, V, VI
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Acquisition Regulation 48, 24
Government National Mortgage Association 24, III
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Inspector General, Office of 24, XII
Mortgage Insurance and Loan Programs Under Emergency Homeowners'
Relief Act 24, XV
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle B, VII
Solar Energy and Energy Conservation Bank 24, XI
Housing -- Federal Housing Commissioner, Office of Assistant
Secretary for 24, II, VIII, X, XX
Human Development Services Office 45, XIII
Immigration and Naturalization Service 8, I
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Information Agency, United States 22, V; 48, 19
Information Resources Management, Office of, Agriculture Department
7, XXVII
Information Security Oversight Office 32, XX
Inspector General, Office of, Agriculture Department 7, XXVI
Inspector General, Office of, Health and Human Services Department
42, V
Inspector General, Office of, Housing and Urban Development
Department 24, XII
Inter-American Foundation 22, X
Intergovernmental Relations, Advisory Commission on 5, VII
Interior Department
Endangered Species Committee 50, IV
Federal Acquisition Regulation 48, 14
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I
Indian Arts and Crafts Board 25, II
Land Management Bureau 43, II
Minerals Management Service 30, II
Mines, Bureau of 30, VI
National Park Service 36, I
Reclamation Bureau 43, I
Secretary of the Interior, Office of 43, Subtitle A
Surface Mining and Reclamation Appeals, Board of 30, III
Surface Mining Reclamation and Enforcement, Office of 30, VII
United States Fish and Wildlife Service 50, I, IV
Internal Revenue Service 26, I
International Boundary and Water Commission, United States and Mexico
22, XI
International Cooperation and Development Office, Department of
Agriculture 7, XXII
International Development, Agency for 22, II
International Development Cooperation Agency 22, XII
International Development, Agency for 22, II
Overseas Private Investment Corporation 22, VII
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Regulatory Agencies (Fishing and Whaling) 50, III
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 49, X
Japan-United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice Department 28, I; 41, 128
Drug Enforcement Administration 21, II
Federal Acquisition Regulation 48, 28
Federal Claims Collection Standards 4, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United States 45, V
Immigration and Naturalization Service 8, I
Offices of Independent Counsel 28, VI
Prisons, Bureau of 28, V
Labor Department
Benefits Review Board 20, VII
Employees' Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI
Federal Acquisition Regulation 48, 29
Federal Contract Compliance Programs, Office of 41, 60
Federal Procurement Regulations System 41, 50
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Pension and Welfare Benefits Administration 29, XXV
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Wage and Hour Division 29, V
Workers' Compensation Programs, Office of 20, I
Labor-Management Relations and Cooperative Programs, Bureau of 29, II
Labor-Management Standards, Office of 29, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Library of Congress 36, VII
Copyright Office 37, II
Management and Budget, Office of 5, III; 48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II
Micronesian Status Negotiations, Office for 32, XXVII
Mine Safety and Health Administration 30, I
Minerals Management Service 30, II
Mines, Bureau of 30, VI
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Mortgage Insurance and Loan Programs Under the Emergency Homeowners'
Relief Act, Department of Housing and Urban Development 24, XV
National Aeronautics and Space Administration 14, V; 48, 18
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National Archives and Records Administration 36, XII
National Bureau of Standards 15, II
National Capital Planning Commission 1, IV
National Commission for Employment Policy 1, IV
National Commission on Libraries and Information Science 45, XVII
National Credit Union Administration 12, VII
National Foundation on the Arts and the Humanities 45, XI
National Highway Traffic Safety Administration 23, II, III; 49, V
National Indian Gaming Commission 25, III
National Institute of Standards and Technology 15, II
National Labor Relations Board 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III,
IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 45, VI; 48, 25
National Security Council 32, XXI
National Security Council and Office of Science and Technology Policy
47, II
National Telecommunications and Information Administration 15, XXIII;
47, III
National Transportation Safety Board 49, VIII
Navy Department 32, VI; 48, 52
Neighborhood Reinvestment Corporation 24, XXV
Nuclear Regulatory Commission 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Office of Independent Counsel 28, VII
Office of Navajo and Hopi Indian Relocation 25, IV
Offices of Independent Counsel, Department of Justice 28, VI
Operations Office, Department of Agriculture 7, XXVIII
Overseas Private Investment Corporation 22, VII
Oversight Board 12, XV
Packers and Stockyards Administration 9, II
Panama Canal Commission 48, 35
Panama Canal Regulations 35, I
Patent and Trademark Office 37, I
Payment of Expenses Connected With the Death of Certain Employees 41,
303
Peace Corps 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension and Welfare Benefits Administration, Department of Labor 29,
XXV
Pension Benefit Guaranty Corporation 29, XXVI
Personnel Management, Office of 5, I; 45, VIII; 48, 17
Federal Employees Health Benefits Acquisition Regulation 48, 16
Postal Rate Commission 39, III
Postal Service, United States 39, I
Postsecondary Education, Office of 34, VI
President's Commission on White House Fellowships 1, IV
Presidential Documents 3
Prisons, Bureau of 28, V
Productivity, Technology and Innovation, Assistant Secretary
(Commerce) 37, IV
Property Management Regulations System, Federal 41, Subtitle C
Public Contracts, Department of Labor 41, 50
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation Bureau 43, I
Reduction in Meeting and Training Allowance Payments 41, 304
Refugee Resettlement, Office of 45, IV
Regional Action Planning Commissions 13, V
Relocation Allowances 41, 302
Research and Special Programs Administration 49, I
Resolution Trust Corporation 12, XVI
Rural Electrification Administration 7, XVII
Rural Telephone Bank 7, XVI
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National Security
Council 47, II
Secret Service 31, IV
Securities and Exchange Commission 17, II
Selective Service System 32, XVI
Small Business Administration 13, I; 48, 22
Smithsonian Institution 36, V
Social Security Administration 20, III; 45, IV
Soil Conservation Service 7, VI
Solar Energy and Energy Conservation Bank, Department of Housing and
Urban Development 24, XI
Soldiers' and Airmen's Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State Department 22, I
Federal Acquisition Regulation 48, 6
Surface Mining and Reclamation Appeals, Board of 30, III
Susquehanna River Basin Commission 18, VIII
Technology Administration 15, XI
Tennessee Valley Authority 18, XIII
Thrift Supervision Office, Department of the Treasury 12, V
Trade Representative, United States, Office of 15, XX
Transportation, Department of 44, IV
Coast Guard 33, I; 46, I, III; 49, IV
Commercial Space Transportation, Office of 14, III
Contract Appeals Board 48, 63
Federal Acquisition Regulation 48, 12
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II; 49, III
Federal Railroad Administration 49, II
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 49, V
Research and Special Programs Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Urban Mass Transportation Administration 49, VI
Transportation, Office of, Department of Agriculture 7, XXXIII
Travel Allowance 41, 301
Travel and Tourism Administration, United States 15, XII
Treasury Department 17, IV
Alcohol, Tobacco and Firearms, Bureau of 27, I
Comptroller of the Currency 12, I
Customs Service, United States 19, I
Engraving and Printing, Bureau of 31, VI
Federal Acquisition Regulation 48, 10
Federal Law Enforcement Training Center 31, VII
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Thrift Supervision Office 12, V
United States Customs Service 19, I
Truman, Harry S. Scholarship Foundation 45, XVIII
Under Secretary for Technology, Department of Commerce 37, V
United States and Canada, International Joint Commission 22, IV
United States Arms Control and Disarmament Agency 22, VI
United States Customs Service 19, I
United States Fish and Wildlife Service 50, I, IV
United States Information Agency 22, V; 48, 19
United States International Development Cooperation Agency 22, XII
United States International Trade Commission 19, II
United States Postal Service 39, I
United States Soldiers' and Airmen's Home 5, XI
United States Trade Representative, Office of 15, XX
United States Travel and Tourism Adminstration 15, XII
Urban Mass Transportation Administration 49, VI
Veterans Affairs Department 38, I; 48, 8
Veterans' Employment and Training, Office of the Assistant Secretary
for 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Vocational and Adult Education, Office of 34, IV
Wage and Hour Division 29, V
Water Resources Council 18, VI
Workers' Compensation Programs, Office of 20, I
World Agriculture Outlook Board 7, XXXVIII
19 CFR 357.111 19 CFR (4-1-92 Edition)
19 CFR 357.111 List of CFR Sections Affected
19 CFR 357.111 List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations which
were made by documents published in the Federal Register since January
1, 1986, are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to Federal Register
pages. The user should consult the entries for chapters and parts as
well as sections for revisions.
For the period before January 1, 1986, see the ''List of CFR Sections
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven
separate volumes.
19 CFR 357.111 1986
19 CFR
51 FR
Page
Chapter II
201.3a Added 25195
201.101 -- 201.170 (Subpart G) Added; eff. 4-7-86 4575, 4579
201.103 Corrected 7543
201.150 (c) corrected 7543
201.170 (c) revised 4576
213 Added 26000
Effective date correctly added 27169
Chapter III
353.53 (e) removed 25197
19 CFR 357.111 1987
19 CFR
52 FR
Page
Chapter II
201 Nomenclature changes 48994
201.3 (a) and (b) amended 48994
201.6 (b), (e), and (f) amended 48994
201.17 (a) amended 48994
201.19 (a) amended 48994
201.23 (e) amended 48994
201.24 (a) amended 48994
201.25 (b) amended 48994
201.28 (a) amended 48994
201.29 (a) amended 48994
201.41 (b) amended 48994
201.170 (c) amended 48994
212 Nomenclature changes 48994
212.29 Amended 48994
213 Nomenclature changes 48994
213.4 (a) amended 48994
213.7 Amended 48994
Chapter III
353.24 Added 30662
355.8 Added 30662
19 CFR 357.111 1988
19 CFR
53 FR
Page
Chapter II
206 Revised; interim 33036
207 Authority citation revised 33041
207.2 (h) removed; (i) redesignated as (h); interim 33041
207.3 Revised; interim 33041
207.7 (a), (b), (d), and (e) revised; (f), (g), and (h) added;
interim 33041
207.10 (b) revised; (c) added; interim 33042
207.11 Amended; interim 33042
207.26 Removed; new 207.26 added; interim 33042
207.27 Removed; interim 33042
207.90 -- 207.121 (Subpart G) Added; interim 53253
210 Revised; interim 33055
Authority citation revised 49129
210.1 Revised; interim 49129
210.24 (e) introductory text, (1), (7), and (9) through (18) revised;
interim 49129
210.41 (a) introductory text republished; (a)(2) revised; interim
49133
210.53 (b) revised; (j) added; interim 49133
210.54 (a)(1) and (b)(1) amended; interim 49133
210.56 (d) revised; interim 49133
210.58 (b) revised; (c) and Appendix A added; interim 49133, 49136
210.59 (b) revised; interim 49138
211 Revised; interim 33073
Chapter III
353 Authority citation revised 47920
353.30 (e)(2) revised 47920
354 Added 47920
355 Authority citation revised 47925
Revised 52344
355.20 (e)(2) revised 47925
356 Added; interim 53236
19 CFR 357.111 1989
19 CFR
54 FR
Page
Chapter II
201 Authority citation revised 13678
201.6 (a) amended; (e)(3) added 13678
201.13 (l) added 13678
201.17 -- 201.21 (Subpart C) Heading and authority citation revised
13672
Authority citation revised 13678
201.18 Heading revised; existing text designated as (a); (b)
through (e) redesignated from 201.19 (a) through (d) 13678
201.19 Revised; (a) through (d) redesignated as 201.18 (b) through
(e) 13678
201.20 Revised 13673
201.21 (c) added 13676
207.3 Revised; interim 5222
207.7 (a)(1), (2) and (3), (b), (c), and (f) revised; interim 5222
207.10 (b) revised; interim 5223
207.90 -- 207.121 (Subpart G) Regulation at 53 FR 53253 confirmed
5077
207.90 -- 207.120 (Subpart G) Revised; interim 36295
213 Revised 33883
Chapter III
353 Revised; eff. 4-27-89 12769
Effective date correctly added 13294
353.22 (a) and (c) effective 6-1 -- 89 12742
Effective date correctly added 13294
353.22 Effective date corrected 13977
356 Regulation at 53 FR 53236 confirmed 5930
19 CFR 357.111 1990
19 CFR
55 FR
Page
Chapter II
201.32 (d) and (e) added 40379
Chapter III
353 Authority citation revised 9047
353.27 Added; interim 9047
Effective date corrected 11109, 11719
Regulation at 55 FR 9047 comment time extended 20453
353.28 Added; interim 9048
Effective date corrected 11109, 11719
Regulation at 55 FR 9048 comment time extended 20453
353.29 Added; interim 9049
Effective date corrected 11109, 11719
Regulation at 55 FR 9049 comment time extended 20453
353.31 (e)(2) and (g) revised; interim 9051
Effective date corrected 11109, 11719
Regulation at 55 FR 9051 comment time extended 20453
353.34 (a), (b)(1), (5), and (c) revised; (b)(6) added; interim
9051
Effective date corrected 11109, 11719
Regulation at 55 FR 9051 comment time extended 20453
353.71 (Subpart E) Added; interim 9052
Effective date corrected 11109, 11719
Regulation at 55 FR 9052 comment time extended 20453
355 Authority citation revised 9052
355.27 Added; interim 9052
Effective date corrected 11109, 11719
Regulation at 55 FR 9052 comment time extended 20453
355.28 Added; interim 9053
Effective date corrected 11109, 11719
Regulation at 55 FR 9053 comment time extended 20453
355.29 Added; interim 9054
Effective date corrected 11109, 11719
Regulation at 55 FR 9054 comment time extended 20453
355.31 (e)(2) and (g) revised; interim 9056
Effective date corrected 11109, 11719
Regulation at 55 FR 9056 comment time extended 20453
355.34 (a), (b)(1), (5), and (c) revised; (b)(6) added; interim
9056
Effective date corrected 11109, 11719
Regulation at 55 FR 9056 comment time extended 20453
355.51 (Subpart E) Added; interim 9057
Effective date corrected 11109, 11719
Regulation at 55 FR 9057 comment time extended 20453
357 Added; interim 1349
19 CFR 357.111 1991
19 CFR
56 FR
Page
Chapter II
200 Authority citation revised 36726
200.735-102 (g) removed 36726
200.735-103 (a) and (c) introductory text amended; (b) and (c)(2)
revised 36726
200.735-114 Nomenclature change 36726
200.735-115 Nomenclature change 36726
200.735-116 (b) revised 36726
200.735-121 Nomenclature change 36726
201.2 Revised; eff. 4-22-91 11922
201.8 (d) revised; eff. 4-22-91 11922
201.11 Revised; eff. 4-22-91 11922
201.14 (b) revised; eff. 4-22-91 11923
201.15 (a) revised; eff. 4-22-91 11923
207 Authority citation revised 11923
207.1 Revised; eff. 4-22-91 11923
207.2 -- 207.8 (Subpart A) Revised; eff. 4-22-91 11923
207.10 -- 207.18 (Subpart B) Revised; eff. 4-22-91 11927
207.20 -- 207.28 (Subpart C) Revised; eff. 4-22-91 11928
207.40 -- 207.45 (Subpart D) Revised; eff. 4-22-91 11929
207.50 -- 207.51 (Subpart E) Revised; eff. 4-22-91 11930
207.50 -- 207.51 (Subpart F) Removed; eff. 4-22-91 11930
Chapter III
356 Revised 37804
19 CFR 357.111 1992
19
Customs Duties
PART 200 TO END
Revised as of April 1, 1992
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF APRIL 1, 1992
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
Washington, DC 20402-9328
19 CFR 357.111 Table of Contents
Page
Explanation v
Title 19:
Chapter II -- United States International Trade Commission
Chapter III -- International Trade Administration, Department of
Commerce
Finding Aids:
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
19 CFR 357.111 Explanation
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16 as of January 1
Title 17 through Title 27 as of April 1
Title 28 through Title 41 as of July 1
Title 42 through Title 50 as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, April 1, 1992), consult the ''List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ''Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires Federal
agencies to display an OMB control number with their information
collection request. Many agencies have begun publishing numerous OMB
control numbers as amendments to existing regulations in the CFR. These
OMB numbers are placed as close as possible to the applicable
recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected,
1949-1963, 1964-1972, or 1973-1985, published in seven separate volumes.
For the period beginning January 1, 1986, a ''List of CFR Sections
Affected'' is published at the end of each CFR volume.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ''Title 3 -- The President'' is carried
within that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ''Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES AND SALES
For a summary, legal interpretation, or other explanation of any
regulation in this volume, contact the issuing agency. Inquiries
concerning editing procedures and reference assistance with respect to
the Code of Federal Regulations may be addressed to the Director, Office
of the Federal Register, National Archives and Records Administration,
Washington, DC 20408 (telephone 202-523-3517). All mail order sales are
handled exclusively by the Superintendent of Documents, Attn: New
Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. Charge orders may
be telephoned to the Government Printing Office order desk at
202-783-3238.
Martha L. Girard,
Director,
Office of the Federal Register.
April 1, 1992.
19 CFR 357.111 THIS TITLE
Title 19 -- Customs Duties is composed of two volumes. The first
volume, parts 1 to 199 contains the regulations in Chapter I -- United
States Customs Service, Department of the Treasury. The second volume,
part 200 to End contains Chapter II -- United States International Trade
Commission regulations and Chapter III -- International Trade
Administration, Department of Commerce. The contents of these volumes
represent all current regulations issued under this title of the CFR as
of April 1, 1992.
Redesignation Tables and a Subject Index to Chapter I -- U.S.
Customs Service appear in the Finding Aids section of the first volume.
For this volume, Ina C. Masters was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Richard L. Claypoole, assisted by Alomha S. Morris.
20 CFR 0.0 20 CFR Ch. I (4-1-92 Edition)
20 CFR 0.0 Office of Workers' Compensation Programs, Labor
20 CFR 0.0 Title 20 -- Employees' Benefits
20 CFR 0.0 (This book contains parts 1 to 399)
Part
chapter i -- Office of Workers' Compensation Programs, Department of
Labor 1
chapter ii -- Railroad Retirement Board 200
Editorial Note: Other regulations issued by the Department of Labor
appear in 20 CFR chapters IV, V, VI, VII and IX, 29 CFR subtitle A and
chapters II, IV, V, XVII and XXV, 30 CFR chapter I, 41 CFR chapters 50,
60, and 61, and 48 CFR chapter 29.
20 CFR 0.0 20 CFR Ch. I (4-1-92 Edition)
20 CFR 0.0 Office of Workers' Compensation Programs, Labor
20 CFR 0.0 CHAPTER I -- OFFICE OF WORKERS'
20 CFR 0.0 COMPENSATION PROGRAMS,
20 CFR 0.0 DEPARTMENT OF LABOR
Cross Reference: Employees' and employers' taxes under Federal
Insurance Contributions Act and Excise tax on employers under Federal
Unemployment Tax Act: See Internal Revenue, 26 CFR part 31.
20 CFR 0.0 SUBCHAPTER A -- ORGANIZATION AND PROCEDURES
Part
Page
1 Performance of functions under this chapter
20 CFR 0.0
20 CFR 0.0 SUBCHAPTER B -- FEDERAL EMPLOYEES' COMPENSATION ACT
10 Claims for compensation under the Federal Employees' Compensation
Act, as amended
25 Compensation for disability and death of noncitizen Federal
employees outside the United States
20 CFR 0.0
20 CFR 0.0 SUBCHAPTERS C -- E (RESERVED)
20 CFR 0.0 SUBCHAPTER F -- COMPENSATION FOR INJURY, DISABILITY, DEATH,
OR ENEMY DETENTION OF EMPLOYEES OF CONTRACTORS WITH THE UNITED STATES
61 Claims for compensation under the War Hazards Compensation Act, as
amended
20 CFR 0.0
20 CFR 0.0 SUBCHAPTER G -- COMPENSATION FOR INJURY, DISABILITY OR
DEATH OF CIVILIAN AMERICAN CITIZENS INCURRED WHILE DETAINED BY OR IN
HIDING FROM THE IMPERIAL JAPANESE GOVERNMENT
71 General provisions
20 CFR 0.0
20 CFR 0.0 20 CFR Ch. I (4-1-92 Edition)
20 CFR 0.0 Office of Workers' Compensation Programs, Labor
20 CFR 0.0 SUBCHAPTER A -- ORGANIZATION AND PROCEDURES
20 CFR 0.0 PART 1 -- PERFORMANCE OF FUNCTIONS UNDER THIS CHAPTER
Sec.
1.1 Establishment of the Office of Work- ers' Compensation Programs.
1.2 Assignment of functions.
1.3 Rules in this chapter.
1.4 Cross-references.
1.5 Abolition of Bureau of Employees' Compensation.
1.6 Historical background.
Authority: 5 U.S.C. 301, Reorganization Plan No. 6 of 1950, 15 FR
3174, 64 Stat. 1263; (5 U.S.C. 8145, 8149); Secretary of Labor's
Order No. 13-71, 36 FR 8155; Employment Standards Order No. 2-74, 39
FR 34722.
Source: 40 FR 6876, Feb. 14, 1975, unless otherwise noted.
20 CFR 1.1 Establishment of the Office of Workers' Compensation
Programs.
The Assistant Secretary of Labor for Employment Standards, by
authority vested in him by the Secretary of Labor in Secretary's Order
No. 13-71, 36 FR 8755, established in the Employment Standards
Administration (ESA) an Office of Workers' Compensation Programs (OWCP)
by Employment Standards Order No. 2-74, 39 FR 34722. The Assistant
Secretary has further designated as the head thereof a Director who,
under the general supervision of the Assistant Secretary, shall
administer the programs assigned to that Office by the Assistant
Secretary.
20 CFR 1.2 Assignment of functions.
By Employment Standards Order No. 2-74, 39 FR 34722, the Assistant
Secretary has delegated authority and assigned responsibility to the
Director, OWCP, for the Department of Labor's programs under the
following statutes:
(a) Federal Employees' Compensation Act (FECA), (5 U.S.C. 8101 et
seq.), except 8149 as it applies to the Employees' Compensation Appeals
Board.
(b) War Hazards Compensation Act (WHCA), (42 U.S.C. 1701 et seq.).
(c) War Claims Act (WCA), (50 U.S.C. App. 2003).
(d) Longshoremen's and Harbor Workers' Compensation Act (LHWCA), (33
U.S.C. 901 et seq.), except 921 as it applies to the Benefits Review
Board.
(e) District of Columbia Workmen's Compensation Act (DCWCA) (36 D.C.
Code 501 et seq.).
(f) Defense Base Act (DBA) (42 U.S.C. 1651 et seq.).
(g) Outer Continental Shelf Lands Act (OCSLA) (43 U.S.C. 1331).
(h) Nonappropriated Fund Instrumentalities Act (NFIA) (5 U.S.C. 8171
et seq.).
(i) Title IV of the Federal Coal Mine Health and Safety Act (FCMHSA),
83 Stat. 742, as amended by the Black Lung Benefits Act of 1972 (BLBA)
(30 U.S.C. 901 et seq.).
20 CFR 1.3 Rules in this chapter.
The rules in this chapter are those governing the OWCP functions
under the Federal Employees' Compensation Act, the War Hazards
Compensation Act, and the War Claims Act.
20 CFR 1.4 Cross-references.
(a) The rules of the OWCP governing its functions under the
Longshoremen's and Harbor Workers' Compensation Act and its extensions,
the District of Columbia Workmen's Compensation Act, Defense Base Act,
Outer Continental Shelf Lands Act, and Nonappropriated Fund
Instrumentalities Act are set forth in Subchapter A of Chapter VI of
this title.
(b) The rules of the OWCP governing its functions under the Black
Lung Benefits Act program are set forth in Subchapter B of Chapter VI of
this title.
(c) The rules and regulations of the Employees' Compensation Appeals
Board are set forth in Chapter IV of this title.
(d) The rules and regulations of the Benefits Review Board are set
forth in Chapter VII of this title.
20 CFR 1.5 Abolition of Bureau of Employees' Compensation.
By Secretary of Labor's Order issued September 23, 1974, 39 FR 34723,
issued concurrently with Employment Standards Order 2-74, 39 FR 34722,
the Secretary revoked the prior Secretary's Order No. 18-67, 32 FR
12979, which had delegated authority and assigned responsibility for the
various workers' compensation programs enumerated in 1.2, except the
Black Lung Benefits Act program not then in existence, to the Director
of the former Bureau of Employees' Compensation.
20 CFR 1.6 Historical background.
(a) Administration of the Federal Employees' Compensation Act and the
Longshoremen's and Harbor Workers' Compensation Act was initially vested
in an independent establishment known as the U.S. Employees'
Compensation Commission. By Reorganization Plan No. 2 of 1946 (3 CFR
1943-1949 Comp., p. 1064; 60 Stat. 1095, effective July 16, 1946), the
Commission was abolished and its functions were transferred to the
Federal Security Agency to be performed by a newly created Bureau of
Employees' Compensation within such Agency. By Reorganization Plan No.
19 of 1950 (15 FR 3178, 64 Stat. 1263) said Bureau was transferred to
the Department of Labor, and the authority formerly vested in the
Administrator, Federal Security Agency, was vested in the Secretary of
Labor. By Reorganization Plan No. 6 of 1950 (15 FR 3174, 64 Stat.
1263), the Secretary of Labor was authorized to make from time to time
such provisions as he shall deem appropriate, authorizing the
performance of any of his functions by any other officer, agency, or
employee of the Department of Labor.
(b) In 1972 two separate organizational units were established within
the Bureau: an Office of Workmen's Compensation Programs (37 FR 20533)
and an Office of Federal Employees' Compensation (37 FR 22979). In 1974
these two units were abolished and one organizational unit, the Office
of Workers' Compensation Programs (OWCP), was established in lieu of the
Bureau of Employees' Compensation (39 FR 34722).
20 CFR 1.6 SUBCHAPTER B -- FEDERAL EMPLOYEES' COMPENSATION ACT
20 CFR 1.6 Pt. 10
20 CFR 1.6 PART 10 -- CLAIMS FOR COMPENSATION UNDER THE FEDERAL EMPLOYEES' COMPENSATION ACT, AS AMENDED
20 CFR 1.6 Subpart A -- General Provisions
Sec.
10.1 Statutory provisions.
10.2 Administration of the Act and this chapter.
10.3 Purpose and scope of this part.
10.4 Applicability of other parts within this chapter.
10.5 Definitions and use of terms.
10.10 Custody of records relating to Federal Employees' Compensation
Act matters.
10.11 Confidentiality of records relating to Federal Employees'
Compensation Act matters.
10.12 Protection, release, inspection and copying of records.
10.20 Forms.
10.21 Waiver of compensation rights invalid.
10.22 Exclusiveness of remedy.
10.23 Penalties.
20 CFR 1.6 Subpart B -- Notice of Injury and Claim for Compensation,
Administrative Procedures
10.100 How to file a notice of injury or death.
10.101 When a notice of injury or death must be given.
10.102 Report of injury by official superior.
10.103 Report of death by the official superior.
10.104 Report of the attending physician.
10.105 Time for perfecting a claim for compensation.
10.106 How to file a claim for disability compensation.
10.107 Application for augmented compensation.
10.108 How to file an original claim for death benefits.
10.109 Claims for balance of schedule awards unpaid at death is due
to other causes.
10.110 Burden of proof.
10.111 Submission of other evidence.
10.120 Report of termination of disability or return to work.
10.121 Recurrence of disability.
10.122 Claims for continuing compensation for disability.
10.123 Employing agency's responsibilities in returning the employee
to work.
10.123 Employee's obligation to return to work or to seek work when
able.
10.124 Employee's obligation to return to work or to seek work when
able.
10.125 Affidavit or report by employee of employment and earnings.
10.126 Claims for continuing compensation for death.
10.127 Continuation of death compensation for a child, brother,
sister or grandchild who has reached the age of 18.
10.128 Termination of right to compensation for death;
reapportionment of compensation.
10.130 Processing of claims.
10.131 Request for a hearing.
10.132 Time and place of hearing; prehearing conference.
10.133 Conduct of hearing.
10.134 Subpoenas; witness fees.
10.135 Employing agency attendance at hearings and submission of
evidence.
10.136 Termination of hearing; release of decision.
10.137 Postponement; withdrawal or abandonment of request for
hearing.
10.138 Review of decision.
10.139 Review by the Employee's Compensation Appeals Board.
10.140 Participation in claims process by employing agency.
10.141 Representation of the Director.
10.142 Representation of claimants.
10.143 Qualification of representative.
10.144 Authority of representative.
10.145 Fees for services.
10.146 -- 10.149 (Reserved)
10.150 Statement relative to substantive rules.
10.151 -- 10.159 (Reserved)
10.160 Indications for designation of a representative payee.
10.161 Selection of a payee.
10.162 Responsibilities of a representative payee.
10.163 Use of benefit payments.
10.164 Conservation and investment of benefit payments.
10.165 Termination of representation.
10.166 Accounting for benefit payments.
20 CFR 1.6 Subpart C -- Continuation of Pay
10.200 Statutory provisions.
10.201 Right to continuation of pay.
10.202 Election of annual or sick leave.
10.204 Termination and forfeiture of continuation of pay.
10.205 Pay defined for continuation of pay purposes.
10.206 Agency accounting and reporting of continuation of pay.
10.207 Official superior's responsibility in continuation of pay
cases.
10.208 Recurrence of disability.
10.209 Employee's responsibilities in continuation of pay cases.
20 CFR 1.6 Subpart D -- Payment of Compensation
10.300 Maximum and minimum compensation.
10.301 Temporary total disability rate.
10.302 Permanent total disability rate.
10.303 Partial disability rate.
10.304 Schedule compensation rate.
10.305 Attendant allowance.
10.306 Eligibility for death benefits and death benefit rates.
10.307 Burial and transportation benefits.
10.310 Buy back of annual or sick leave.
10.311 Lump sum awards.
10.312 Assignment of claim, claims of creditors.
10.313 Dual benefits.
10.314 Cost-of-living adjustments.
10.320 Definitions.
10.321 Recovery of overpayments.
10.322 Waiver of recovery -- defeat the purpose of the subchapter.
10.323 Waiver of recovery -- against equity and good conscience.
10.324 Responsibility for providing financial information.
20 CFR 1.6 Subpart E -- Furnishing Medical Treatment
10.400 Physician and medical services, etc. defined.
10.401 Medical treatment, hospital services, transportation, etc.
10.402 Official authorization for treatment.
10.403 Medical treatment in doubtful cases.
10.404 Emergency treatment.
10.405 Medical treatment if symptoms or disability recur.
10.406 Authority for dental treatment.
10.407 Medical examinations.
10.408 Medical referee examination.
10.409 Furnishing of orthopedic and prosthetic appliances, and dental
work.
10.410 Recording and submission of medical reports.
10.411 Submission of bills for medical services, appliances and
supplies; limitation on payment for services.
10.412 Reimbursement for medical expenses, transportation costs, loss
of wages and incidental expenses.
10.413 Time limitation on payment of bills.
20 CFR 1.6 Subpart F -- Exclusion of Physicians and Other Providers of
Medical Services and Supplies
10.450 Exclusion for fraud and abuse: Grounds.
10.451 Automatic exclusion.
10.452 Initiation of exclusion procedures.
10.453 Requests for a hearing.
10.454 Hearings and recommended decision.
10.455 Review by Director.
10.456 Effects of exclusion.
10.457 Reinstatement.
20 CFR 1.6 Subpart G -- Cases Involving the Liability of a Third Party
10.500 Prosecution of third party action by beneficiary.
10.501 Assignment of third party.
10.502 Refusal to assign or prosecute claim when required; effect.
10.503 Distribution of damages recovered by beneficiary.
10.504 Distribution of damages where cause of action is assigned.
10.505 Office may require beneficiary to settle or compromise third
party suit.
10.506 Official superior's responsibility in cases involving
potential third pary liability.
10.507 Satisfaction of the interest of the United States.
20 CFR 1.6 Subpart H -- Special Category Employees
10.600 Definition of volunteer.
10.601 Applicability of the Act.
10.602 When disability compensation commences.
10.603 Pay rate for compensation purposes.
10.604 Period of service as a volunteer.
10.605 Conditions of coverage while serving outside the United States
and the District of Columbia.
10.610 Definition of a law enforcement officer.
10.611 Applicability.
10.612 Conditions for eligibility.
10.613 Time for filing a claim.
10.614 How to file a notice of injury or death.
10.615 Benefits.
10.616 Computation of benefits.
10.617 Responsibilities of the claimant, the employing agency and the
Office.
10.618 Consultation with Attorney General and other agencies.
10.619 Cooperation with State and local agencies.
10.620 Definition of juror.
10.621 Applicability.
10.622 Performance of duty.
10.623 When disability compensation commences.
10.624 Pay rate for compensation purposes.
Authority: 5 U.S.C. 301; Reorg. Plan No. 6 of 1950, 15 FR 3174, 64
Stat. 1263; 5 U.S.C. 8145; 8149; Secretary's Order 1-89; Employment
Standards Order 90-02.
Source: 40 FR 6877, Feb. 14, 1975, unless otherwise noted.
20 CFR 1.6 Subpart A -- General Provisions
20 CFR 1.6 Introduction
20 CFR 10.1 Statutory provisions.
(a) The Federal Employees' Compensation Act, as amended (5 U.S.C.
8101 et seq.) provides for the payment of workers' compensation benefits
to civilian officers and employees of all branches of the Government of
the United States. The Act has been amended and extended a number of
times to provide workers' compensation benefits to volunteers in the
Civil Air Patrol (5 U.S.C. 8141), members of the Reserve Officer
Training Corps (5 U.S.C. 8140), Peace Corps Volunteers (5 U.S.C. 8142),
Job Corps enrollees and Volunteers In Service to America (5 U.S.C.
8143), members of the National Teachers Corps (5 U.S.C. 8143a), certain
student employees (see 5 U.S.C. 5351, 8144), employees of the Panama
Canal Commission and certain employees of the Alaska Railroad (see 5
U.S.C. 8146), certain law enforcement officers not employed by the
United States (see 5 U.S.C. 8191-8193), and various other classes of
persons who provide or have provided services to the Government of the
United States.
(b) The Act provides for the payment of compensation for wage loss
and for permanent impairment of specified members and functions of the
body incurred by employees as a result of an injury sustained while in
the performance of their duties in service to the United States. In
addition to monetary compensation, eligible employees are entitled to
receive, at reasonable expense to the United States, medical and related
services made necessary by the medical condition or conditions accepted
as being employment related. In appropriate cases, vocational
rehabilitation services shall be provided to eligible beneficiaries.
(c) The Act also provides for the payment of monetary compensation to
specified survivors of an employee whose death is the result of an
employment-related injury and for payment of certain burial expenses
subject to the provisions of 5 U.S.C. 8134.
(d) Each of the types of benefits and conditions of eligibility
enumerated in this section is subject to the applicable provisions of
the Act and the provisions of this part. This section shall not be
construed to modify or enlarge upon the provisions of the Act.
(52 FR 10503, Apr. 1, 1987)
20 CFR 10.2 Administration of the Act and this chapter.
(a) Pursuant to 5 U.S.C. 8145 and Secretary of Labor's Orders 13-71
(36 FR 8755) and 16-73 (38 FR 19130) the responsibility for
administering the provisions of the Act were delegated to the Assistant
Secretary of Labor for Employment Standards. Pursuant to Employment
Standards Order 2-74 effective September 27, 1974 (39 FR 34722-34723)
the responsibility for the administration and implementation of the
Federal Employees' Compensation Act, except for 5 U.S.C. 8149 thereof as
it pertains to the Employees' Compensation Appeals Board, was delegated
and assigned to the Director, Office of Workers' Compensation Programs.
The Director, Office of Workers' Compensation Programs and his or her
designees shall, therefore, except as is otherwise provided by law have
the exclusive authority for the administration, implementation, and
enforcement of the provisions of this chapter.
(b) In the case of employees of the Panama Canal Commission, the
Federal Employees' Compensation Act is administered by the Panama Canal
Commission and inquiries pertaining to such coverage should be directed
to that Commission.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10503, Apr. 1, 1987)
20 CFR 10.3 Purpose and scope of this part.
(a) This Part 10 sets forth the rules applicable to the filing,
processing, and payment of claims for workers' compensation benefits
under the provisions of the Federal Employees' Compensation Act, as
amended. This part is applicable to all claims filed on or after
November 6, 1974. The provisions of this part are intended to afford
guidance and assistance to any person seeking compensation benefits
under the Act, as well as to personnel within the Department of Labor
and other agencies of the United States who are required to perform some
function with respect to the administration of any provision of the Act
or the processing of any claim filed under the Act.
(b) This Subpart A describes generally the statutory and
administrative framework governing the manner in which claims under the
Act shall be processed, contains a statement of purpose and scope,
together with provisions pertaining to definition and use of terms, the
disclosure of program information, and other miscellaneous provisions
relating to the administration of the Act.
(c) Subpart B of this part describes the procedure by which an
individual claimant shall file a notice of injury and claim for benefits
under the Act and further describes the administrative procedures
applicable to the processing of each individual claim and the rules
governing the termination and continuation of eligibility for benefits
with respect to certain previously approved claims.
(d) Subpart C of this part describes special procedures applicable to
the continuation of pay provisions contained in 5 U.S.C. 8118 as amended
by Pub. L. 93-416, 88 Stat. 1146.
(e) Subpart D of this part contains provisions relating to the
procedures governing the payment of dollar benefits for disability or
death and further contains additions to the compensation schedule
mandated by the new paragraph 22 of 5 U.S.C. 8107(c), Pub. L. 93-416,
88 Stat. 1145.
(f) Subpart E of this part contains the rules governing an employee's
rights to obtain medical evidence in support of such employee's claim
and further contains information describing the rights of a beneficiary
to medical benefits under the Act.
(g) Subpart F of this part is reserved.
(h) Subpart G of this part contains the rules governing the
adjustment and recovery from a third person under 5 U.S.C. 8132.
(i) Subpart H of this part contains rules for particular groups of
employees whose status requires special application of the provisions of
the Act.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10503, Apr. 1, 1987)
20 CFR 10.4 Applicability of other parts within this chapter.
This revised Part 10 is applicable to Part 25 of this chapter except
as modified by Part 25.
(52 FR 10503, Apr. 1, 1987)
20 CFR 10.5 Definitions and use of terms.
(a) Definitions. For purposes of this subchapter except where the
content clearly indicates otherwise, the following definitions apply:
(1) The Act means the Federal Employees' Compensation Act, 5 U.S.C.
8101 et seq., as amended by Pub. L. 93-416 and as it may be hereafter
amended.
(2) Secretary means the Secretary of the U.S. Department of Labor or
a person authorized to perform his functions under the Act.
(3) Department means the U.S. Department of Labor.
(4) Office or OWCP means the Office of Workers Compensation Programs,
Employment Standards Administration, of the Department.
(5) Director means the Director of OWCP or a person designated by him
or her to carry out his or her functions under the Act.
(6) Benefits or Compensation means the money paid or payable under
the Act to the employee on account of loss of wages or loss of
wage-earning capacity and to enumerated survivors on account of the
employee's death, and includes any other benefits paid for from the
Employee's Compensation Fund such as scheduled compensation under 5
U.S.C. 8107, medical diagnostic and treatment services supplied pursuant
to the Act and this part, vocational rehabilitation services, additional
money for services of an attendant or for vocational rehabilitation
under 5 U.S.C. 8111, and funeral expenses under 5 U.S.C. 8134, but does
not include continuation of pay as provided by 5 U.S.C. 8118.
(7) Claim means an assertion in writing of an individual's
entitlement to benefits under or pursuant to the Act, submitted in a
form and manner authorized by the provisions of this part.
(8) Claimant means an individual whose claim for entitlement to
benefits under the Act has been filed in accordance with the Act and the
provisions of this part.
(9) Beneficiary means an individual who is entitled to a benefit
under the Act and this part.
(10) Entitlement means entitlement to benefits as determined pursuant
to the provisions of the Act and the procedures set forth in this part.
A beneficiary is entitled to benefits as so determined when the
determination is final.
(11) Employee means:
(i) A civil officer or employee in any branch of the Government of
the United States, including an officer or employee of an
instrumentality wholly owned by the United States;
(ii) An individual rendering personal service to the United States
similar to the service of a civil officer or employee of the United
States, without pay or for nominal pay, when a statute authorizes the
acceptance or use of the service, or authorizes payment of travel or
other expenses of the individual;
(iii) An individual, other than an independent contractor or an
individual employed by an independent contractor, employed on the
Menominee Indian Reservation in Wisconsin in operations conducted under
a statute relating to tribal timber and logging operations on that
reservation;
(iv) An individual appointed to a position on the office staff of a
former President under section 1(b) of the Act of August 25, 1958 (72
Stat. 838);
(v) An individual selected pursuant to Chapter 121 of title 28 U.S.
Code, and serving as a petit or grand juror;
(vi) Members of the Reserve Officers Training Corps;
(vii) Civil Air Patrol Volunteers;
(viii) Peace Corps Volunteers and volunteer leaders;
(ix) Job Corps enrollees;
(x) Youth Conservation Corps enrollees;
(xi) Volunteers in Service to America;
(xii) Members of the National Teachers Corps;
(xiii) Members of the Neighborhood Youth Corps;
(xiv) Student employees as defined in 5 U.S.C. 5351;
(xv) Employees of the Panama Canal Commission;
(xvi) Certain employees of the Alaska Railroad;
(xvii) Law enforcement officers not employees of the United States
and Federal law enforcement officers who are pensioned or pensionable
under sections 521-535 of Title 4, District of Columbia Code;
(xviii) An individual covered under the provisions of section
105(e)(1) of Pub. L. 93-638 (Indian Self-Determination and Education
Assistance Act of 1975); and,
(xix) Other persons performing service for the United States within
the purview of the Act and all acts in amendment, substitution or
extension thereof;
(xx) But does not include:
(A) A commissioned officer of the Regular Corps of the Public Health
Service;
(B) A commissioned officer of the Reserve Corps of the Public Health
Service on active duty;
(C) A commissioned officer of the National Oceanic and Atmospheric
Administration.
(12) Official Superior means officers and employees having
responsibility for the supervision, direction or control of employees,
or other employees of the agency designated by the employing agency to
carry out the responsibilities vested in the agency under the Act and
this subpart.
(13) Employing Agency or agency means any civil agency or
instrumentality of the U.S. Government or any other organization, group
or institution employing any individual defined as an ''employee'' by
this section.
(14) Injury means a wound or condition of the body induced by
accident or trauma, and includes a disease or illness proximately caused
by the employment for which benefits are provided under the Act. The
term ''injury'' includes damage to or destruction of medical braces,
artificial limbs, and other prosthetic devices which shall be replaced
or repaired; except that eyeglasses and hearing aids shall not be
replaced, repaired, or otherwise compensated for, unless the damage or
destruction is incident to a personal injury requiring medical services.
(15) Traumatic injury means a wound or other condition of the body
caused by external force, including stress or strain, which is
identifiable as to time and place of occurrence and member or function
of the body affected. The injury must be caused by a specific event or
incident or series of events or incidents within a single work day or
work shift.
(16) Occupational disease or illness means a condition produced in
the work environment over a period longer than a single workday or shift
by such factors as systemic infection; continued or repeated stress or
strain; or exposure to hazardous elements such as, but not limited to,
toxins, poisons, fumes, noise, particulates, or radiation, or other
continued or repeated conditions or factors of the work environment.
(17) Disability means the incapacity, because of employment injury,
to earn the wages the employee was receiving at the time of injury.
(18) Temporary aggravation means that factors of employment have
directly caused an underlying or pre-existing condition, disease or
illness to be more severe for a definite limited period of time and
thereafter leaves no greater impairment than existed prior to the
employment injury.
(19) Impairment means any anatomic or functional abnormality or loss.
A permanent impairment is any such abnormality or loss after maximum
medical improvement has been achieved.
(20) Pay rate for compensation purposes means the employee's pay, as
determined under section 8114 of the Act, at the time of injury, or at
the time disability begins, or at the time compensable disability recurs
if the recurrence begins more than 6 months after the injured employee
resumes regular full-time employment with the United States, whichever
is greater, except as otherwise determined under section 8113 of the Act
with respect to any period.
(21) Organ means a part of the body that performs a special function,
and for purposes of this part excludes the brain, heart and back.
(22) United States Medical Officers and Hospitals includes medical
officers and hospitals of the Army, Navy, Air Force, Veterans
Administration, and U.S. Public Health Service, and any other medical
officers or hospitals designated as a U.S. medical officer or hospital
by the Secretary.
(23) Representative means a person authorized by a claimant in
writing to act for the claimant in connection with a claim or proceeding
under the Act or this part. Where a claimant is physically or mentally
incapable of making such a designation, it may be made by the claimant's
legal guardian.
(24) Surviving spouse means the husband or wife living with or
dependent for support on a deceased employee at the time of his or her
death, or living apart for reasonable cause or because of his or her
desertion.
(25) Student means an individual under 23 years of age who has not
completed 4 years of education beyond the high school level and who is
regularly pursuing a full-time course of study or training at an
institution which is --
(i) A school or college or university operated or directly supported
by the United States, or by any State or local government or political
subdivision thereof; or
(ii) A school or college or university which has been accredited by a
State or by a State-recognized or nationally recognized accrediting
agency or body; or
(iii) A school or college or university not so accredited but whose
credits are accepted on transfer by not less than three institutions
which are so accredited, for credit on the same basis as if transferred
from an accredited institution; or
(iv) A technical, trade, vocational, business, or professional school
accredited or licensed by the Federal or a State government or any
political subdivision thereof providing courses of not less than 3
months duration, that prepares the individual for a livelihood in a
trade, industry, vocation, or profession.
An individual continues to be a student during any interim between
school years if the interim does not exceed 4 months and the individual
shows to the satisfaction of the Office that he or she has a bona fide
intention of continuing to pursue a full-time course of education or
training during the semester or other enrollment period immediately
after the interim, or during periods of reasonable duration during
which, in the judgment of the Office, the individual is prevented by
factors beyond his or her control from pursuing his or her education. A
student whose 23rd birthday occurs during a semester or other enrollment
period is deemed a student until the end of the semester or other
enrollment period.
(26) A year beyond the high school level means --
(i) The 12-month period beginning the month after the individual
graduates from high school, provided he or she has indicated an
intention to continue schooling within 4 months of high school
graduation, and each successive 12-month period in which there is school
attendance or the payment of compensation based on student attendance,
or
(ii) If the individual has indicated that he or she will not continue
schooling within 4 months of high school graduation, the 12-month period
beginning with the month that the individual enters school to continue
his or her education, and each successive 12-month period in which there
is school attendance or the payment of compensation based on student
status.
(b) Dependents and survivors. In addition to basic disability
benefits for employees the Act provides in section 8133 that certain
monthly benefits shall be payable to certain enumerated survivors of
employees who have died from an injury sustained in the performance of
duty. Section 8110 of the Act provides that any employee who is found
eligible for a basic benefit shall be entitled to have such a basic
benefit augmented at a specified rate for certain persons living in the
beneficiary's household or who are dependent upon the beneficiary for
support. The provisions of 5 U.S.C. 8101, 8110, and 8133 defining the
nature of such survivorship or dependency necessary to qualify a
beneficiary for a survivor's benefit or augmented benefit shall be
applicable as appropriate to the provisions of this part.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10503, Apr. 1, 1987)
20 CFR 10.5 Information In Program Records
20 CFR 10.10 Custody of records relating to Federal Employees'
Compensation Act matters.
All records, medical and other reports, statements of witnesses and
other papers relating to the injury or death of a civil employee of the
United States or other persons entitled to compensation or benefits from
the United States under the Act and all amendments and extensions
thereof, are the official records of the Office and are not records of
the agency, establishment or department making or having the care or use
of such records.
(52 FR 10504, Apr. 1, 1987)
20 CFR 10.11 Confidentiality of records relating to Federal Employees'
Compensation Act matters.
Records of the Office pertaining to an injury or death are
confidential, and are exempt from disclosure to the public under section
552(b)(6) of Title 5, United States Code. No official or employee of an
agency, establishment or department who has investigated or secured
statements from witnesses and others pertaining to a claim for benefits,
or any person having the care or use of such reports, shall disclose
information from or pertaining to such records to any person, except in
accordance with applicable regulations (see 29 CFR 70 and 70a).
(52 FR 10505, Apr. 1, 1987)
20 CFR 10.12 Protection, release, inspection and copying of records.
(a) The protection, release, inspection and copying of records of the
Office pertaining to an injury or death shall be accomplished in
accordance with the rules, guidelines and provisions contained in 29 CFR
Parts 70 and 70a and the annual notice of systems of records and routine
uses as published in the Federal Register. However, since the records
of the Office are contained within a government-wide system of records
under the control of the Department of Labor, 29 CFR 70a.1(b)(3)
provides that the regulations of the agency in possession of such
records shall govern the procedure for requesting access to, or
amendment of the records, including initial determinations on such
requests, while the Department of Labor regulations shall govern all
other aspects of safeguarding these records established by the Privacy
Act. Where requested to amend such records in possession of the agency
is received, the agency shall so advise the Office and shall provide the
Office with a copy of any amended record.
(b) Records of the Office pertaining to an employee or beneficiary
which are in the possession of the employing agency may be released by
the employing agency to that employee or beneficiary, or their
representative, in accordance with the provisions contained in 29 CFR
Part 70a. This includes copies retained by the employing agency of
records previously submitted to and in the possession of the Office.
(c) When an employee or beneficiary is prosecuting an action for
damages under 5 U.S.C. 8131, records may be released as provided for in
29 CFR Part 70a.
(52 FR 10505, Apr. 1, 1987)
20 CFR 10.12 Miscellaneous Provisions
20 CFR 10.20 Forms.
(a) Notice of injury, claims and certain specified reports required
to be made with respect to any claim shall be made on approved forms as
are prescribed by the Office. Supervisors are expected to maintain an
adequate supply of the basic forms needed for the proper recording and
reporting of injuries. Pamphlet CA-136, obtainable from OWCP, lists the
forms to be stocked by the agencies; and also tells where the forms may
be obtained.
(b) The basic forms cited in this chapter are:
(c) Copies of the forms enumerated in this paragraph are available
for public inspection at the Office of Workers' Compensation Programs,
Employment Standards Administration, U.S. Department of Labor,
Washington, D.C. 20211.
(40 FR 6877, Feb. 14, 1975, as amended at 41 FR 2, Jan. 2, 1976; 52
FR 10505, Apr. 1, 1987)
20 CFR 10.21 Waiver of compensation rights invalid.
No official superior or other person is authorized to require an
employee or other claimant to enter into any agreement, either before or
after an injury or death, to waive his or her right to claim
compensation under the Act. No waiver of compensation rights shall be
valid.
20 CFR 10.22 Exclusiveness of remedy.
The benefits provided to employees and to survivors of employees by
the Act constitute the exclusive remedy against the United States for
employment related injuries or deaths. The injury or death of an
employee gives rise to no right to recover damages from the United
States exclusive of the Act.
20 CFR 10.23 Penalties.
(a) Any employee, beneficiary, official superior, representative, or
other person who knowingly makes, or knowingly certifies to, any false
statement, misrepresentation, concealment of fact, or any other act of
fraud with respect to a claim under the Act, or who knowingly accepts
compensation to which that person is not entitled, is subject to
criminal prosecution and may, under appropriate U.S. Criminal Code
provisions (e.g., 18 U.S.C. 287 and 1001), be punished by a fine of not
more than $10,000 or imprisonment for not more than five years, or both.
(b) Any employee, beneficiary, official superior, representative, or
other person who, with respect to a claim under the Act, enters into any
agreement, combination, or conspiracy to defraud the United States by
obtaining or aiding to obtain the payment or allowance of any false,
fictitious or fraudulent claim is subject to criminal prosecution and
may, under appropriate U.S. Criminal Code provisions (e.g., 18 U.S.C.
286), be punished by a fine of not more than $10,000 or imprisonment for
not more than ten years, or both.
(c) Any person charged with the responsibility of making reports in
connection with an injury who willfully fails, neglects, or refuses to
do so; induces, compels, or directs an injured employee to forego
filing a claim; or willfully retains any notice, report, or paper
required in connection with an injury, is subject to a fine of not more
than $500 or imprisonment for not more than one year, or both.
(52 FR 10505, Apr. 1, 1987)
20 CFR 10.23 Subpart B -- Notice of Injury and Claim for Compensation, Administrative Procedures
20 CFR 10.23 Notice of Injury or Death
20 CFR 10.100 How to file a notice of injury or death.
(a) Traumatic injury. An employee who sustains a traumatic injury
which the employee believes occurred while in the performance of duty
shall give written notice of the injury on Form CA-1 to the official
superior. If the employee is unable to give written notice, it may be
given by any person acting on the employee's behalf.
(b) Occupational disease or illness. An employee who has a disease
or illness which the employee believes to be employment-related shall
give written notice of the condition on Form CA-2 to the official
superior. If the employee is unable to give written notice, it may be
given by any person acting on the employee's behalf. If it is
impractical to give written notice to the employee's official superior,
it may be given to any official of the employing agency, or directly to
the Office. Form CA-2 must be accompanied by a statement from the
employee to include:
(1) A detailed history of the disease or illness with identification
of part(s) of the body affected;
(2) Complete details of types of substances or conditions of
employment believed responsible for the disease or illness;
(3) A description of specific exposures to substances or stressful
conditions including locations, frequency and duration, and
(4) Whether the employee ever suffered a similar condition and, if
so, full details of onset, history and medical care received with names
and addresses of physicians rendering treatment.
(c) Death. If an employee dies because of a traumatic injury
believed to have been sustained in the performance of duty or because of
a disease or illness believed to have been employment-related, the
employee's survivor(s), or any person acting on behalf of the
survivor(s), shall notify the official superior of the death. If it is
impractical to give notice to the employee's official superior, it may
be given to any official of the employing agency, or directly to the
Office.
(52 FR 10505, Apr. 1, 1987)
20 CFR 10.101 When a notice of injury or death must be given.
(a) Traumatic injury. Written notice of a traumatic injury or death
due to a traumatic injury shall be given as soon as possible but,
pursuant to 5 U.S.C. 8119, no later than 30 days from the date on which
the injury or death occurred. Given the provisions of 5 U.S.C. 8122
and 10.105 of this part concerning the timely filing of a claim for
compensation, the failure to give notice within 30 days may result in a
loss of compensation rights.
(b) Occupational disease or illness. Written notice of disease or
illness believed to be employment related shall be given as soon as
possible but no later than 30 days from the date on which the employee
was first aware, or by the exercise of reasonable diligence should have
been aware, of a possible relationship between the disease or illness
and the conditions or factors of employment. Given the provisions of 5
U.S.C. 8122 and 10.105 of this part concerning the timely filing of a
claim for compensation, the failure to give notice within 30 days may
result in a loss of compensation rights.
(c) Death. In the case of death, notice shall be given as soon as
possible but no later than 30 days from the date of death or the date
the employee's survivor first became aware, or by the exercise of
reasonable diligence should have been aware, of a possible relationship
between the death and the conditions or factors of employment. Given
the provisions of 5 U.S.C. 8122 and 10.105 of this part concerning the
timely filing of a claim for compensation, the failure to give notice
within 30 days may result in a loss of compensation rights.
(52 FR 10506, Apr. 1, 1987)
20 CFR 10.102 Report of injury by the official superior.
(a) As soon as possible but no later than 10 working days after
receipt of written notice of injury from the employee, the official
superior shall submit to the Office a written report of every injury or
occupational disease or illness which is likely to:
(1) Result in a medical charge against the Office;
(2) Result in disability for work beyond the day or shift of injury;
(3) Require prolonged treatment (i.e., more than two instances of
medical examination and/or treatment);
(4) Result in future disability;
(5) Result in permanent impairment or;
(6) Result in a continuation of pay pursuant to 5 U.S.C 8118.
Portions of Forms CA-1 or CA-2 are provided for this purpose. If the
injury does not come under any of the categories enumerated in this
paragraph, the Form CA-1 or CA-2 need not be submitted to the Office but
shall be retained as a permanent record in the Employee Medical Folder
in accordance with the guidelines established by the Office of Personnel
Management. Regardless of whether the Form CA-1 of CA-2 is forwarded to
the Office or retained by the employing agency, immediately upon receipt
of the written notice of injury the official superior shall complete the
''Receipt of Notice of Injury'' and return it to the employee.
(b) If the official superior has reason to disagree with any
particular of the injury as reported by the employee, the official
superior or other agency official shall explore the circumstances of the
injury and submit to the Office a full written explanation specifying
the areas of disagreement and the findings upon which the disagreement
is based. The report may be accompanied by supporting documentation
such as witness statements, medical reports or records, or any other
relevant information. Any written explanation of disagreement shall be
submitted to the Office at the same time as Form CA-1 in cases of
traumatic injury, and within 30 calendar days from the date Form CA-2 is
received from the employee in occupational disease cases. If written
explanation in support of the disagreement is not submitted, the Office
may accept as factual the report of injury made by the employee.
Disagreement with the particulars of the injury as reported by the
employee may not be used by the employing agency to delay the forwarding
of the claim to the Office or to compel or induce the employee to change
the claim.
(c) In cases of disease or illness, Form CA-2 must be accompanied by
the following from the official superior:
(1) A detailed description of the employee's duty assignments
including the nature, extent and duration of exposure to fumes,
chemicals, or other irritants or situations;
(2) Copies of all physical examination reports, including x-ray
reports and laboratory data, on file for the employee;
(3) A record of the employee's absences from work showing the reason
for the absence in each instance, if known;
(4) Statements from each co-worker currently employed by the agency
who has firsthand knowledge about the employee's condition and its
cause, and;
(5) The official superior's comments on the accuracy of the
employee's statement required by 10,100(b) of this part.
(d) Other reports shall be submitted by the official superior as
described elsewhere in this part or as may be required by the Office.
(e) The official superior is authorized to furnish an employee or
beneficiary, or the representative, with a copy of any notice of injury,
claim form, or other document pertaining to that employee or beneficiary
which has been completed and submitted to the Office by the employing
agency. This includes any notice of injury, claim form, or other
document previously submitted to the Office, a copy of which was
retained by the employing agency. While furnishing a copy of such forms
and documents is not required on a routine basis in every case, the
official superior shall furnish a copy of such forms and documents upon
receipt of a written request from the employee or beneficiary, or the
representative.
(52 FR 10506, Apr. 1, 1987)
20 CFR 10.103 Report of death by the offical superior.
If an employee dies because of a traumatic injury or a disease or
illness sustained in the performance of duty, the official superior
shall immediately report the death to the Office by telephone or
telegram. As soon as possible but no later than 10 working days after
receipt of knowledge of death, the official superior shall complete and
send Form CA-6 to the Office.
(52 FR 10506, Apr. 1, 1987)
20 CFR 10.104 Report of the attending physician.
(a) In all cases reported, the employee must submit, or arrange for
the submission of, a medical report to the Office from the attending
physician. This report should include: dates of examination and
treatment; history given by the employee; findings; results of x-rays
and laboratory tests; diagnosis; course of treatment; and the
physician's opinion, with medical reasons, regarding causal relationship
between the diagnosed condition(s) and the factors or conditions of the
employment. This report may be made:
(1) On Part B of Form CA-16;
(2) On Form CA-20 or CA-20a; or
(3) By narrative report on the physician's letterhead stationery.
The report shall be submitted to the Office as soon as possible after
medical examination or treatment is received. (See also 10.204(a)(1).)
(b) Additional reports shall be submitted by the attending physician
as described elsewhere in this part or as may be required by the Office.
(c) Medical reports from the attending physician are to be submitted
directly to the Office. However, the employing agency may request
copies of these reports from the Office.
(52 FR 10506, Apr. 1, 1987)
20 CFR 10.104 Claims for Compensation
20 CFR 10.105 Time for perfecting a claim for compensation.
(a) Claim for disability compensation. An injured employee is
required to file a written claim for compensation within 3 years after
the injury before compensation may be paid. If, however, the official
superior had actual knowledge of the injury within 30 days, or if
written notice was given within 30 days, compensation may be allowed
regardless of whether a written claim was made within 3 years after the
injury. Actual knowledge must be such as to put the official superior
reasonably on notice of an on-the-job injury.
(b) Claim for death compensation. If the employee dies, a written
claim for compensation by or on behalf of the survivors is required
before compensation may be paid. This claim is to be filed within 3
years after the death, unless within 30 days of such death, the official
superior had actual knowledge of the death, due to an employment related
injury or disease or written notice of such death was given to the
official superior within 30 days of such death. The timely filing of a
disability claim because of an on-the-job injury will satisfy the time
requirements for a death claim based on the same injury.
(c) Claim predicated upon a latent disability. In a case of latent
disability, or death due to a latent disability, the time for filing a
claim does not begin to run until the employee has a compensable
disability or dies and is aware or his survivors are aware, or by the
exercise of reasonable diligence should have been aware, of the casual
relationship of the compensable disability or death to the employment.
In such a case, the time for giving notice of injury or death begins to
run when the employee is aware or the survivors are aware, or by the
exercise of reasonable diligence should have been aware that the
employee's condition or death is casually related to his or her
employment, whether or not there is a compensable disability or death.
(d) The time limitations described in this section do not begin to
run against a minor until such minor reaches 21 years of age or has had
a legal representative appointed; or run against an incompetent
individual while such individual is incompetent and has no duly
appointed legal representative; or run against any individual whose
failure to comply is excused by the Secretary of Labor on the ground
that notice could not be given because of exceptional circumstances.
(e) If no claim is filed by an injured employee or by someone acting
on the employee's behalf prior to his or her death, the right to claim
compensation for disability other than medical expenses ceases and does
not survive.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10507, Apr. 1, 1987)
20 CFR 10.106 How to file a claim for disability compensation.
(a) Whenever an employee, as a result of an injury in the performance
of duty, is disabled with loss of pay for more than 3 calendar days or
has a permanent impairment or serious disfigurement as described in 5
U.S.C. 8107, the official superior shall furnish the employee with Form
CA-7 for the purpose of claiming compensation and shall advise the
employee of his or her rights under the Act.
(b) The employee, upon termination of wage loss if the period of wage
loss is less than 10 calendar days, or at the expiration of 10 calendar
days from the date pay stops if the period of wage loss will be 10
calendar days or more, should file Form CA-7 with the Office or with any
person designated by the Office to receive claims. The employee's
official superior is so designated to receive claims on behalf of the
Office. The employee, or someone acting on the employee's behalf, must
complete the front of Form CA-7 and, unless special circumstances
require otherwise, submit the form to the official superior for
completion and transmission to the Office. The employee is responsible
for submitting, or arranging for the submission of, medical evidence in
support of the claim. Form CA-20 is attached to Form CA-7 for this
purpose.
(c) Upon receipt of Form CA-7 from the employee (or from someone
acting on the employee's behalf), the official superior shall complete
the appropriate portions of the claim form. As soon as possible, but
not later than 5 working days after its receipt from the employee, the
official superior shall forward the completed Form CA-7 and any
accompanying medical report to the Office.
(Approved by the Office of Management and Budget under control number
1215-0103)
(52 FR 10507, Apr. 1, 1987)
20 CFR 10.107 Application for augmented compensation.
(a) While the employee has one or more dependents as defined in 5
U.S.C. 8110, the employee's basic compensation for wage loss as provided
in section 8105 or 8106(a), or for permanent impairment as provided in
section 8107(a), shall be augmented as provided in section 8110. Form
CA-7 includes an application for such augmented compensation.
(b) Augmented compensation payable while an employee has an unmarried
child as defined by 5 U.S.C. 8110, which would otherwise terminate
because the child reaches the age of 18, may be continued while the
child is a student as defined by the Act and in 10.5(a)(25) of this
part.
(c) The Office may require an employee to submit an affidavit or
statement as to any dependents, or to submit necessary supporting
documentation such as birth or marriage certificates or court orders, in
the manner and at the times the Office specifies, in order to determine
the employee's entitlement to augmented compensation. If an employee
when required, fails within 30 days of the date of the request to submit
such affidavit, statement, or supporting documentation the employee's
right to augmented compensation otherwise payable shall be suspended
until such time as the requested affidavit, statement, or supporting
documentation is received, at which time augmented compensation will be
reinstated retroactive to the date of suspension provided the employee
is entitled to such augmented compensation.
(d) An employee entitled to or receiving augmented compensation shall
promptly notify the Office of any event which would terminate the
employee's continued entitlement to augmented compensation. Any checks
or payments received after such event shall be returned to the Office as
soon as possible. Where augmented compensation is paid by the Office
beyond the date entitlement terminated, the Office shall make proper
adjustment and any difference between actual entitlement and the amount
already paid is an overpayment of compensation and may be recovered
pursuant to 5 U.S.C. 8129 and other appropriate statutes.
(52 FR 10507, Apr. 1, 1987)
20 CFR 10.108 How to file an original claim for death benefits.
An original claim for death benefits may be filed by any survivor of
a deceased employee (see section 8133 of the Act) or any other person
acting on behalf of such survivor. Form CA-5 is provided by the Office
for this purpose, and should be executed as provided therein. An
original death claim may be filed by delivering a completed Form CA-5 to
the Office, or to any person designated by the Office to receive such
claim. The deceased employee's former official superior is so
designated to receive such claims on behalf of the Office, and the
person claiming benefits should submit the claim to such former official
superior, unless special circumstances require a different procedure.
The official superior shall, when it is practicable, furnish to all
persons likely to be entitled to compensation for death of an employee,
a Form CA-5 or CA-5b with information as to the use of the form for
making claim for compensation and procedure in respect of filing such
form. The furnishing of assistance in preparing such form or in
obtaining evidence relating to the claim shall be without charge by the
official superior. Any claim or paper purporting to claim compensation
on account of death, submitted to the deceased employee's former
official superior, shall be transmitted promptly to the Office.
20 CFR 10.109 Claims for balance of schedule awards unpaid at death
when death is due to other causes.
(a) If an employee who has sustained compensable impairment within
the meaning of 5 U.S.C. 8107, and has filed a valid claim during his or
her lifetime, dies from causes other than the injury which resulted in
the compensable impairment before the entire amount due for the schedule
was paid, a claim for the unpaid balance may be made on a form approved
by the Office by the surviving spouse or child in accordance with 5
U.S.C. 8109(a)(3)(D). If there is no surviving spouse or child, then a
claim for the unpaid balance may be made by any other survivors pursuant
to 5 U.S.C. 8109(a)(3)(D) and benefits shall be paid in the proportions
and under the conditions and in the order as follows:
(1) To the parent or parents wholly dependent for support upon the
decedent in equal shares with any wholly dependent brother, sister,
grandparent or grandchild;
(2) To the parent or parents partially dependent for support upon the
decedent in equal shares when there are no wholly dependent brothers,
sisters, grandparents or grandchildren (or other wholly dependent
parent); and
(3) To the parent or parents partially dependent upon the decedent,
25 percent of the amount payable, shared equally, and the remaining 75
percent to any wholly dependent brother, sister, grandparent or
grandchild (or wholly dependent parent), share and share alike.
(b) Any survivor referred to in paragraph (a) of this section must be
alive to receive any payment and any such survivor shall not have a
vested right to any such payment. Claims for continuation of payments
under 5 U.S.C. 8109 shall be made in the manner described by 10.126 of
this subpart.
(c) The entitlement of any survivor to payment under 5 U.S.C. 8109
shall cease upon the happening of any event which would terminate such
right under 5 U.S.C. 8133. The termination of such right and any
necessary reapportionment shall be governed by 10.128 of this subpart.
(d) The disposition of any balance not paid under the foregoing
paragraphs shall be made in accordance with 5 U.S.C. 8109(a)(D)(v).
(52 FR 10507, Apr. 1, 1987)
20 CFR 10.109 Evidence
20 CFR 10.110 Burden of proof.
(a) A claimant has the burden of establishing by the weight of
reliable, probative and substantial evidence that the claimed condition
and the disability, if any, was caused, aggravated, or adversely
affected by the claimant's Federal employment. As a part of this
burden, the claimant must specify the employment incident or the factors
or conditions of employment to which the injury, disease or disability
is attributed, and must submit rationalized medical opinion evidence,
based upon a complete and accurate factual and medical background,
showing causal relationship between the claimed condition and the
Federal employment. The fact that a condition or disease manifests
itself during a period of Federal employment by itself does not raise an
inference that there is causal relationship between the two. Neither
the fact that the condition or disease became manifest during a period
of Federal employment, nor the belief of the claimant that the condition
or disease was caused or aggravated by employment conditions or factors,
is sufficient in itself to establish causal relationship.
(b) If a claimant initially submits supportive factual and/or medical
evidence which is not sufficient to carry the burden of proof, the
Office will inform the claimant of the defects in proof and grant at
least 30 calendar days for the claimant to submit the evidence required
to meet the burden of proof. Subsequent submissions of evidence still
not sufficient to carry the burden of proof will not require another
notification of defects. The Office may, in its discretion, undertake
to develop either factual or medical evidence for determination of the
claim. For example, when the claim is based on exposure to hazardous
material or noise at work, or when relevant evidence is in the
possession of the Federal government and not accessible to the claimant
(e.g., a deactivated employing agency facility), the Office will
undertake to develop the necessary evidence.
(c) Once the Office has accepted a claim and paid compensation, it
has the burden, before terminating or reducing compensation, of
establishing by the weight of the evidence that the disability for which
compensation was paid has ceased, or that the disabling condition is no
longer causally related to the employment, or that the claimant is only
partially disabled, or that its initial decision was in error.
(52 FR 10508, Apr. 1, 1987)
20 CFR 10.111 Submission of other evidence.
The responsibilities of the official superior and the claimant to
submit evidence are specified elsewhere in this part. A claimant, a
person acting on the claimant's behalf, or the employing agency may
submit to the Office any other evidence which is deemed relevant and
pertinent to the initial and ongoing determination of the claim.
(52 FR 10508, Apr. 1, 1987)
20 CFR 10.111 Termination and Continuation of Eligibility
20 CFR 10.120 Report of termination of disability or return to work.
In all cases reported to the Office the official superior shall
notify the Office immediately upon the injured employee's return to work
or termination of disability. Form CA-3 is provided for this purpose.
It shall be used unless a report of termination of disability is made to
the Office on Form CA-1 or CA-2, or CA-7 as appropriate, or in some
other manner.
(52 FR 10508, Apr. 1, 1987)
20 CFR 10.121 Recurrence of disability.
(a) The official superior shall notify the Office if, after the
employee returns to work, the original injury causes the employee to
stop work again. Form CA-2a is provided for this purpose. If the
original injury was not previously reported to the Office, notice of the
original injury shall be made on Form CA-1 or CA-2, as appropriate, and
attached when Form CA-2a is submitted. Medical reports concerning the
original injury should also be attached if not previously submitted.
The employee has the burden of establishing by the weight of reliable,
probative and substantial evidence that the recurrence of disability is
causally related to the original injury.
(b) When the employee has received medical care as a result of the
recurrence, he or she should arrange for a detailed medical report to be
submitted by the attending physician. The report should include: dates
of examination and treatment; history given by the employee; findings;
results of x-ray and laboratory tests; diagnosis; course of
treatment; the physician's opinion, with medical reasons, regarding
causal relationship between the employee's condition and the original
injury; work limitations or restrictions, and prognosis. The employee
should also submit, or arrange for the submission of, similar medical
reports for any examination and/or treatment received subsequent to
returning to work following the original injury.
(c) The employee must also give the reasons for believing the
recurrence of disability is related to the original injury. A statement
from the employee must accompany Form CA-2a describing the employee's
duties upon return to work after the original injury, stating whether
there were any other injuries or illness, and giving a general
description of the employee's physical condition during the intervening
period. The official superior may submit comments concerning the
employee's statement.
(d) If the injured employee does not return to duty prior to the date
Form CA-2a is submitted to the Office, the return to duty or termination
of disability shall be reported to the Office on Form CA-3 unless
otherwise reported on Form CA-7 or Form CA-8.
(e) Claim for compensation as a result of the recurrence of
disability should be made using Form CA-7, unless such form was
previously filed after the original injury. If Form CA-7 was previously
filed, compensation must be claimed using Form CA-8. A completed claim
form plus a medical report on Form CA-20 or CA-20a (or in narrative
form) must be submitted before compensation may be paid.
(52 FR 10509, Apr. 1, 1987)
20 CFR 10.122 Claim for continuing compensation for disability.
Form CA-8 is provided to claim compensation for additional periods of
time after Form CA-7 is submitted to the Office. It is the
responsibility of the employee to submit Form CA-8. Without receipt of
such claim, the Office has no knowledge of continuing wage loss.
Therefore, while disability continues, a claim on Form CA-8 should be
submitted every 2 weeks until the employee is otherwise instructed by
the Office. The employee shall complete and sign the face of the form,
and the official superior shall complete the reverse side. The employee
is responsible for submitting, or arranging for the submission of,
medical evidence in support of the claim. Form CA-20a is attached to
Form CA-8 for this purpose. The official superior shall forward the
completed Form CA-8 and any accompanying medical report to the Office
within 5 working days of receipt from the employee.
(Approved by the Office of Management and Budget under control number
1215-0103)
(52 FR 10509, Apr. 1, 1987, as amended at 54 FR 18834, May 2, 1989)
20 CFR 10.123 Employing agency's responsibilities in returning the
employee to work.
(a) Upon authorization of medical care, the official superior shall
provide the employee with written notification of his or her obligation
to return to work as soon as possible and, with respect to alternative
work, shall
(1) Advise the employee in the same manner as provided by 10.207(b);
and
(2) Advise the employee of his or her responsibilities under 10.124
of this subpart.
The term ''return to work'' as used in this section is not limited to
return to work at the employee's normal worksite, but may include return
to work at other alternate locations.
(b) The employing agency shall monitor the employee's medical
progress and duty status by obtaining periodic medical reports. Form
CA-17 is provided for this purpose. To facilitate an injured employee's
return to suitable employment, the employing agency may correspond in
writing with the employee's physician concerning the work limitations
and restrictions imposed by the effects of the injury and possible job
assignments. The employing agency shall concurrently send a copy of any
such correspondence to the Office and the claimant, as well as a copy of
the physician's response when received.
(c) Where the employing agency is notified in writing that the
attending physician has found the employee to be partially disabled, and
the employee is able to:
(1) Perform in a specific alternative position which is available
within the agency and for which the agency has furnished the employee
with a written description of the specific duties and physical
requirements, the agency shall notify the employee immediately of the
date of availability. To facilitate early return to work, the agency
may inform the employee of the offer and its availability by telephone,
but must provide written confirmation of the offer as soon as possible
thereafter.
(2) Perform restricted or limited duties, the agency shall determine
whether necessary accommodation can be made, and if so, advise the
employee in writing of the duties, their physical requirements and
availability. To facilitate early return to work, the agency may inform
the employee of the offer by telephone, but must provide written
confirmation of the offer as soon as possible thereafter.
(d) Where the nature and extent of injury prohibit the employee from
returning to the duties of the position held at the time of injury, and
the agency is unable to accommodate the restrictions and limitations
imposed on the employee by the injury, and employment is consequently
terminated, the agency may, in cooperation and coordination with the
Office, subsequently determine the former employee's current physical
condition and offer reemployment in a position suitable to the former
employee's capabilities. Such reemployment offer must be in writing and
include a description of the duties of the position being offered, the
physical requirements of those duties, and the date the former employee
is to return to work or, in the alternative, the date by which the
former employee must notify the agency of his or her decision with
respect to acceptance or refusal of the reemployment offer.
(e) A complete copy of any agency offer of employment or reemployment
should be sent to the Office at the same time as it is sent to the
employee.
(f) Where an injured employee relocates after having been terminated
from the agency's employment rolls, the Office encourages employing
agencies to offer suitable reemployment in the location where the former
employee currently resides. If this is not practical, the agency may
offer suitable employment at the employee's former duty station or other
alternate location. Where acceptance of the offered reemployment would
result in relocation expenses being incurred by the former employee,
such expenses as are considered reasonable and necessary may be paid by
the Office from the Employees' Compensation Fund. In determining
whether a relocation expense is reasonable and necessary, the Office
shall use as a guide the Federal travel regulations pertaining to
permanent change of duty station.
(52 FR 10510, Apr. 1, 1987)
20 CFR 10.124 Employee's obligation to return to work or to seek work
when able.
(a) An employee whose disability has ceased and who is able to resume
regular Federal employment has the obligation to do so. No further
compensation for wage loss is payable once the employee has recovered
from the employment injury to the extent that he or she could perform
the duties of the position held at the time of injury, or earn
equivalent wages.
(b) Where an employee has been advised by the employing agency in
writing of the existence of specific alternative positions within the
agency, the employee shall furnish the description and physical
requirements of such alternative positions to the attending physician
and inquire whether and when the employee will be able to perform such
duties. Where an agency has advised the employee of its willingness to
accommodate, where possible, the employee's work limitations and
restrictions, the employee shall so advise the attending physician and
request the physician to specify the limitations and restrictions
imposed by the injury. The employee has the responsibility to advise
the employing agency immediately of the limitations and restrictions
imposed.
(c) Where an employee has been offered suitable employment (or
reemployment) by the employing agency (i.e., employment or reemployment
which the Office has found to be within the employee's educational and
vocational capabilities, within any limitations and restrictions which
pre-existed the injury, and within the limitations and restrictions
which resulted from the injury), or where an employee has been offered
suitable employment as a result of job placement efforts made by or on
behalf of the Office, the employee is obligated to return to such
employment. An employee who refuses or neglects to work after suitable
work has been offered or secured for the employee has the burden of
showing that such refusal or failure to work was reasonable or
justified, and shall be provided with the opportunity to make such
showing before a determination is made with respect to termination of
entitlement to compensation as provided by 5 U.S.C. 8106(c)(2) and
paragraph (e) of this section.
(d) When a permanently disabled employee who cannot return to the
position held at the time of injury due to the residuals of the
employment injury has recovered sufficiently to be able to perform some
type of work, the employee must seek suitable work either in the
Government or in private employment. Such an employee must report the
efforts made to obtain suitable employment at such times and in such
manner as the Office may require including the names and addresses of
the persons or establishments to whom the employee has applied for work.
(e) A partially disabled employee who, without showing sufficient
reason or justification, refuses to seek suitable work or refuses or
neglects to work after suitable work has been offered to, procured by,
or secured for the employee, is not entitled to further compensation for
total disability, partial disability, or permanent impairment as
provided by sections 8105, 8106, and 8107 of the Act, but remains
entitled to medical benefits as provided by section 8103 of the Act. An
employee shall be provided with the opportunity to make such showing of
sufficient reason or justification before a determination is made with
respect to termination of entitlement to compensation as provided by 5
U.S.C. 8106(c).
(f) Pursuant to 5 U.S.C. 8104(a), the Office may direct a permanently
disabled employee to undergo vocational rehabilitation. If an employee
without good cause fails or refuses to apply for, undergo, participate
in, or continue participation in a vocational rehabilitation effort when
so directed, the Office will, in accordance with 5 U.S.C. 8113(b),
reduce prospectively the employee's monetary compensation based on what
would probably have been the employee's wage-earning capacity had there
not been such failure or refusal. If an employee without good cause
fails or refuses to apply for, undergo, participate in, or continue
participation in the early but necessary stages of a vocational
rehabilitation effort (i.e., interviews, testing, counseling, and work
evaluations), the Office cannot determine what would have been the
employee's wage-earning capacity had there not been such failure or
refusal. It will be assumed, therefore, in the absence of evidence to
the contrary, that the vocational rehabilitation effort would have
resulted in a return to work with no loss of wage-earning capacity, and
the Office will reduce the employee's monetary compensation accordingly.
Any reduction in the employee's monetary compensation under the
provisions of this paragraph shall continue until the employee in good
faith complies with the direction of the Office.
(52 FR 10509, Apr. 1, 1987)
20 CFR 10.125 Affidavit or report by employee of employment and
earnings.
(a) While in receipt of compensation for partial or total disability,
and unless found by the Office to be unnecessary or inappropriate, an
employee shall periodically be required to submit an affidavit or other
report of earnings from employment or self-employment on either a
part-time or full-time basis. If an employee when required, fails
within 30 days of the date of the request to submit such an affidavit or
report, the employee's right to compensation for wage loss under section
8105 or 8106 is suspended until such time as the requested affidavit or
report is received by the Office, at which time compensation will be
reinstated retroactive to the date of suspension. If, in making an
affidavit or report, an employee knowingly omits or understates any
earnings or remuneration, the employee shall forfeit the right to
compensation with respect to any period for which the affidavit or
report was required. A false or evasive statement, omission,
concealment, or misrepresentation with respect to employment or earnings
in a required affidavit or report may, in addition to forfeiture,
subject the employee to criminal prosecution.
(b) Where the right to compensation is forfeited, any compensation
already paid for the period of forfeiture shall be recovered by
deducting the amount from compensation payable in the future. If
further compensation is not payable, the compensation already paid may
be recovered pursuant to 5 U.S.C. 8129 and the Federal Claims Collection
Act (31 U.S.C. 952).
(c) Earnings from employment referred to in this section or elsewhere
in this part means gross earnings or wages before any deductions and
includes the value of subsistence, quarters, reimbursed expenses, or any
other advantages received in kind as part of the wages or remuneration.
In general, earnings from self-employment means a reasonable estimate of
the rate of pay it would cost the employee to have someone else perform
the work or duties the employee is performing. Where self-employment is
in the form of a corporation, partnership, or sole-proprietorship, a
lack of profits for such entity does not remove the employee's
obligation to report the employment or the rate of pay.
(d) For the purpose of administering the Act, including the making of
proper determinations as to an employee's entitlement to benefits, the
Office may, with the written consent of the employee, obtain from the
Social Security Administration wage information concerning that employee
to include the names and addresses of employers for whom the employee
worked during a specified period of time, the periods employed, and the
gross amount of wages earned.
(52 FR 10508, Apr. 1, 1987, as amended at 53 FR 11594, Apr. 7, 1988)
20 CFR 10.126 Claims for continuing compensation for death.
A beneficiary to whom an award of compensation has been made on
account of an employee's death shall submit additional claims for
continuing compensation to the Office once each year, or when required
by the Office. Form CA-12 is provided by the Office for this purpose
and will be sent to the beneficiary when an additional claim is
required. If a beneficiary when required, fails within 30 days of the
date of request to submit the form (or an equivalent written statement),
the beneficiary's right to compensation, including compensation payable
to that beneficiary for or on behalf of another (e.g., compensation
payable to a widow on behalf of a child), shall be suspended until such
time as the requested form or equivalent written statement is received,
at which time compensation will be reinstated at the appropriate rate
retroactive to the date of suspension.
(52 FR 10509, Apr. 1, 1987)
20 CFR 10.127 Continuation of death compensation for a child, brother,
sister or grandchild who has reached the age of 18.
Compensation payable on behalf of a child, brother, sister, or
grandchild under 5 U.S.C. 8133, which would otherwise be terminated
because such individual has reached 18 years of age, shall be continued
if and for so long as he or she is not married and is physically or
mentally incapable of self-support, or if he or she is a student as
defined in 10.5(a)(25) for so long as he or she is not married and
continues as a student. An individual in receipt of compensation under
the provisions of 5 U.S.C. 8133 shall furnish, when so required by the
Office, proof of continuing entitlement to such compensation, including
certification of school enrollment. If a beneficiary when required,
fails within 30 days of the date of the request to submit such proof,
the beneficiary's right to compensation shall be suspended until the
requested information is received, at which time compensation will be
reinstated retroactive to the date of suspension, provided the
beneficiary is entitled to such compensation.
(52 FR 10510, Apr. 1, 1987)
20 CFR 10.128 Termination of right to compensation for death;
reapportionment of compensation.
(a) When a beneficiary who is receiving compensation on account of
death ceases to be entitled to such compensation by reason of death,
remarrying before age 60, marrying, reaching the age of 18, ceasing to
be dependent, ceasing to be student, or becoming capable of
self-support, the beneficiary or someone acting on the beneficiary's
behalf shall immediately notify the Office of such event. If the
beneficiary, or someone acting on the beneficiary's behalf, receives a
check which includes payment of compensation for any period after the
date when entitlement ceased for any of the above reasons, the check
shall be promptly returned to the Office. The terms marrying and
remarrying include common law marriage as recognized and defined by
state law in the state where the beneficiary resides.
(b) An event as described in paragraph (a) of this section which
results in the termination of compensation to a beneficiary may also
result in a reapportionment of the amount of compensation payable to one
or more of the remaining beneficiaries. Similarly, the birth of a
posthumous child of the deceased employee may also result in a
reapportionment of the amount of compensation payable to other
beneficiaries. The parent, or someone acting on the child's behalf,
shall promptly notify the Office of the birth and submit a certified
copy of the birth certificate.
(52 FR 10511, Apr. 1, 1987)
20 CFR 10.128 Determinations of Claims, Hearing and Review Procedures
20 CFR 10.130 Processing of claims.
Claims for compensation for disability and death are processed by
claims examiners of the Office, whose duty it is to apply the law to the
facts as reported, received, or obtained upon investigation. The
Federal Employees' Compensation Act, as amended, requires that a
decision with respect to entitlement contain findings of fact and be
based on consideration of the claim presented by the claimant, the
report by his or her immediate official superior, and the completion of
such investigation as the Office may deem necessary. There is no
required procedure for the production of evidence but the evidence
should be in written form. The final authority in the Office in the
determination of a claim is vested in the Director of the Office. The
decision shall contain findings of fact and a statement of reasons. A
copy of the decision, together with information as to the right to a
hearing, to a reconsideration, and to an appeal to the Employees'
Compensation Appeals Board, shall be mailed to the claimant's last known
address. If the claimant is represented before the Office, a copy of
the decision will also be mailed to such representative. At the time
the decision is issued, a copy will also be sent to the claimant's
employing agency.
(52 FR 10511, Apr. 1, 1987)
20 CFR 10.131 Request for a hearing.
(a) Any claimant not satisfied with a decision of the Office shall be
afforded an opportunity for an oral hearing before an Office
representative designated by the Director. A hearing must be requested
in writing within 30 days of the date of issuance of the decision and be
made to the Office as set forth in the decision. A claimant is not
entitled to an oral hearing if the request is not made within 30 days of
the date of issuance of the decision as determined by the postmark of
the request, or if a request for reconsideration of the decision is made
pursuant to 5 U.S.C. 8128(a) and 10.138(b) of this subpart prior to
requesting a hearing, or if review of the written record as provided by
paragraph (b) of this section has been obtained. At an oral hearing,
the claimant shall be afforded the opportunity to present oral testimony
and/or written evidence in further support of the claim. A claimant may
change his or her selection of an oral hearing to a review of the
written record as provided by paragraph (b) of this section; however,
such written request for change must be made within 30 days after the
date of the Office's acknowledgment of receipt of the initial request.
(b) In lieu of an oral hearing, a claimant shall be afforded an
opportunity for a review of the written record by an Office
representative designated by the Director. Such review will not involve
oral testimony or attendance of the claimant; however, the claimant may
submit any written evidence or argument which he or she believes
relevant. A review of the written record must be requested in writing
within 30 days of the date of issuance of the decision, specify the
decision and/or issue which is the subject of the request, and be made
to the Office as set forth in the decision. A claimant is not entitled
to a review of the written record if the request is not made within 30
days of the date of issuance of the decision as determined by the
postmark of the request, or if a request for reconsideration of the
decision is made pursuant to 5 U.S.C. 8128(a) and 10.138(b) of this
subpart prior to requesting a review of the written record, or if an
oral hearing has been obtained as provided by paragraph (a) of this
section. A claimant may change his or her selection of a review of the
written record to an oral hearing as provided by paragraph (a) of this
section; however, such written request for change must be made within
30 days after the date of the Office's acknowledgment of receipt of the
initial request. Where timely request for a review of the written
record is received, the Office shall furnish the employing agency with a
copy of the claimant's request and allow 15 days for the agency to
submit any comments and/or documents which it believes relevant and
material to the issue in question. Any comments or documents submitted
by the agency are subject to review and comment by the claimant within
15 days following the date the Office sends any such agency submission
to the claimant. Following a review of the record and any evidence
submitted, the Office representative shall decide the claim and inform
the claimant, the claimant's representative and the employing agency of
the decision.
(52 FR 10511, Apr. 1, 1987)
20 CFR 10.132 Time and place of hearing; prehearing conference.
The Office representative shall set the time and place of the hearing
and shall mail written notice thereof to the claimant, the claimant's
representative, and the employing agency at least 15 days prior to the
hearing. When practicable, the hearing will be set at a time and place
convenient for the claimant. At the request of the claimant, the Office
representative may schedule a prehearing conference to further define or
clarify the issues. Request for such a conference must be made to the
Office representative in writing at least 5 days prior to the scheduled
date of the hearing. The decision whether or not to schedule a
prehearing conference shall be solely within the discretion of the
Office representative.
(52 FR 105011, Apr. 1, 1987)
20 CFR 10.133 Conduct of hearing.
(a) In conducting the hearing, the Office representative shall not be
bound by common law or statutory rules of evidence, by technical or
formal rules of procedure, or by section 5 of the Administrative
Procedure Act, but may conduct the hearing in such manner as to best
ascertain the rights of the claimant. For this purpose, the
representative shall receive such relevant evidence as may be adduced by
the claimant and shall, in addition, receive such other evidence as the
representative may determine to be necessary or useful in evaluating the
claim. Evidence may be presented orally or in the form of written
statements and exhibits. The hearing shall be recorded. The recording,
either by magnetic tape or by transcription, shall be made a part of the
case record.
(b) Pursuant to 5 U.S.C. 8126 the Office may whenever necessary: (1)
Issue subpoenas for and compel the attendance of witnesses within a
radius of 100 miles; (2) administer oaths; (3) examine witnesses; and
(4) require the production of books, papers, documents, and other
evidence, with respect to proceedings conducted for the purpose of
determining the validity of any claim under this part.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10512, Apr. 1, 1987)
20 CFR 10.134 Subpoenas; witness fees.
(a) When reasonably necessary for full presentation of a case, an
Office hearing representative may upon his or her own motion, or upon
request of the claimant, issue subpoenas for the attendance and
testimony of witnesses and for the production of books, records,
correspondence, papers, or other documents which are relevant and
material to any matter in issue at the hearing. A claimant who desires
the issuance of a subpoena shall, not less than 20 days prior to the
date fixed for the hearing, file with the Office representative a
written request therefor, designating the witness or documents to be
produced, and describing the address and location thereof with
sufficient particularity to permit such witness or documents to be
found. The request for a subpoena shall state the pertinent facts which
the claimant expects to establish by such witnesses or documents and
whether such facts could be established by other evidence without the
use of a subpoena. A subpoena issued under the provisions of this
section shall be issued in the name of the Office hearing
representative, and shall be served either in person by an authorized
representative of the Office or by certified mail, return receipt
requested, addressed to the person to be served at his or her last known
principal place of business or residence. Where service is made in
person by an authorized Office representative, such representative shall
make an affidavit stating that he or she personally served a copy of the
subpoena upon the person named therein. Where service is by certified
mail, the signed returned post office receipt shall serve as proof of
service.
(b) Non-government witnesses subpoenaed under this section who have
submitted evidence into the case record at the request of the Office
shall be paid the same fees and mileage as are paid for like services in
the District Court of the United States where the subpoena was
returnable. However, in the case of an expert witness, the witness fee
shall not exceed the local customary fee for such service. Fees and
mileage requested by such witnesses shall be paid by the Office.
(c) Non-government witnesses subpoenaed under this section who have
submitted evidence into the case record at the request of the claimant
or who have not submitted evidence into the case record but have
testimony which is relevant and material to the issue in question and
were subpoenaed at the request of the claimant, shall be paid the same
fees and mileage as are paid for like services in the District Court of
the United States where the subpoena was returnable. However, in the
case of an expert witness, the witness fee shall not exceed the local
customary fee for such service. Fees and mileage requested by such
witnesses shall be paid by the claimant.
(52 FR 10513, Apr. 1, 1987)
20 CFR 10.135 Employing agency attendance at hearings and submission of
evidence.
The employing agency does not have the right to request a hearing
pursuant to 5 U.S.C. 8124. However, the employing agency has an interest
in the outcome of the hearing and frequently possesses information
pertinent to issues raised at the hearing. Therefore, the employing
agency shall be afforded the opportunity to have an agency
representative in attendance at the hearing and/or to request that it
receive a copy of the hearing transcript. Where the employing agency
sends a representative, the representative will attend primarily in the
role of an observer without the right to question the claimant or make
any argument. However, since the claimant is entitled to present
evidence in support of the claim, the agency representative may, upon
the specific request of the claimant, be called upon by the Office
representative to give oral testimony. Where the employing agency
requests that it receive a copy of the hearing transcript, the agency
will be allowed 15 days following release of the transcript to submit
comments or additional material for inclusion in the record. Any
comments or materials submitted by the agency are subject to review and
comment by the claimant within 15 days following the date the Office
sends any such agency submission to the claimant.
(52 FR 10512, Apr. 1, 1987)
20 CFR 10.136 Termination of hearing; release of decision.
The Office representative shall fix the time within which evidence
will be received and shall terminate the hearing by mailing a copy of
the decision, setting forth the basis therefor, to the claimant's last
known address and to the claimant's representative, if any. A copy of
the decision will also be mailed to the employing agency.
(52 FR 10512, Apr. 1, 1987)
20 CFR 10.137 Postponement; withdrawal or abandonment of request for
hearing.
(a) A scheduled hearing may be postponed or cancelled at the option
of the Office, or upon written request of the claimant if the request is
received by the Office at least 3 days prior to the scheduled date of
the hearing and good cause for the postponement is shown. The unexcused
failure of a claimant to appear at a hearing or late notice may result
in the assessment of costs against such claimant.
(b) A claimant may withdraw a request for a hearing at any time by
written notice to the Office representative before the hearing is held,
or on the record at the hearing.
(c) A claimant who fails to appear at a scheduled hearing may request
in writing within 10 days after the date set for the hearing that
another hearing be scheduled. Where good cause for failure to appear is
shown, another hearing will be scheduled. The failure of the claimant
to request another hearing within 10 days, or the failure of the
claimant to appear at the second scheduled hearing without good cause
shown, shall constitute abandonment of the request for a hearing. Where
good cause is shown for failure to appear at the second scheduled
hearing, another hearing will be scheduled. Unless extraordinary
circumstances such as hospitalization, a death in the family, or similar
circumstances which prevent the claimant from appearing are
demonstrated, failure of the claimant to appear at the third scheduled
hearing shall constitute abandonment of the request for a hearing.
(52 FR 10512, Apr. 1, 1987)
20 CFR 10.138 Review of decision.
(a) Under the discretionary authority granted by 5 U.S.C. 8128(a),
the Office may review an award for or against the payment of
compensation at any time on its own motion and may, as a result of that
review, affirm, reverse or modify the previous decision and inform the
claimant, the claimant's representative and the employing agency of the
decision.
(b)(1) Under the discretionary authority granted by 5 U.S.C.
8128(a), the Office may review an award for or against the payment of
compensation on application of the claimant. No formal application for
review is required, but the claimant must make a written request
identifying the decision and the specific issue(s) within the decision
which the claimant wishes the Office to reconsider, and give the reasons
why the decision should be changed. Where the decision or issue cannot
be reasonably determined from the claimant's application for review, the
application will be returned to the claimant for clarification without
further action by the Office with respect to the application. The
claimant may obtain review of the merits of the claim by --
(i) Showing that the Office erroneously applied or interpreted a
point of law, or
(ii) Advancing a point of law or a fact not previously considered by
the Office, or
(iii) Submitting relevant and pertinent evidence not previously
considered by the Office.
(2) Any application for review of the merits of the claim which does
not meet at least one of the requirements listed in paragraphs (b)(1)
(i) through (iii) of this section will be denied by the Office without
review of the merits of the claim. Such a denial of application is not
subject to review under this section or to hearing under 10.131.
Further, the Office will not review under this paragraph a decision
denying or terminating a benefit unless the application is filed within
one year of the date of that decision. Where proper application is
submitted and the Office finds that merit review of the claim is
warranted, the Office shall furnish the employing agency with a copy of
the claimant's application for reconsideration and allow 15 days for the
agency to submit any comments and/or documents which it believes
relevant and material to the issue in question. Any comments or
materials submitted by the agency are subject to review and comment by
the claimant within 15 days following the date the Office sends any such
agency submission to the claimant. The Office shall then review the
decision and any agency submission, decide the claim, and inform the
claimant, the claimant's representative and the employing agency of the
decision.
(52 FR 10512, Apr. 1, 1987)
20 CFR 10.139 Review by the Employee's Compensation Appeals Board.
Final decisions of the Office, except decisions concerning the
amounts payable for medical services, and decisions concerning exclusion
and reinstatement of medical providers, are subject to review by the
Employees Compensation Appeals Board (ECAB), U.S. Department of Labor,
under rules of procedure set forth in Part 501 of this title.
(49 FR 18978, May 3, 1984. Redesignated at 52 FR 10512, Apr. 1, 1987)
20 CFR 10.140 Participation in claims process by employing agency.
Proceedings conducted with respect to claims filed under the Act are
nonadversary in character. Accordingly, a claimant's employing agency
shall not have the right, except as provided in Subpart C of this part,
to actively participate in the claims adjudication process. However,
the employing agency may, under circumstances other than that described
in 10.102(b), investigate the circumstances surrounding an injury to an
employee and the extent of disability (e.g., an agency may investigate
an employee's activities where it appears the employee alleging total
disability may be performing other employment or may be engaging in
activities which would indicate less than total disability). Further,
the agency has the responsibility to submit to the Office at any time
all relevant and probative factual and medical evidence in its
possession or which it may acquire through investigation or other means.
All evidence submitted will be considered and acted upon by the Office
as appropriate, and the Office will inform the claimant, the claimant's
representative and the employing agency of such action. In those
instances where an employing agency contests a claim at time of initial
submission and the claim is subsequently approved, the Office will
notify the agency of the rationale for approving the claim.
(52 FR 10513, Apr. 1, 1987)
20 CFR 10.141 Representation of the Director.
The Director shall be represented in proceedings with respect to any
claim conducted before the Employees' Compensation Appeals Board (ECAB)
by attorneys from the Office of the Solicitor of Labor.
(52 FR 10513, Apr. 1, 1987)
20 CFR 10.142 Representation of claimants.
Any claimant may appoint an individual to represent his or her
interest in any proceeding for determination of a claim under this part.
Such appointment shall be made in writing or on the record at the
hearing. A written notice appointing a representative shall be signed
by the claimant or his or her legal guardian and shall be sent to the
Office. In any case such representative must be qualified under
10.143.
20 CFR 10.143 Qualification of representative.
(a) Attorney. Any attorney in good standing who is admitted to
practice before a court of a State, territory, district, or insular
possession or before the Supreme Court of the United States or other
Federal court and is not, pursuant to any provision of law, prohibited
from acting as a representative may be appointed as a representative.
(b) Other person. Any other person with the approval of the Office
may be appointed as a representative so long as that person is not,
pursuant to any provision of law, prohibited from acting as a
representative.
20 CFR 10.144 Authority of representative.
A representative, appointed and qualified as provided in this part,
may make or give on behalf of the claimant any request or notice
relative to any proceeding before the Office under the Act, including
hearing and review. A representative shall be entitled to present or
elicit evidence and to make allegations as to facts and law in any
proceeding affecting the claimant and to obtain information with respect
to the claim to the same extent as the claimant. Notice to any claimant
of any administrative action, determination, or decision, or request to
any party for the production of evidence shall be sent to the
representative, and the notice or request shall have the same force and
effect as if it has been sent to the claimant.
(52 FR 10513, Apr. 1, 1987)
20 CFR 10.145 Fees for services.
(a) No fee for representation services rendered in respect to a claim
under this part shall be valid, unless prior approval of such fee has
been obtained from the Office.
(b) The fee approved by the Office will be determined on the basis of
the actual necessary work performed and will generally include but are
not limited to the following factors:
(1) Usefulness of the representative's services to the claimant.
(2) The nature and complexity of the claim.
(3) The actual time spent on development and presentation of the
claim.
(4) The amount of compensation accrued and potential future payments.
(5) Customary local charges for similar services.
(6) Professional qualifications of the representative.
(c) In every case where a representative's fee is desired, an
application for approval of the fee shall be made to the Office. The
application should be made when the representative has submitted the
final piece of information believed necessary for the adjudication of
the claim. Each request for approval of a fee shall be accompanied by a
complete itemized statement, in duplicate, describing the services
rendered. Such itemization shall contain the following information:
(1) The dates that services began and ended in addition to all dates
on which conferences were held, documents or letters prepared, telephone
calls made, etc.
(2) A description of each service rendered with the amount of time
spent on each type of service.
(3) The amount of the fee which the representative desires for
services performed.
(4) The amount of fees requested, charged or received for services
rendered on behalf of the claimant before any State or Federal court or
agency, in a similar or related matter.
(5) A statement explaining the basis for the amount of the fee
requested.
(d) The representative shall arrange for the claimant to review the
request for a fee and to comment as to the services provided and as to
the reasonableness of the fee. The claimant's written comments should
accompany the application for approval of a fee submitted to the Office.
(e) In considering any request for such a fee, the Office will not
recognize such items as:
(1) Work performed before any other State or Federal agency or court
including the Employees' Compensation Appeals Board, and any State or
Federal Court.
(2) Any contract for the payment of an agreed sum or any contingent
contract.
(3) Expenses incurred by the representative for services performed.
(f) The Office will not pay or assist in the collection of any
representative fee. Neither will compensation payments be routinely
forwarded to the representative with or without the claimant's approval.
(g) Any claimant aggrieved or adversely affected by an award of a fee
may request a hearing or reconsideration by the Office, or may request
review by the Employees' Compensation Appeals Board.
(h) A representative aggrieved or adversely affected by an award of a
fee may request review by the Employees' Compensation Appeals Board.
(i) Any person who receives a fee, other consideration or gratuity on
account of services rendered with respect to a claim under this part,
unless approved by the Office, or who solicits employment for himself or
another in respect to a case or claim under (or to be brought under)
this Act shall be guilty of a misdemeanor under 18 U.S.C. 292 and upon
conviction of each offense, will be punished by a fine of not more than
$1,000 or imprisoned not to exceed 1 year, or both. Utilization of an
escrow deposit of funds by a representative for the deposit of a
client's funds, prior to approval by the Office of the representative's
fee, is not considered receipt or collection of a fee by the
representative; provided, the escrow deposit of funds is one made by
the claimant/client into the hands of a third party to be held by that
third party until receipt of the Office's approval of the
representative's fee, and then delivered by the third party to the
representative in accordance with the decision of the Office and the
provisions of the escrow agreement.
(Approved by the Office of Management and Budget under control number
1215-0115)
(40 FR 6877, Feb. 14, 1975, as amended at 47 FR 145, Jan. 5, 1982;
52 FR 10513, Apr. 1, 1987)
10.146 -- 10.149 (Reserved)
20 CFR 10.150 Statement relative to substantive rules.
(a) The principal function of the Office and its subordinate parts is
that of adjudicating claims for workers' compensation. This function is
quasijudicial in character and involves the application of statutes and
principles of law to resolve factual situations. This field of activity
is within the specialized branch of the law generally referred to as
''workers' compensation,'' and has its own particularized principles
which have general applicability to workers' compensation statutes
(State and Federal), as such statutes have certain common or underlying
similarity in respect to the meaning of terms and phrases, and in
respect to scope, jurisdiction, and general basic concepts of employer
liability.
(b) In the administration of the Act, the Office has one general
policy, which is to follow and to adhere to the principles of workers'
compensation law as stated in the opinions of the Supreme Court, the
Federal Circuit Courts of Appeal, and the District Courts of the United
States, as they may appropriately be applied or have been determined by
the Employees' Compensation Appeals Board (ECAB) to apply in like
situations arising under the Act. In addition, decisions and opinions
of the judicial tribunals of the several States furnish principles of
law of general applicability in the specialized field of workers'
compensation, which form parts of the foundation of general principles
relied upon in the application and interpretation of the Act. The
Office applies the provision of the Act applicable in respect to a
particular case or situation, to the extent that such provision can
readily be applied without extrinsic aid, but where such aid is
necessary the source thereof is the body of principles embodied in
authoritative decisions of the courts and the ECAB within such
well-recognized branch of the law.
20 CFR 10.150 Representative Payment
Source: Sections 10.160 through 10.166 appear at 52 FR 10514 --
10515, Apr. 1, 1987, unless otherwise noted.
20 CFR 10.160 Indications for designation of a representative payee.
When the Office determines that a beneficiary is incapable of
managing or directing the management of benefits either because of a
mental or physical disability, or because of legal incompetence, or
because the individual is under 18 years of age, the Office in its sole
discretion may approve an individual designated or appointed to serve as
the representative payee for funds due the eligible beneficiary.
20 CFR 10.161 Selection of a payee.
(a) In approving a payee, the Office shall approve the person,
agency, organization or institution which, in its judgment, will best
serve the interest of the beneficiary. In making its decision the
Office shall consider:
(1) The relationship of the person to the beneficiary;
(2) The amount of interest that the person shows in the welfare of
the beneficiary;
(3) Any legal authority the person, agency, organization or
institution has to act on behalf of the beneficiary;
(4) Whether the potential payee has custody of the beneficiary;
(5) Whether the potential payee is in a position to know of and to
look after the needs of the beneficiary.
(b) For beneficiaries 18 years old or older, the general order of
preference subject to the provisions of paragraph (a) of this section,
shall be
(1) A legal quardian, spouse or other relative who has custody of the
beneficiary or who demonstrates strong concern for the personal welfare
of the beneficiary;
(2) A friend who has custody of the beneficiary or demonstrates
strong concern for the personal welfare of the beneficiary;
(3) A public or nonprofit agency or institution having custody of the
beneficiary;
(4) A private institution operated for profit and licensed under
State law which has custody of the beneficiary; and
(5) Persons other than above who are qualified to carry out the
responsibilities of a payee and who are able and willing to serve as a
payee for a beneficiary.
(c) For beneficiaries under age 18, the general order of preference
subject to the provisions of paragraph (a) of this section shall be --
(1) A biological or adoptive parent who has custody of the
beneficiary, or a legal guardian;
(2) A biological or adoptive parent who does not have custody of the
beneficiary, but is contributing to the beneficiary's support and is
demonstrating strong concern for the beneficiary's well-being;
(3) A biological or adoptive parent who does not have custody of the
beneficiary and is not contributing toward his or her support, but is
demonstrating strong concern for the beneficiary's well-being;
(4) A relative or stepparent who has custody of the beneficiary;
(5) A relative who does not have custody of the beneficiary but is
contributing toward the beneficiary's support and is demonstrating
concern for the beneficiary's well-being;
(6) A relative or close friend who does not have custody of the
beneficiary but is demonstrating concern for the beneficiary's
well-being; and
(7) An authorized social agency or custodial institution.
20 CFR 10.162 Responsibilities of a representative payee.
A representative payee has a responsibility to --
(a) Spend or invest payments received only for the use and benefit of
the beneficiary in a manner and for the purposes he or she determines to
be in the best interests of the beneficiary, subject to the guidelines
contained in 10.163;
(b) Notify the Office of any event that would affect the amount of
benefits the beneficiary receives or the right of the beneficiary to
receive benefits;
(c) Submit to the Office, upon its request, a written report
accounting for the benefits received; and
(d) Notify the Office of any change in the payee's circumstances that
would affect performance of the payee's responsibilities.
20 CFR 10.163 Use of benefit payments.
To assure that the general welfare of the beneficiary is properly
served, benefit payments received by a representative payee shall be
used in the following manner, and in the prescribed order:
(a) Current maintenance, including costs incurred in obtaining food,
shelter, clothing, medical care, and personal comfort items.
(b) Institutional care, including the customary charges made by the
institution, as well as expenditures for those items which will aid in
the beneficiary's recovery or release from the institution or expenses
for personal needs which will improve the beneficiary's conditions while
in the institution.
(c) Support of the beneficiary's legal dependents after current
maintenance needs or institutional care of the beneficiary are met; and
(d) Claims of creditors only if the current and reasonably
foreseeable needs of the beneficiary are met.
20 CFR 10.164 Conservation and investment of benefit payments.
If payments either in whole or in part are not needed for any of the
purposes listed in 10.163 of this part, they shall be conserved or
invested on behalf of the beneficiary in non-speculative accounts.
Conserved funds should be invested in accordance with rules followed by
trustees. Any investment must show clearly that the payee holds the
property in trust for the beneficiary. Preferred investments for excess
funds are U.S. Savings Bonds and deposits in an interest or dividend
paying account in a bank, trust company, credit union, or savings and
loan association which is insured under either Federal or State law.
The account must be in a form which shows clearly that the
representative payee has only a fiduciary and not a personal interest in
the funds. The account should provide for withdrawal upon demand
without penalty. The interest and dividends, as well as all other
profits, which result from an investment are the property of the
beneficiary and may not be considered to be the property of the payee.
20 CFR 10.165 Termination of representation.
The services of a representative payee may be terminated when:
(a) The payee has not used the funds in the interests of the
beneficiary as stipulated in this subpart;
(b) The payee has not discharged other responsibilities described in
this subpart, or has not done so in a timely manner;
(c) The payee dies, wishes to be discharged from responsibility, or
is unable to carry out the responsibilities of payee;
(d) The Office, after receipt of competent evidence, determines that
the beneficiary is capable of managing his or her own funds; or
(e) A minor beneficiary attains majority.
20 CFR 10.166 Accounting for benefit payments.
A representative payee is accountable for the use of benefit
payments. The Office may require periodic written reports from the
representative payee, and in certain cases, verification of how the
funds were used. The representative payee shall keep records of how the
funds were used so as to be able to furnish the following information to
the Office:
(a) The amount of benefit payments on hand at the beginning of the
accounting period;
(b) A description of how the benefit payments were used;
(c) An accounting of the amounts of payments which were saved or
invested;
(d) The place(s) of residence of the beneficiary during the
accounting period; and
(e) The amount of the beneficiary's income from other sources during
the accounting period so as to assist the Office in evaluating the use
of the benefit payments.
20 CFR 10.166 Subpart C -- Continuation of Pay
20 CFR 10.166 General
20 CFR 10.200 Statutory provisions.
(a) Pub. L. 93-416, approved September 7, 1974, significantly
revised the Act to provide that specified employees who file a claim for
a period of wage loss caused by a traumatic injury shall be entitled,
under certain circumstances, to have their regular pay continued for a
period not to exceed 45 days.
(b) Continuation of pay shall be considered regular income and not
compensation and unlike compensation, shall be subject to all taxes and
other payroll deductions applicable to regular income.
(52 FR 10515, Apr. 1, 1987)
20 CFR 10.200 Procedures
20 CFR 10.201 Right to continuation of pay.
(a) An employee is not entitled to continuation of pay unless:
(1) The employee is one of the types of employees listed in
10.5(a)(11)(i), (iii), or (v), except that an individual selected
pursuant to Chapter 121 of Title 28 and serving as a petit or grand
juror but who is not otherwise an employee of the United States is not
entitled to continuation of pay;
(2) The employee sustains a traumatic job-related injury;
(3) The employee files claim for a period of wage loss, as required
by 5 U.S.C. 8118(a), within 30 days of the injury on a form approved by
the Secretary. (Form CA-1 may be used for this purpose.); and
(4) The employee's disability begins within 90 days of the date of
injury.
(b) An employee entitled to continuation of pay shall have regular
pay continued without a break in time for a period not to exceed 45
calendar days of disability, unless the right to continuation of pay is
controverted and pay is terminated under 10.203 or is terminated under
10.204. Where the employee stops work due to the disabling effects of
the injury, the 45-day period starts with the first day or shift
following the date or shift of injury during which the claimant is
disabled, provided the disability begins within 90 days of the
occurrence of the injury. With regard to the date of injury, the
employing agency will keep the employee in a pay status for any fraction
of the day or shift of injury for which the employee was disabled with
no ''charge'' to the 45-day period. If the employee stops work for a
part of a day or shift other than the day or shift of injury, that day
or shift will be considered one calendar day for the purpose of counting
45 days. If a disabled employee returns to work with duties other than
the duties performed at the time of injury, continuation of pay is
chargeable only when there has been a formal assignment to an
established job which is normally paid at a lower salary and would
otherwise result in loss of income to the employee. Continuation of pay
must be charged against the employee's 45-day entitlement when, due to
the effects of the injury upon the employee, (1) A personnel action has
been taken to assign or detail the employee to an identified position
for which a position description exists which is classified at a lower
salary level than that earned by the employee when injured; or (2) a
personnel action has been taken to change the employee to a lower grade,
or to a lower rate of basic pay. When, due to the effects of the
injury, an employee is changed to a different schedule of work which
results in loss of salary or premium pay (e.g., Sunday pay or night
differential) authorized for the employee's normal administrative
workweek, the employee is entitled to continuation of pay for such wage
loss. If the employee's job-related disability continues after
entitlement to continuation of pay ceases, the employee shall be
entitled to receive compensation subject to the provisions of 5 U.S.C.
8117.
(c) Where an employee's pay is continued under this subpart, it shall
not be interrupted as a part of a disciplinary action, nor shall it be
terminated as a result of a disciplinary action which terminates
employment unless final written notice of termination of employment for
cause was issued to the employee prior to the date of injury.
(d) The administration and interpretation of the Act, including
section 8118 of the Act, is the function of the Office. While the
employing agency shall make certain preliminary decisions with respect
to an employee's entitlement to pay continuation under this subpart,
final determinations as to such entitlement are a function of the
Office.
(e) If the Office finds that the employee is not entitled to
continuation of pay after it has been paid, the payments, at the
employee's option, shall be charged to annual or sick leave or
considered overpayments of pay under 5 U.S.C. 5584.
(f) If the Office determines that pay has been continued at an
incorrect rate, the Office shall notify the employing agency and the
employee of the correct rate of pay, and the employing agency shall make
the necessary adjustment.
(52 FR 10515, Apr. 1, 1987)
20 CFR 10.202 Election of annual or sick leave.
An employee may use accumulated annual or sick leave, or such leave
as may be advanced by the employing agency, instead of claiming
continuation of pay; however, the time provisions of 5 U.S.C. 8117,
governing the date upon which an employee's entitlement to compensation
begins, do not begin to run until the use of annual or sick leave ends.
The ''buy back'' provisions specified in 10.310 may not be used to
repurchase the leave taken while an employee was otherwise eligible for
pay continuation as provided by this subpart. An election to use annual
or sick leave is not irrevocable and an employee may subsequently
request continuation of pay in lieu of previously requested annual or
sick leave; however, such request must be made within one year of the
date the leave was used or the date of the Office's approval of the
claim, whichever is later. Where an employee is eligible, the employing
agency shall, subject to the 45-day limitation, convert and restore the
leave previously used and, if any of the 45 days of COP remains unused,
shall continue pay prospectively. The use of leave may not be used to
delay or extend the 45-day continuation of pay period or to otherwise
affect the time limitations as provided by section 8117. Therefore,
where leave is used during a period when COP is otherwise payable, and
the employee does not request that such leave be converted and restored,
the 45 days will be counted as though the employee had been in a
continuation of pay status.
(52 FR 10516, Apr. 1, 1987)
20 CFR 10.203 Controversion by employing agency.
(a) With respect to continuation of pay under 5 U.S.C. 8118, the
employing agency shall, on the basis of information submitted by the
employee, or secured on investigation, controvert a claim and terminate
an employee's pay only if:
(1) The disability is caused by an occupational disease or illness;
or
(2) The employee is the type employee defined by 10.5(a)(11) (ii) or
(iv), or is an individual selected pursuant to Chapter 121 of Title 28
and serving as a petit or grand juror and who is not otherwise an
employee of the United States;
(3) The employee is neither a citizen nor a resident of the United
States or Canada; or
(4) The injury occurred off the employing agency's premises and the
employee was not performing official duties; or
(5) The injury was caused by the employee's willful misconduct, or
the employee's intent to kill or injure himself or herself or another
person, or was proximately caused by the employee's intoxication by
alcohol or illegal drugs; or
(6) A written claim for wage loss required by 5 U.S.C. 8118(a) was
not filed within 30 days after the date of injury; or
(7) The employee first stopped work as a result of the injury more
than 90 days following the injury; or
(8) The employee reports the injury after employment has terminated;
or
(9) The employee is enrolled in the Civil Air Patrol, Peace Corps,
Job Corps, Youth Conservation Corps, Work Study Programs, or another
similar group.
(b) If for reasons other than those listed in paragraph (a) of this
section, the agency believes the employee is not entitled to
continuation of pay, the agency may controvert an employee's right to
continuation of pay; however, the employee's regular pay must be
continued and may not be interrupted during the 45-day period unless the
controversion is sustained by the Office and the agency is so notified,
or unless entitlement ceases under the provisions of 10.204 of this
subpart.
(c) To controvert a claim for continuation of pay, the employing
agency shall complete the appropriate section of Form CA-1 and submit
detailed information in support of the controversion to the Office.
(d) If the Office determines that the employing agency has
incorrectly controverted and terminated the employee's pay, the Office
shall notify the agency and the employee's pay shall be continued for a
period not to exceed 45 days or as otherwise directed by the Office, and
the Office shall notify the agency to convert periods of sick or annual
leave or leave without pay to COP.
(52 FR 10515, Apr. 1, 1987)
20 CFR 10.204 Termination and forfeiture of continuation of pay.
(a) Where pay is continued after an employee stops work due to a
disabling traumatic injury, such pay shall be terminated if:
(1) Within 10 work days after the date the employee submits claim for
continuation of pay, including such claim for a recurrence of
disability, the employing agency has not received prima facie medical
evidence that the employee sustained a disabling traumatic injury,
except that pay shall be continued without interruption in the absence
of such medical evidence if investigation shows to the official
superior's satisfaction that the employee sustained a disabling
traumatic injury. Where medical evidence is received by the agency more
than 10 work days after claim is made for continuation of pay, the
agency shall continue the employee's pay retroactive to date of
termination provided the medical evidence supports injury-related
disability beyond the 10 work-day period, and restore to the employee's
account any annual or sick leave the employee may have used during that
period. The provisions of this paragraph also apply to periods of
recurrent disability as described in 10.208; or
(2) The employing agency receives evidence that the attending
physician has found the employee no longer disabled (i.e., the employee
can perform the duties of the position held at the time of injury); or
(3) The employing agency receives evidence that the attending
physician has found the employee to be partially disabled and the
employee refuses suitable work which has been offered by the agency in
accordance with 10.207, or fails to respond to such offer within 5 work
days of receipt of the offer; or
(4) The employee's scheduled period of employment expires or
employment is otherwise terminated, provided the date of termination of
employment is established prior to the date of injury. (See also
10.201(c)); or
(5) The employing agency receives notification from the Office that
pay should be terminated; or
(6) The 45-day continuation of pay period expires.
(b) When an employee refuses to submit to or obstructs an examination
required by the Office under the provisions of 5 U.S.C. 8123(a), the
right to continuation of pay under this subpart may be suspended until
the refusal or obstruction stops. Pay otherwise paid or payable under
this subpart for the period of the refusal or obstruction may be
forfeited and, where already paid, is subject to the provisions of
10.201(e).
(c) If the Office determines that the employing agency has
incorrectly terminated the employee's pay or selected an incorrect date
of termination, the Office shall instruct the agency to take appropriate
corrective action.
(52 FR 10516, Apr. 1, 1987)
20 CFR 10.205 Pay defined for continuation of pay purposes.
(a) For a full or part-time worker, either permanent or temporary,
who works the same number of hours each week of the year, or each week
of the period of appointment if less than one year, the weekly pay rate
shall be the hourly pay rate on the date of injury multiplied by the
number of hours worked each week, excluding overtime.
(b) For a part-time worker, either permanent or temporary, who does
not work the same number of hours each week but who does work each week
of the year, or each week of the period of appointment if less than one
year, the weekly pay rate shall be the average weekly earnings
established by dividing the total earnings during the one year
immediately preceding the date of injury, excluding overtime, by the
number of weeks worked during the one year period. For the purposes of
this computation, if the employee worked only a part of a workweek, such
week is counted as one week.
(c) For all WAE (when actually employed), intermittent and part-time
workers, either permanent or temporary, who do not work each week of the
year, or each week of the period of appointment if less than one year,
the weekly pay rate shall be the average weekly earnings established by
dividing the total earnings during the one year immediately preceding
the date of injury, excluding overtime, by the number of weeks worked
during that one year period. For the purposes of this computation, if
the employee worked only a part of a workweek, such week is counted as
one week. However, the average weekly earnings may not be less than 150
times the average daily wage earned in the employment during the days
employed within the one year period immediately preceding the date of
injury divided by 52 weeks.
(d) Premium, Sunday and holiday pay, night and shift differential, or
other extra pay shall be included when computing wages for continuation
of pay, but overtime pay shall not be included.
(e) Changes in pay or salary which would have otherwise occurred
during the 45-day period (e.g., promotion, within-grade increase,
demotion, termination of a temporary detail, etc.) are to be reflected
in the continuation of an employee's pay under this subpart, and are to
take effect at the time the event would otherwise have occurred.
(52 FR 10516, Apr. 1, 1987)
20 CFR 10.206 Agency accounting and reporting of continuation of pay.
(a) Pending development of a system within the Office for directly
capturing and tabulating data on continuing payments to employees under
5 U.S.C. 8118, each agency and instrumentality of the United States
having an employee who is in a continuation of pay status during the
calendar quarter shall submit a report to the Office within 30 days
after the end of each quarter (address: Director, Office of Workers'
Compensation Programs, U.S. Department of Labor, Washington, DC 20210).
(b) Quarterly reports are to include data on all continuation of pay
cases paid in the quarter for only those employees who have returned to
work or exceeded the 45-day period by the last pay date of the reporting
agency or instrumentality during the quarter (employees who have not
returned to work or exceeded the 45-day period by the last pay date of
the quarter are to be reported in the following quarter).
(c) Reported summary data for employees returning to work during the
quarter is to include:
(1) Total number of employees provided such continuation of pay.
(2) Total number of workdays or shifts (full workdays) for which
these employees were paid during the quarter (and the earlier quarter if
return to work did not occur during such earlier quarter).
(3) Total amount paid to all employees during the quarter (and the
earlier quarter if return to work did not occur during such earlier
quarter).
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10517, Apr. 1, 1987)
20 CFR 10.207 Official superior's responsibility in continuation of pay
cases.
(a) Upon receiving notice that an employee has suffered an
employment-related traumatic injury, an official superior shall:
(1) Promptly authorize medical care in accordance with Subpart E of
this part;
(2) Provide the employee with Form CA-1 for reporting the injury and
upon receipt of the completed form, return to the employee the ''Receipt
of Notice of Injury'';
(3) Fully advise the employee of the right to elect continuation of
regular pay or use annual or sick leave, if the injury is disabling;
(4) Advise the employee that prima facie medical evidence of a
disabling traumatic injury must be submitted to the official superior
within 10 work days of the date disability begins or pay may be
terminated in accordance with 10. 204(a)(1);
(5) Inform the employees whether continuation of pay will be
controverted, and, if so, whether pay will be terminated and the basis
for the controversion and termination of pay;
(6) Submit Form CA-1, completed by the employee and official
superior, and all other available pertinent information to the Office as
soon as possible, but no later than 10 work days after the official
superior has received Form CA-1. If the claim is controverted, the
official superior will provide an explanation on Form CA-1 or in a
separate narrative statement or both.
(b) Upon authorization of medical care, the official superior shall
advise the employee of his or her obligation to return to work as soon
as possible and:
(1) Where the agency has specific alternative positions available for
partially disabled employees, the agency shall furnish the employee with
a written description of the specific duties and physical requirements
of those positions;
(2) Where, in addition to any specific alternative positions, the
agency is willing to accommodate the limitations and restrictions
imposed on the employee by the injury, shall so advise the employee;
and
(3) Shall advise the employee of his or her responsibilities under
10.209 of this subpart.
(c) The employing agency shall monitor the employee's medical
progress and duty status by obtaining periodic medical reports. Form
CA-17 is provided for this purpose. Additional information or
clarification may be obtained by the agency through telephone contact
with the employee's attending physician provided such contact is by a
physician or nurse who is an employee of the agency, or by an
appropriate supervisory official.
(d) Where the employing agency is notified that the attending
physician has found the employee to be partially disabled, and the
employee is able to:
(1) Perform one of the specific alternative positions referred to in
10.207(b)(1), the employing agency shall notify the employee immediately
of the description of the job and its physical requirements and of the
date the job will be available. To facilitate early return to work, the
agency may contact the employee by telephone, but must provide written
confirmation of availability as soon as possible thereafter. A complete
copy of the offer, including the description of the duties of the job,
the physical requirements and the date of availability, should be sent
to the Office at the same time as it is sent to the employee.
(2) Perform restricted or limited duties referred to in
10.207(b)(2), the employing agency shall determine whether duties
suitable to the employee's limitations and restrictions are available,
and if so, advise the employee in writing of the duties, their physical
requirements and availability. To facilitate early return to work, the
agency may contact the employee by telephone, but must provide written
confirmation of the offer as soon as possible thereafter. A complete
copy of any offer made to the employee should also be sent to the Office
at the same time as it is sent to the employee.
(The information collection requirements contained in paragraph (c)
were approved by the Office of Management and Budget under control
number 1215-0103)
(52 FR 10517, Apr. 1, 1987)
20 CFR 10.208 Recurrence of disability.
(a) If an employee claims a recurrence of disability, the official
superior shall promptly complete Form CA-2a. The employee shall request
on Form CA-2a to continue to receive regular pay or to charge the
absence to sick or annual leave.
(b) Where the employee requests continuation of pay, the official
superior shall continue pay if:
(1) The original claim of disability has not been denied by the
Office; and
(2) Pay has not been continued for the entire 45 days; and
(3) The disability recurs within 90 days of the date the employee
first returned to work following the initial period of disability.
(c) If the employee's pay has been continued for 45 days, or
disability recurs more than 90 days after the employee first returns to
work, the employee is entitled to compensation only, provided the claim
is approved by the Office, and the employing agency may not continue
regular pay. An employee who is no longer entitled to continuation of
pay should file a claim for compensation on Form CA-7 or CA-8.
(52 FR 10517, Apr. 1, 1987)
20 CFR 10.209 Employee's responsibilities in continuation of pay cases.
(a) An employee who sustains a traumatic job-related injury, or
someone acting on the employee's behalf, shall complete and submit the
employee's portion of Form CA-1 to the official superior as soon as
possible but no later than 30 days after the date of injury. An
employee shall elect on Form CA-1 either to receive continuation of pay
or use sick or annual leave while disabled for work as a result of the
injury. (See 10.201 and 10.202.)
(b) An employee has the responsibility of submitting, or arranging
for the submission of, prima facie medical evidence of a traumatic
disabling injury to the employing agency within 10 work days after
claiming continuation of pay. Under the provisions of 10.204(a)(1) of
this subpart, the lack of receipt of such evidence by the employing
agency within that time may serve as sufficient reason for termination
of continuation of pay, subject to reinstatement upon receipt of such
evidence.
(c) Where the agency has advised of the existence of specific
alternative positions, the employee shall furnish the description of
such alternative positions to the attending physician and inquire
whether and when the employee will be able to perform such duties. The
employee must furnish the employing agency with a copy of the
physician's response.
(d) Where the agency has advised of its willingness to accommodate
where possible the employee's work limitations and restrictions, the
employee shall so advise the attending physician and request the
attending physician to specify the limitations and restrictions imposed
by the injury. The employee has the responsibility to advise the
employing agency immediately of the limitations and restrictions
imposed.
(e) Where an employee has been offered duties within the limitations
and restrictions imposed by the physician, the employee is obligated to
return to duty. Where an employee refuses such an offer of suitable
work, entitlement to continuation of pay ceases as of the effective date
of availability of such work.
(f) Where the Office determines that, due to the failure of the
employee to meet his or her obligations and responsibilities under this
section, pay was continued beyond the date it would otherwise have
terminated, the Office will advise the official superior and the
employee of the period of disability which is approved, and the official
superior may require the employee to resolve any overpayment in
accordance with 10.201(e) of this subpart.
(g) Where return to suitable work results in a loss of pay such as
premium pay, Sunday pay, holiday pay, night or shift differential, etc.,
continuation of pay will be granted for the lost elements of pay (see
10.205(d) of this subpart).
(52 FR 10518, Apr. 1, 1987)
20 CFR 10.209 Subpart D -- Payment of Compensation
20 CFR 10.209 Compensation Rates
20 CFR 10.300 Maximum and minimum compensation.
(a) Disability. Compensation for disability may not exceed 75
percent of the monthly pay of the highest step of grade 15 of the
General Schedule, except insofar as provided in paragraph (c) below.
For total disability, it may not be less than 75 percent of the monthly
pay of the first step of grade 2 of the General Schedule or actual pay,
whichever is less.
(b) Death. Compensation for death is computed on a minimum pay equal
to the first step of grade 2 of the General Schedule. The total
compensation may not exceed the employee's pay or 75 percent of the
monthly pay of the highest step of grade 15 of the General Schedule,
except that compensation is allowed to exceed the employee's monthly pay
if such excess is created by authorized cost of living increases.
(c) Exclusion from maximum compensation rate. The provisions in
paragraph (a) above concerning the maximum rate of compensation do not
apply to any employee whose disability is a result of an assault which
occurs during an assassination or attempted assassination of a Federal
official described under section 351(a) or 1751(a) of title 18, and was
sustained in the performance of duty.
(40 FR 6877, Feb. 14, 1975, as amended at 54 FR 52024, Dec. 20, 1989)
20 CFR 10.301 Temporary total disability rate.
(a) Compensation based on loss of wages is payable, subject to the
provisions of 5 U.S.C. 8117, after the expiration of continuation of pay
as provided by Subpart C of this part or from the beginning of pay loss
in all other cases.
(b) When an injured employee loses pay due to temporary total
disability resulting from an injury, compensation is payable at the rate
of 66 2/3 percent of the pay rate established for compensation purposes.
The compensation rate is increased to 75 percent when there are one or
more dependents. Dependents include a wife or husband; an unmarried
child under 18 years of age or if over 18, incapable of self-support, or
a student (until reaching 23 years of age or completing four years of
school beyond the high school level); or a wholly dependent parent.
Compensation begins when the employee starts to lose pay if the injury
causes permanent disability or if there is pay loss for more than 14
days, otherwise compensation begins on the fourth day after pay stops.
Compensation may not be paid while an injured employee receives pay for
leave or is otherwise in a continuation of pay status. The employee has
the right to elect whether to receive pay for leave or to receive
compensation.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10518, Apr. 1, 1987)
20 CFR 10.302 Permanent total disability rate.
When the injury causes permanent total disability, an injured
employee is entitled to total disability compensation until death unless
the employee is medically or vocationally rehabilitated to either full
or partial earning capacity. The loss of use of both hands, both arms,
both feet, or both legs, or the loss of sight of both eyes is prima
facie evidence of permanent total disability. However, the presumption
of permanent total disability as a result of such loss is rebuttable by
evidence to the contrary, such as evidence of sustained work and
earnings despite the loss. Compensation for permanent total disability
is payable at the rate of 66 2/3 percent of the pay rate established for
compensation purposes, or at 75 percent when where is a dependent (see
10.301(b) of this section).
(52 FR 10518, Apr. 1, 1987)
20 CFR 10.303 Partial disability rate.
(a) An injured employee who is unable to return to the position held
at the time of injury (or to earn equivalent wages) but who is not
totally disabled for all gainful employment is entitled to compensation
computed on loss of wage-earning capacity. Compensation for partial
disability is payable at 66 2/3 percent (or at 75 percent if the
employee has a dependent) of the difference between the employee's pay
rate for compensation purposes and the employee's wage-earning capacity.
A narrative description of the formula used by the Office to compute
the compensation payable is contained in paragraph (b) of this section.
In determining the compensation payable for partial disability, an
employee's wage-earning capacity is determined by the employee's actual
earnings if those earnings fairly and reasonably represent the
wage-earning capacity. If the actual earnings do not fairly and
reasonably represent the employee's wage-earning capacity or if the
employee has no actual earnings, the employee's wage-earning capacity
shall be determined by the Office by selection of a job after having
given due regard to the nature of the employee's injury, the degree of
physical impairment, the employee's usual employment, the employee's
age, the employee's qualification for other employment, the availability
of suitable employment, and other factors or circumstances which may
affect the employee's wage-earning capacity in his or her disabled
condition. The salary of such a job shall be considered the employee's
wage-earning capacity. The Office will not secure employment for the
claimant in the position selected for establishing an earning capacity.
(b) For the purpose of describing the formula utilized by the Office
for computing the compensation payable for partial disability, the
following terms are defined: pay rate for compensation purposes is as
defined in 10.5(a)(20) of this part; current pay rate means
''current'' salary or pay rate for the job held at the time of injury;
and earnings means the claimant's actual earnings, or the salary or pay
rate of the job selected by the Office as representative of the
employee's wage-earning capacity. An employee's wage-earning capacity
in terms of percentage is obtained by dividing the employee's earnings
by the current pay rate. The comparison of earnings and ''current'' pay
rate for the job held at the time of injury need not be made as of the
beginning of partial disability. Any convenient date may be chosen by
the Office for making the comparison as long as the two wage rates are
in effect on the date used for comparison. The employee's wage-earning
capacity in terms of dollars is computed by multiplying the pay rate for
compensation purposes by the percentage of wage-earning capacity and the
resulting dollar amount is subtracted from the pay rate for compensation
purposes to obtain the employee's loss of wage-earning capacity.
Compensation for partial disability is payable at the rate of 66 2/3
percent (or at 75 percent if the employee has a dependent) of this loss
of wage-earning capacity. The compensation payable shall be increased
by applicable cost-of-living adjustments.
(52 FR 10518, Apr. 1, 1987)
20 CFR 10.304 Schedule compensation rate.
(a) Compensation is provided for specified periods of time for the
permanent loss or loss of use (referred to as impairment) of each of
certain members, organs and functions of the body. Compensation for
proportionate periods of time is payable for partial loss or loss of use
of each member, organ or function. The compensation for scheduled
awards will equal 66 2/3 percent of the employee's pay or 75 percent of
the pay when there is a dependent. Compensation for loss of
wage-earning capacity may be paid after the schedule expires. Proper
and equitable compensation not to exceed $3,500 may be paid for serious
disfigurement of the face, head or neck if of a character likely to
handicap a person in securing or maintaining employment.
(b) Authority is provided under 5 U.S.C. 8107(c)(22) to add other
internal and external organs to the compensation schedule. Pursuant to
this authority, the following is added:
(c) Compensation under this schedule is:
(1) Payable regardless of whether the cause of the impairment
originates in part of the body other than the impaired member or organ;
(2) Payable regardless of whether the disability also involves
another impairment of the body; and
(3) Payable in addition to but, with the exception of compensation
for serious disfigurement of the face, head or neck, not concurrently
with compensation for temporary total or temporary partial disability.
(d) The period of compensation payable under the schedule in 5 U.S.C.
8107(c) shall be reduced by the period of compensation paid or payable
under the schedule for an earlier injury if:
(1) Compensation in both cases is for impairment of the same member
or function or different parts or the same member of function or for
disfigurement; and
(2) The Office finds that compensation payable for the later
impairment in whole or in part would duplicate the compensation payable
for the pre-existing impairment.
(e) Where compensation is reduced as provided by paragraph (d) of
this section, compensation for continuing wage loss starts on expiration
of the schedule period as reduced.
(52 FR 10519, Apr. 1, 1987)
20 CFR 10.305 Attendant allowance.
An employee who has been awarded compensation may receive an
additional sum of not more than $1,500 a month, as the Office considers
necessary to pay for the service of an attendant, when the Office finds
that the service of an attendant is necessary constantly because the
employee is totally blind or has lost the use of both hands or both
feet, or is paralyzed and unable to walk, or because of any impairment
resulting from the injury making the employee so helpless as to require
constant attendance.
(56 FR 47675, Sept. 20, 1991)
20 CFR 10.306 Eligibility for death benefits and death benefit rates.
(a) If there is no child entitled to compensation, the employee's
surviving spouse shall receive compensation equal to 50 percent of the
employee's pay until death or remarriage before reaching 55 years of
age. Upon remarriage, the surviving spouse will be paid a lump sum
equal to 24 times the monthly compensation payment (excluding
compensation payable on account of another individual) to which the
surviving spouse was entitled immediately before the remarriage. If
remarriage occurs at age 55 or older, the lump sum payment will not be
paid and compensation shall continue until death.
(b) If there is a child entitled to compensation, the compensation
for the surviving spouse equal 45 percent of the employee's pay plus 15
percent for each child, but the total percentage may not exceed 75
percent.
(c) If there is a child entitled to compensation and no surviving
spouse, compensation for one child equals 40 percent of the employee's
pay. Fifteen percent will be awarded for each additional child, not to
exceed 75 percent, the total amount to be shared equally among all
children.
(d) Parents, brothers, sisters, grandparents and grandchildren
dependent upon the deceased employee at the time of death may be
entitled to compensation as provided by 5 U.S.C. 8133.
(e) A child, brother, sister or grandchild may be entitled to receive
death benefits until death, marriage, or the attainment of age 18.
Regarding entitlement after reaching age 18, refer to 10.127 of this
part.
(52 FR 10519, Apr. 1, 1987, as amended at 56 FR 47675, Sept. 20,
1991)
20 CFR 10.307 Burial and transportation benefits.
In the case of an employment related death of an employee a sum, not
to exceed $800, may be paid for funeral and burial expenses. When an
employee's home is within the United States, an additional sum may be
paid for transporting the remains to the home if the employee dies away
from home, official duty station, or outside the United States. An
additional sum of $200 is paid to the personal representative of the
decedent for reimbursement of the costs of termination of the decedent's
status as an employee of the United States.
(40 FR 6877, Feb. 14, 1975. Redesignated at 52 FR 10519, Apr. 1,
1987)
20 CFR 10.307 Adjustments to Benefits
20 CFR 10.310 Buy back of annual or sick leave.
(a) An employee who sustains a job-related disability may use sick or
annual leave or both to avoid interruption of income. If the employee
uses leave during a period of disability caused by an occupational
disease or illness, and a claim for compensation is approved, the
employee may, with the approval of the employing agency, ''buy back''
the used leave and have it recredited to the employee's account. If the
employee uses leave during a period of disability caused by a traumatic
injury and a claim is approved by the Office, the employee may ''buy
back'' leave taken after the 45-day continuation of pay period. The
employee may not repurchase leave taken during the 45-day continuation
of pay period unless the employee was not entitled to receive
continuation of pay. The computation of the amount due the agency to
effect the leave repurchase is the responsibility of the employing
agency and is to be done in accordance with the accounting principles
and practices of that agency.
(b) If the employing agency does not approve a repurchase of leave,
then no compensation may be paid for the period leave was used. Where
the agency agrees to the leave repurchase, the employee may elect to
have the compensation payable for the period paid directly to the
employing agency to be applied against the amount due the agency to
effect the repurchase.
(52 FR 10519, Apr. 1, 1987)
20 CFR 10.311 Lump sum awards.
(a) The liability of the United States for compensation to a
beneficiary in the case of death or of permanent total or permanent
partial disability may be discharged by a lump-sum payment equal to the
present value of all future payments of compensation computed at 4
percent true discount compounded annually if --
(1) The monthly payment to the beneficiary is less than $50 a month;
or
(2) The beneficiary is or is about to become a nonresident of the
United States; or
(3) The Secretary of Labor determines that it is for the best
interest of the beneficiary.
(b) The probability of the death of the beneficiary before the
expiration of the period during which he or she is entitled to
compensation shall be determined according to the most current United
States Life Tables, as developed by the U.S. Department of Health and
Human Services, which shall be updated from time to time, but the lump
sum payment to a surviving spouse of the deceased employee may not
exceed 60 months compensation. The probability of the happening of any
other contingency affecting the amount or duration of compensation shall
be disregarded.
(c) On remarriage before age 55, a surviving spouse entitled to
compensation under 5 U.S.C. 8133, shall be paid a lump sum equal to 24
times the monthly compensation payment (excluding compensation payable
on account of another individual) to which the surviving spouse was
entitled immediately before the remarriage.
(d) No claimant possesses an absolute right to a lump sum award.
Lump sum awards shall be made exclusively by the Director, acting within
his or her discretion, and no lump sum award shall be made unless it is
apparent to the Director that such an award is in the best interests of
the claimant.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10520, Apr. 1, 1987;
56 FR 47675, Sept. 20, 1991)
20 CFR 10.312 Assignment of claim, claims of creditors.
An assignment of a claim for compensation is void. Compensation and
claims for compensation are exempt from claims of creditors.
20 CFR 10.313 Dual benefits.
(a) Except as otherwise provided by law, a person may not
concurrently receive compensation pursuant to the Act and a retirement
or survivor annuity under the U.S. Civil Service Retirement Act, the
Federal Employees' Retirement System Act, or a retirement or survivor
annuity which stands in lieu of either of these Acts, such as Foreign
Service or Central Intelligence Agency disability and retirement
programs. Such beneficiary shall elect the benefit which he or she
wishes to receive, and such election, once made, is revocable.
(b) Military retirement/retainer pay and compensation. An employee
may receive compensation concurrently with military retired pay,
retirement pay, retainer pay or equivalent pay for service in the Armed
Forces or other uniformed services, subject to the reduction of such pay
in accordance with 5 U.S.C. 5532(b).
(c) The Office may require an employee to submit an affidavit or
statement as to the receipt of any federally funded or federally
assisted benefits, as identified and in the manner and at the times
specified by the Office, in order to determine the employee's
entitlement to compensation or to determine whether the employee is
receiving benefits under other programs administered by the Office. If
an employee when required, fails within 30 days of the date of the
request to submit such affidavit or statement, the employee's right to
compensation otherwise payable shall be suspended until such time as the
requested affidavit or report is received, at which time compensation
will be reinstated retroactive to the date of suspension provided the
employee is entitled to such compensation.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10520, Apr. 1, 1987)
20 CFR 10.314 Cost-of-living adjustments.
(a) Cost-of-living adjustments shall be made from time to time in
accordance with 5 U.S.C. 8146a.
(b) Compensation payable on account of disability or death which
occurred more than one year before the effective date of the
cost-of-living adjustment shall be increased as determined in accordance
with 5 U.S.C. 8146a. In disability cases, a beneficiary is eligible for
cost-of-living adjustments where injury-related disability began more
than one year prior to the effective date of the adjustment without
regard to the fact that for any part of that period of disability the
beneficiary may have elected to receive continuation of pay as provided
by 5 U.S.C. 8118, or to use sick or annual leave. Where an injury does
not result in disability but compensation is payable pursuant to 5
U.S.C. 8107 for permanent impairment of a covered member or function of
the body, entitlement to cost-of-living adjustments begins with the
first such adjustment occurring more than one year after the effective
date of the award for such impairment. In the case of a recurrence of
disability where the pay rate for compensation purposes is the pay rate
at the time disability recurs, entitlement to cost-of-living adjustments
begins with the first such adjustment occurring more than one year after
the disability recurs. In death cases, entitlement to cost-of-living
adjustments begins with the first such adjustment occurring more than
one year after the date of death. However, if the death was preceded by
a period of injury-related disability, compensation payable to the
survivors will be increased by the same percentages as the
cost-of-living adjustments paid or payable to the deceased employee for
the period of disability, as well as by subsequent cost-of-living
adjustments to which the survivors would otherwise be entitled.
(52 FR 10520, Apr. 1, 1987)
20 CFR 10.314 Overpayments
Source: Sections 10.320 through 10.324 appear at 52 FR 10520 --
10522, Apr. 1, 1987, unless otherwise noted.
20 CFR 10.320 Definitions.
(a) Fault as used in the term ''without fault'' in 5 U.S.C. 8129(b)
and 10.321(c) of this subpart applies only to the individual who has
received a payment in his or her own name or on behalf of a beneficiary.
Although the Office may have been at fault in making the overpayment,
that fact does not relieve the overpaid individual or any other
individual from whom the Office seeks to recover the overpayment from
liability for repayment if such individual is not without fault.
(b) With fault. In determining whether an individual is with fault,
the Office will consider all pertinent circumstances, including age,
intelligence, education, and physical and mental condition. An
individual is with fault in the creation of an overpayment who:
(1) Made an incorrect statement as to a material fact which the
individual knew or should have known to be incorrect; or
(2) Failed to furnish information which the individual knew or should
have known to be material; or
(3) With respect to the overpaid individual only, accepted a payment
which the individual knew or should have been expected to know was
incorrect.
(c) Without fault. Whether an individual is ''without fault''
depends on all the circumstances surrounding the overpayment in the
particular case. The Office will consider the individual's
understanding of any reporting requirements, the agreement to report
events affecting payments, knowledge of the occurrence of events that
should have been reported, efforts to comply with the reporting
requirements, opportunities to comply with the reporting requirements,
understanding of the obligation to return payments which were not due,
and ability to comply with any reporting requirements (e.g., age,
comprehension, memory, physical and mental condition). Although
''without fault'' is not limited to the overpayment circumstances
described below, an individual is ''without fault,'' except as provided
in paragraph (b) above, if it is established after consideration of all
the factors stated above that failure to report an event that would
affect compensation benefits or acceptance of an incorrect payment was
due to one of the following:
(1) The individual relied on misinformation given to him or her (or
his or her representative) by an official source within the Office (or
other governmental agency which the individual had reason to believe was
connected with the administration of benefits) as to the interpretation
of a pertinent provision of the Act or the regulations pertaining
thereto; or
(2) The Office erred in calculation of cost-of-living increases,
schedule award length and/or percentage, and loss of wage earning
capacity, unless the claimant had knowledge of the calculation errors.
(d) Degree of care. An individual will be ''with fault'' if the
Office has evidence which shows either a lack of good faith or failure
to exercise a high degree of care in reporting changes in circumstances
which may affect entitlement to or the amount of benefits. As indicated
in paragraphs (b) and (c) of this section, the degree of care expected
of an individual may vary with the complexity of the circumstances
giving rise to the overpayment and the capacity of the particular payee
to realize that he or she is being overpaid. Accordingly, variances in
the personal circumstances and situations of individual payees are to be
considered in determining whether the individual exercised the degree of
care necessary to warrant a finding of ''without fault.''
20 CFR 10.321 Recovery of overpayments.
(a) Whenever an overpayment has been made to an individual who is
entitled to further payments, proper adjustment shall be made by
decreasing subsequent payments of compensation, having due regard to the
probable extent of future payments, the rate of compensation, the
financial circumstances of the individual, and any other relevant
factors, so as to minimize any resulting hardship upon such individual.
In the event such individual dies before such adjustment has been
completed, a similar adjustment shall be made by decreasing subsequent
payments, if any, payable under this Act with respect to such
individual's death.
(b) Where there are no further payments due and an overpayment has
been made to an individual by reason of an error of fact or law such
individual, as soon as the mistake is discovered or his attention is
called to same, shall refund to the Office any amount so paid or, upon
failure to make such refund, the Office may proceed to recover the same.
(c) There shall be no adjustment or recovery under paragraphs (a) or
(b) of this section by the United States in any case when incorrect
payment has been made to an individual who is without fault and when
adjustment or recovery would defeat the purpose of the Act or would be
against equity and good conscience.
(d) Before adjusting future payments or otherwise seeking to recover
an overpayment, the Office shall provide the individual with written
notice of:
(1) The fact and amount of overpayment;
(2) Its preliminary finding of whether the individual is at fault in
the creation of the overpayment;
(3) The individual's right to inspect and copy Government records
relating to the overpayment;
(4) The individual's right to request a pre-recoupment hearing within
30 days of the date of written notice of overpayment for the purpose of
challenging the fact or amount of the overpayment, the preliminary
finding of fault, or for the purpose of requesting waiver;
(5) The individual's right to submit additional written evidence
within 30 days of the date of written notice of overpayment for the
purpose of challenging the fact or amount of the overpayment, the
preliminary fault finding, or for the purpose of requesting waiver.
(e) Additional evidence must be submitted, or a pre-recoupment
hearing requested, within 30 days of the Office's written notice to the
individual. Failure to exercise the right to a pre-recoupment hearing
within 30 days of the date of notice of overpayment shall constitute a
waiver of that right.
(f) Pre-recoupment hearings shall be conducted in all matters in
exactly the same manner as provided in 10.131 through 10.137.
(g) When an overpayment exists because a claim was accepted in error,
or because benefits were otherwise denied or terminated, the Office
representative shall determine any and all issues raised at the
pre-recoupment hearing, including those regarding the correctness of the
decision to deny or terminate compensation. If an employee requests a
pre-recoupment hearing as provided by this section with respect to an
overpayment, and also requests a hearing as provided by 5 U.S.C. 8124(b)
with respect to the decision denying or terminating benefits and
resulting in the overpayment, both requests for a hearing shall be
combined and one hearing held on any and all issues.
(h) If additional written evidence is not submitted, or a hearing
requested, within the 30-day period, the Office will issue a final
decision based on the available evidence and will initiate appropriate
collection action. The final decision concerning an overpayment,
whether rendered subsequent to a pre-recoupment hearing or in the
absence of the submission of additional written evidence, is not subject
to the hearing provision of 5 U.S.C. 8124(b) nor the reconsideration
provision of 5 U.S.C. 8128(a). An individual aggrieved or adversely
affected by a decision concerning an overpayment may request review by
the Employees' Compensation Appeals Board.
(i) A copy of the final decision concerning an overpayment will be
sent to the individual from whom recovery is sought, the individual's
representative, and the employing agency.
(40 FR 6877, Feb. 14, 1975, as amended at 53 FR 11594, Apr. 7, 1988)
20 CFR 10.322 Waiver of recovery -- defeat the purpose of the
subchapter.
(a) General. Recovery of an overpayment will defeat the purpose of
the Act if recovery would cause hardship by depriving a presently or
formerly entitled beneficiary of income and resources needed for
ordinary and necessary living expenses under the criteria set out in
this section. Recovery will defeat the purpose of this subchapter to
the extent that:
(1) The individual from whom recovery is sought needs substantially
all of his or her current income (including compensation benefits) to
meet current ordinary and necessary living expenses; and
(2) The individual's assets do not exceed the resource base of $3000
for an individual or $5000 for an individual with a spouse or one
dependent plus $600 for each additional dependent. This base includes
all of the claimant's assets not exempted from recoupment in paragraph
(d) of this section. The first $3000 or more depending on the number of
the claimant's dependents is also exempted from recoupment.
(b) Income. The individual's total income includes any funds which
may be reasonably considered available for his or her use, regardless of
the source. Income to a spouse will not be considered available to the
individual unless the spouse was living in the household both at the
time the overpayment was incurred and at the time waiver is considered.
Types of income include but are not limited to:
(1) Government benefits such as Black Lung, Social Security, and
Unemployment Compensation benefits;
(2) Wages and self-employment income;
(3) Regular payments such as rent or pensions; and
(4) Investment income.
(c) Ordinary and necessary living expenses. An individual's ordinary
and necessary living expenses include:
(1) Fixed living expenses, such as food and clothing, rent, mortgage
payments, utilities, maintenance, transportation, insurance (e.g., life,
accident, and health insurance);
(2) Medical, hospitalization, and other similar expenses;
(3) Expenses for the support of others for whom the individual is
responsible.
(4) Church and charitable contributions made on regular basis. (This
shall not include large one-time gifts made after receipt of the
preliminary notice of overpayment); and
(5) Miscellaneous expenses (e.g., newspaper, haircuts) not to exceed
$25.00 per month.
(d) Assets. An individual's assets include:
(1) Liquid Assets -- cash on hand, the value of stocks, bonds,
savings accounts, mutual funds, and the like; and
(2) Non-Liquid Assets -- the fair market value of property such as a
camper, second home, extra automobile, jewelry, etc.
Assets for these purposes shall not include the value of household
furnishings, wearing apparel, family automobile, burial plot or prepaid
burial contract, a home which the person maintains as the principal
family domicile, or income producing property if the income from such
property has been included in comparing income and expenses.
20 CFR 10.323 Waiver of recovery -- against equity and good conscience.
(a) Recovery of an overpayment is considered to be ''against equity
and good conscience'' when an individual presently or formerly entitled
to benefits would experience severe financial hardship in attempting to
repay the debt. The criteria to be applied in determining severe
financial hardship are the same as in 10.322.
(b) Recovery of an overpayment is considered to be inequitable and
against good conscience when an individual, in reliance on such payments
or on notice that such payments would be made, relinquished a valuable
right or changed his position for the worse. In making such a decision,
the individual's present ability to repay the overpayment is not
considered. To establish that a valuable right has been relinquished,
it must be shown that the right was in fact, valuable; that it cannot
be regained; and that the action was based chiefly or solely on
reliance on the payments or on the notice of payment. To establish that
the individual's position has changed for the worse, it must be shown
that the decision made would not otherwise have been made but for the
receipt of benefits, and that this decision resulted in a loss. An
example of such ''detrimental reliance'' would be a decision to enroll
in college based on the award of benefits. The funds have been spent
and cannot be recovered nor can the purchase be liquidated.
20 CFR 10.324 Responsibility for providing financial information.
In requesting waiver of an overpayment, either in whole or in part,
the overpaid individual has the responsibility for providing the
financial information described in 10.322, as well as such additional
information as the Office may require to make a decision with respect to
waiver. Failure to furnish the information within 30 days of request
shall result in denial of waiver, and no further requests for waiver
shall be entertained until such time as the requested information is
furnished.
20 CFR 10.324 Subpart E -- Furnishing Medical Treatment
20 CFR 10.400 Physician and medical services, etc. defined.
(a) The term ''physician'' as used in Subparts E and F of this part
includes physicians (M.D. and D.O.), surgeons, podiatrists, dentists,
clinical psychologists, optometrists, and chiropractors, within the
scope of their practice as defined by State Law. The term ''physician''
includes chiropractors only to the extent that their reimbursable
services are limited to treatment consisting of manual manipulation of
the spine to correct a subluxation as demonstrated by X-ray to exist. A
physician whose license to practice medicine has been suspended or
revoked by a State licensing or regulatory authority is not a physician
within the meaning of this section during the period of such suspension
or revocation.
(b) The term ''duly qualified physician'' as used in Subparts E and F
of this part includes any physician, as defined by paragraph (a) of this
section, who has not been excluded under the provisions of Subpart F of
this part. Except as otherwise provided by regulation, a duly qualified
physician shall be deemed to be designated or approved by the Office.
(c) The term ''duly qualified hospital'' as used in Subparts E and F
of this part includes any hospital licensed as such under State law
which has not been excluded under the provisions of Subpart F of this
part. Except as otherwise provided by regulation, a duly qualified
hospital shall be deemed to be designated or approved by the Office.
(d) The term ''duly qualified provider of medical support services or
supplies'' as used in Subparts E and F of this part includes any person,
other than a physician or a hospital, who provides services, drugs,
supplies, and appliances for which the Office makes payment who
possesses any applicable licenses required under State law and who has
not been excluded under the provisions of Subpart F of this part.
(e) The term ''medical services'' as used in subparts E and F of this
part includes services and supplies provided by or under the supervision
of physicians (M.D. and D.O.), surgeons, podiatrists, dentists, clinical
psychologists, optometrists, and chiropractors, within the scope of
their practices as defined by State law. Reimbursable chiropractic
services are limited to treatment consisting of manual manipulation of
the spine to correct a subluxation as demonstrated by x-rays to exist.
Also included for payment or reimbursement are physical examinations
(and related laboratory tests) and x-rays performed by or required by a
chiropractor to diagnose a subluxation of the spinal column. The term
''subluxation'' means an incomplete dislocation, off-centering,
misalignment, fixation or abnormal spacing of the vertebrae anatomically
which must be demonstrable on any x-ray film to individuals trained in
the reading of x-rays. A chiropractor may interpret his or her x-rays
to the same extent as any other physician defined in this section.
(f) The term ''hospital services'' as used in Subparts E and F of
this part includes services and supplies provided by hospitals within
the scope of their practice as defined by State law.
(g) The term ''medical support services and supplies'' as used in
Subparts E and F of this part includes services, drugs, supplies, and
appliances provided by a person other than a physican or hospital.
(h) The term ''job-related injury'' as used in Subparts E and F of
this part includes injuries sustained while in the performance of duty
and diseases proximately caused by the conditions of employment.
(i) The term ''designated agency official'' means the individual
delegated responsibility by an employing agency for authorizing medical
treatment for the injured employee.
(49 FR 18978, May 3, 1984, as amended at 52 FR 10520, Apr. 1, 1987)
20 CFR 10.401 Medical treatment, hospital services, transportation,
etc.
(a) A claimant shall be entitled to receive all medical services,
appliances or supplies which are prescribed or recommended by a duly
qualified physician and which the Office considers necessary for the
treatment of a job-related injury, whether or not the claimant is
disabled. Such services, appliances and supplies may be furnished by,
or on the order or recommendation of, either United States medical
officers or hospitals, or, at the claimant's option as provided in
paragraph (b) of this section, any other duly qualified physician or
duly qualified hospital. Medical support services and supplies not
furnished by a duly qualified physician or a duly qualified hospital
shall be furnished by a duly qualified provider of medical support
services or supplies. A claimant shall also be entitled to
reimbursement of reasonable and necessary expenses, including
transportation incident to obtaining authorized medical services,
appliances or supplies.
(b) A claimant has an initial choice of physicians. The designated
agency official shall give the claimant an opportunity to select a duly
qualified physician, after advising the claimant of those physicians
excluded under the provisions of this part. An employee who wishes to
change physicians must submit a written request to the Office fully
explaining the reasons for the request. The Office may approve the
request in its discretion if sufficient justification is shown for the
request. Any duly qualified physician shall be authorized to provide
necessary treatment of a job-related injury in an emergency. See also
10.456(c).
(c) The medical facilities of the U.S. Public Health Service, Army,
Navy, Air Force, and Veterans Administration may be used when previous
arrangements have been made on a case-by-case basis with the director of
the facility.
(d) Federal health service units or other occupational health service
facilities established under the provisions of the Act of August 8,
1946, as amended (U.S.C. 7901), are not U.S. medical hospitals as used
in this part, nor are the staff of these facilities U.S. medical
officers as used in this part.
Under criteria established by the Bureau of the Budget (now the
Office of Management and Budget) in Circular No. A-72 of June 18, 1965,
these health service units or occupational health service facilities
shall only provide emergency diagnosis and treatment of injury or
illness such as are necessary during working hours and are within the
competence of the professional staff of the health service unit or
facility. Any medical treatments by these units or facilities other
than emergency treatment must be specifically authorized by the Office
and given under the supervision of a duly qualified physician.
(e) Nothing in the Act or in these regulations affects any authority
which the employing agency may have to require the employee to undergo a
medical examination to determine whether the employee meets the
mandatory medical requirements of the position held, or is able to
perform the duties of the position held. Any agency-required
examination or related activity shall not interfere with issuance of
Form CA-16, with the employee's initial free choice of physician or with
any authorized examination or treatment.
(f) In emergency cases or those involving unusual considerations
affecting the quality of medical care, the Office may authorize
treatment or approve payment of medical expenses in a matter other than
that provided in this subpart.
(49 FR 18978, May 3, 1984)
20 CFR 10.402 Official authorization for treatment.
(a) When an employee sustains a job-related injury which may require
medical treatment, the designated agency official shall promptly
authorize such treatment by giving the employee a properly executed
CA-16 within 4 hours. Form CA-16 shall be used primarily for traumatic
injuries. It may also be used to authorize examination and treatment
for disease or illness, but only if the designated agency official has
obtained prior permission from the Office.
(b) To be valid, a Form CA-16 must give the full name and address of
the duly qualified physician or duly qualified medical facility
authorized to provide service, and must be signed and dated by the
authorizing official, and must show his or her title. Except as
provided in 10.404. Form CA-16 may not be issued for past medical care.
The period for which treatment is authorized by a correctly issued Form
CA-16 is limited to 60 days from the date of issuance, unless terminated
earlier by the Office. Further, in view of the provisions of
10.401(b), the employing agency may not use Form CA-16 to authorize a
change of physicians.
(c) In determining the use of medical facilities, consideration must
be given to their availability, the employee's condition, and the method
and means of transportation. Generally, 25 miles from the place of
injury, the employing agency, or the employee's home, is a reasonable
distance to travel, but other pertinent factors must also be taken into
consideration.
(49 FR 18979, May 3, 1984)
20 CFR 10.403 Medical treatment in doubtful cases.
Cases of doubtful nature, so far as compensability is concerned,
shall be referred by the designated agency official to a United States
medical official or hospital, or at the employee's option, to a duly
qualified private physician or a duly qualified hospital designated or
approved by the Office, or as otherwise provided in this part, using a
Form CA-16 for medical services as indicated in 6B of the form. This
authorizes the necessary diagnostic studies and emergency treatment
pending receipt of advice from the Office. A statement of all pertinent
facts relating to the particular case shall also be forwarded
immediately to the Office for consideration. If the medical examination
or other information received subsequent to the issuance of
authorization for treatment discloses that the condition for which
treatment was rendered is not due to an injury, the person issuing the
authorization shall immediately notify the employee and the physician or
hospital that no further treatment shall be rendered at the expense of
the Office. In cases of an emergency or cases involving unusual
circumstances, the Office may, in the exercise of its discretion,
authorize treatment otherwise than as provided for in this part, or it
may approve payment for medical expenses incurred otherwise than as
authorized in this section. No authority for examination or for medical
or other treatment shall be given by the designated agency official in
any case already disallowed by the Office.
(49 FR 18979, May 3, 1984)
20 CFR 10.404 Emergency treatment.
In cases of traumatic injury where emergency treatment is necessary,
any duly qualified physician may render initial treatment. If oral
authorization for such treatment is given by the designated agency
official, a Form CA-16 shall be issued within 48 hours thereafter. If
further treatment is necessary, authorization therefor shall be
requested as soon as practicable in accordance with 10.402 of this
part. It is the duty of the designated agency official to authorize
initial medical treatment for acute injuries, exclusive of disease or
illness, and to transfer the employee at the employee's option to the
care of a local U.S. medical officer or hospital or to a duly qualified
private physician or a duly qualified hospital designated or approved by
the Office for any subsequent treatment needed. If unable to comply
promptly with this requirement, the designated agency official shall
communicate with the Office for instructions.
(49 FR 18979, May 3, 1984)
20 CFR 10.405 Medical treatment if symptoms or disability recur.
If, after having been discharged from medical treatment, an injured
employee again has symptoms or disability under circumstances from which
it may reasonably be inferred that such symptoms or disability are the
result of an injury previously recognized as compensable by the Office,
and the place of employment is the same as at the time of injury, Form
CA-16 may be issued at the discretion of the designated agency official.
Form CA-16 shall not be used by the designated agency official if more
than six months have elapsed since the empoyee last returned to work.
In any case in which there may be doubt that the symptoms or disability
are the result of the injury, or in which it has been more than six
months since the last return to work, the designated agency official
shall communicate with the Office and request instructions, stating all
the pertinent facts. In all other cases, the employee shall communicate
with the Office and request such treatment.
(49 FR 18979, May 3, 1984)
20 CFR 10.406 Authority for dental treatment.
All necessary dental treatment, including repairs to natural teeth,
false teeth, and other prosthetic dental devices, needed to repair
damage or loss caused by an employment related injury shall be obtained
at the employee's option from a U.S. Medical Officer or hospital, or
from a duly qualified private dentist, a duly qualified physician, or a
duly qualified hospital, upon authorization obtained in advance from the
Office.
(49 FR 18980, May 3, 1984)
20 CFR 10.407 Medical examinations.
(a) An injured employee shall be required to submit to examination by
a U.S. Medical Officer or by a qualified private physician approved by
the Office as frequently and at such times and places as in the opinion
of the Office may be reasonably necessary. The injured employee may
have a duly qualified physician, paid by him or her, present at the time
of such examination. For any examination required by the Office, an
injured employee shall be paid all expenses incident to such examination
which, in the opinion of the Office, are necessary and reasonable,
including transportation and actual loss of wages incurred in order to
submit to the examination authorized by the Office.
(b) If the employee refuses to submit himself or herself for or in
any way obstructs any examination required by the Office pursuant to
paragraph (a) of this section, the employee's right to compensation
under the Act shall be suspended until such refusal or obstruction
ceases. Compensation otherwise paid or payable under the Act and this
part for the period of the refusal or obstruction is forfeited and,
where already paid, is subject to recovery pursuant to 5 U.S.C. 8129.
When notifying an employee of an examination required under paragraph
(a) of this section, the Office shall inform the employee of the penalty
for refusing or obstructing the examination.
(49 FR 18980, May 3, 1984)
20 CFR 10.408 Medical referee examination.
If there should be a disagreement between the physician making the
examination on the part of the United States and the injured employee's
physician, the Office shall appoint a third physician, qualified in the
appropriate speciality, who shall make an examination. The physician
appointed shall be one not previously connected with the case.
20 CFR 10.409 Furnishing of orthopedic and prosthetic appliances, and
dental work.
When a job-related injury results in the need for an orthopedic or
prosthetic appliance, such as an artificial limb, eye, or denture, as
recommended by the duly qualified attending physician, written
application for authority to purchase such appliance may be made to the
Office. The application must include a statement from the attending
physician regarding the need for the appliance, a brief description
thereof, and the approximate cost.
(49 FR 18980, May 3, 1984)
20 CFR 10.410 Recording and submission of medical reports.
(a) Medical officers and private physicians and hospitals shall keep
adequate records of all cases treated by them under the Act so as to be
able to supply the Office with a history of the employee's accident, the
exact description, nature, location, and extent of injury, the X-ray
findings or other studies, if X-ray examination or other studies have
been made, the nature of the treatment rendered, and the degree of
impairment arising from the injury.
(b) Form CA-16 provides for the furnishing of the initial medical
report. Form CA-20 may also be used for the initial report and for
subsequent report. The medical report Form CA-20a attached to Form CA-8
is to be utilized in instances where continued compensation is claimed
on such form. These reports shall be forwarded promptly to the Office.
In cases of disabling traumatic injuries Form CA-17 shall be used to
obtain interim reports concerning the employee's duty status. These
reports are necessary to support continuation of pay up to 45 days.
(c) Detailed supplementary reports in narrative form shall be made by
the physician at approximately monthly intervals in all cases of serious
injury or disease, especially injuries of the head and back, and
including all cases requiring hospital treatment or prolonged care. The
supplementary report shall show the date the employee was first examined
or treated, the patient's complaint, the condition found on examination,
the diagnosis and medical opinion as to any relationship between the
impairment and the injury or employment factors alleged, report as to
any other impairments found not due to injury, the treatment given or
recommended for the injury alleged, the extent of impairment affecting
the employment as a result of the injury, the actual degree of loss of
active or passive motion of an injured member, the amount of atrophy or
deformity in a member, the decrease, if any, in strength, the
disturbance of sensation, the prognosis for recovery, and all other
material findings. If the services of a specialist are required in the
examination or treatment of the employee, a report of his findings upon
examination, his diagnosis, his opinion as to the relationship between
the impairment and the injury and/or conditions of employment, the
medical rationale for his opinion, the treatment recommended by him, a
statement of the extent of impairment as a result of the injury or
employment and the prognosis shall be forwarded to the Office for
consideration in conjunction with other reports. The requirement of
this section or of any section in this part with respect to the form of
medical, dental, hospital or other reports may be waived by the Office.
(40 FR 6877, Feb. 14, 1975, as amended at 49 FR 18980, May 3, 1984)
20 CFR 10.411 Submission of bills for medical services, appliances and
supplies; limitation on payment for services.
(a)(1) All charges for medical and surgical treatment, appliances or
supplies furnished to injured employees, except for treatment and
supplies provided by hospitals, pharmacies and nursing homes, shall be
supported by medical evidence as provided in 10.410, itemized by the
physician or provider on the American Medical Association standard
''Health Insurance Claim Form,'' OWCP 1500a ''Instructions for
Completing Health Insurance Claim Form,'' and shall be forwarded
promptly to the Office for consideration. The provider of such service
shall identify each service performed, using the Health Care Financing
Administration Common Procedure Coding System (HCPCS as periodically
revised), with brief narrative description or, where no code is
applicable, a detailed description of services performed. The provider
shall also state each diagnosed condition and furnish the corresponding
diagnostic code using the ''International Classification of Disease, 9th
Edition, Clinical Modification'' (ICD-9-CM). A separate bill shall be
submitted when the employee is discharged from treatment or monthly, if
treatment for the work-related condition is necessary for more than 30
days.
(2) Charges for medical and surgical treatment provided by hospitals
shall be supported by medical evidence as provided in 10.410. Such
charges shall be submitted by the provider on the Uniform Bill (UB-82).
The provider shall identify each outpatient radiology service (including
diagnostic and therapeutic radiology, nuclear medicine and CAT scan
procedures, magnetic resonance imaging, and ultrasound and other imaging
services), outpatient pathology service (including automated,
multichannel tests, panels, urinalysis, chemistry and toxicology,
hematology, microbiology, immunology and anatomic pathology), and
physical therapy service performed, using HCPCS/CPT codes with a brief
narrative description. The charge for each individual service, or the
total charge for all identical services should also appear in the UB-82.
Other outpatient hospital services for which HCPCS/CPT codes exist
shall also be coded individually using the aforementioned coding scheme.
Services for which there are no HCPCS/CPT codes available can be
presented using the Revenue Center Codes (RCCs) described in the
''National Uniform Billing. Data Elements specifications, current
edition.'' The provider shall also state each diagnosed condition and
furnish the corresponding diagnostic code using the ''International
Classification of Diseases, 9th Edition, Clinical
Modification''(ICD-9-CM). If the outpatient hospital services include
surgical and/or invasive procedures, the provider shall state each
procedure and furnish the corresponding code using the ''International
Classification of Diseases -- Procedures, 9th Edition, Clinical
Modification.''
(3) Charges for appliances, supplies or services provided by
pharmacies and nursing homes shall be itemized on the provider's
billhead stationery or a standard form and forwarded promptly to the
Office for consideration. Bills for prescription drugs must include the
generic or trade name of the drug provided, the prescription number, and
the date the prescription was filled.
(b) The physician or other provider (or official designee) shall sign
the billing form signifying that services were performed as described
and were necessary, and signifying agreement to accept the fee
determined by the Office as payment in full for each itemized service.
(c) Bills submitted by providers which are not itemized on the
American Medical Association ''Health Insurance Claim Form'' (for
physicians) or the Uniform Bill (UB-82) (for hospitals), or are not
signed by the provider and the claimant, or on which procedure are not
identified by the provider using HCPCS/CPT codes or RCCs, or on which
diagnoses and/or surgical procedures are not identified using ICD-9-CM
codes, may be returned to the provider for correction and resubmission.
(d)(1) Payment for medical and other health services furnished by
physicians, hospitals and other persons for work-connected injuries
shall, except as provided below, be no greater than a maximum allowable
charge for such service as determined by the Director. The schedule of
maximum allowable charges is not applicable to charges for appliances,
supplies, services or treatment provided and billed for by hospitals for
services rendered on an inpatient basis, pharmacies or nursing homes,
but is applicable to charges for services or treatment furnished by a
physician or other medical professional in a hospital or nursing home
setting. The schedule of maximum allowable charges is also not
applicable to charges for appliances, supplies, services or treatment
furnished by medical facilities of the U.S. Public Health Service, the
Departments of the Army, Navy and Air Force, and the Veterans
Administration. The Director shall maintain a schedule of maximum
allowable fees for procedures performed in a given locality. The
schedule shall consist of an assignment of a value to procedures
identified by HCPCS/CPT which represents the relative skill, effort,
risk, and time required to perform the procedure, as compared to other
procedures of the same general class; a classification of the procedure
into one of the following categories: medical, surgical, pathology,
radiology; an index representing the average cost of medical care per
capita in the locality where service is provided, in relation to other
areas, as a measure of the reasonable cost of a single service in that
area; and a monetary value assignment (conversion factor) for one unit
of value in each of the four categories of service. Payment for
performance of a procedure identified by a HCPCS/CPT code shall not be
more than the amount derived by multiplying the relative value for that
procedure by the geographic index for services in that area and by the
dollar amount assigned to one unit in that category of service.
(2) The ''locality'' which serves as a bases for determination of
average cost is defined by the Bureau of Census Metropolitan Statistical
Areas. The Director shall base the determination of the relative per
capita cost of medical care in a locality using information about
enrollment and medical cost per county, provided by the Health Care
Financing Administration (HCFA).
(3) The relative value assignments published by the State of
Washington Department of Labor and Industries shall be adopted, using
the most recent revision. The conversion factors for each of the four
categories of service used in the State of Washington will be adopted as
the base dollar multipliers for those categories and will be associated
with the average cost of medical care derived from HCFA data for
Washington State. The geographic index factor for a given MSA shall be
based on statistical analyses of charges to OWCP, for groupings of MSA's
that have similar HCFA per capita medical costs when compared to the per
capita cost of medical care for the State of Washington. Index factors
will be further adjusted to reflect statistical data concerning charges
submitted for services to OWCP.
(4) Thus, if the unit value for a particular surgical procedure is
14.0, and the dollar value assigned to one unit in that category of
service (surgery) is $59.49, then the maximum allowable charge for one
performance of that procedure, in a locale whose index is 1.0, would be
the product of 14, 1.0, and $59.49, or $832.86.
(e) Where there is wide variation in the time, effort and skill
required to perform a particular procedure from one occasion to the
next, the Director may choose not to assign a relative value to that
procedure, but the allowable charge for the procedure may be set
individually based on consideration of a detailed medical report and
other evidence. The Office may, at its discretion, set fees without
regard to schedule limits for specially authorized consultant
examinations, for examinations performed under 5 U.S.C. 8123, and for
other specially authorized services.
(f) The Director shall review the schedule of fees at least once a
year, and may adjust the schedule or any of its components when deemed
necessary or appropriate.
(g)(1) A provider's designation of the HCPCS/CPT code to identify a
procedure being billed shall be accepted by the Office if it is
consistent with medical reports and other evidence.
Where no code is supplied, the Office may determine the correct
procedure code based on the narrative description of the procedure
supplied on the billing form and in associated medical reports, and pay
no more than the maximum allowable fee for that procedure. If the
charge submitted by a provider for a treatment or service supplied to an
injured employee exceeds the maximum amount determined to be reasonable
according to the schedule, the Office shall pay the amount allowed by
the schedule for that service and shall notify the provider in writing
that payment was reduced for that service in accordance with the
schedule. The provider shall also be notified of procedures for
requesting reconsideration of the balance of the charge.
(2) A physician or other provider whose charge for service is only
partially paid because it exceeds a maximum allowable amount set by the
Director may, within 30 days, request reconsideration of the fee
determination. Such request should be made to the OWCP District Office
having jurisdiction over the injured employee's case, and must be
accompanied by documentary evidence that the actual procedure performed
was incorrectly identified by HCPCS/CPT code; that the presence of a
severe or concomitant medical condition made treatment especially
difficult; or that the provider possessed unusual qualifications.
Board-certification in a specialty is not sufficient evidence in itself
of unusual qualification to justify an exception. These are the only
circumstances which will justify reevaluation of the paid amount. A
list of OWCP District Offices and their respective areas of jurisdiction
is available upon request from the U.S. Department of Labor, Office of
Workers' Compensation Programs, Washington, DC 20210. Within 30 days of
receiving the request for reconsideration, the OWCP District Office
shall respond in writing stating whether or not an additional amount
will be allowed as reasonable, considering the evidence submitted.
(h) If an appealed amount continues to be disallowed by the decision
of the OWCP District Office, the provider may apply, within thirty days
of the date of that decision, to the Assistant Regional Administrator of
the region having jurisdiction over the district office. The
application may be accompanied by additional evidence. Within 60 days
of receipt of the application, the Assistant Regional Administrator
shall issue a decision in writing stating whether or not an additional
amount will be allowed as reasonable, considering the evidence
submitted. This decision shall be final, and shall not be subject to
further review.
(i)(1) A provider whose fee for service is partially paid by OWCP as
a result of the application of its fee schedule or other tests for
reasonableness in accordance with these regulations shall not request
reimbursement from the employee (patient) for additional amounts.
(2) Where a provider's fee for a particular service or procedure is
lower to the general public than as provided by the schedule of maximum
allowable charges, the provider shall bill at a lower rate. A charge to
an injured Federal employee for a particular service or procedure which
is higher than the provider's charge to the general public for that same
service or procedure will be considered a charge ''substantially in
excess of such provider's customary charges'' for the purposes of
10.450(d).
(3) A provider whose fee for service is partially paid by OWCP as the
result of the application of its schedule of maximum allowable charges
and who collects or attempts to collect from the injured employee,
either directly or through a collection agent, any amount in excess of
the charge allowed by the Office, and who does not cease such action or
make appropriate refund to the injured employee within 60 days of the
date of the decision of the Office, shall be subject to the exclusion
procedures as provided by 10.450(h).
(51 FR 8280, Mar. 10, 1986, as amended at 56 FR 1360, Jan. 14, 1991)
20 CFR 10.412 Reimbursement for medical expenses, transportation costs,
loss of wages and incidental expenses.
(a)(1) If bills for medical, surgical, or dental services, supplies,
or appliances have been paid for by an injured employee on account of an
injury incurred in the performance of duty, an itemized bill on the
American Medical Association ''Health Insurance Claim Form,'' OWCP 1500a
''Instructions for Completing Health Insurance Claim Form,'' together
with a medical report as provided in 10.410, may be submitted to the
Office for consideration. The provider of such service shall state each
diagnosed condition and furnish the applicable ICD-9-CM diagnostic code
and identify each service performed using the applicable HCPCS/CPT
procedure code, with a brief narrative description of the service
performed, or where no code is applicable, a detailed description of
that service. The bill must be accompanied by evidence that payment for
the service was received from the injured employee and the amount of
that payment. Acceptable evidence that payment was received includes,
but is not necessarily limited to, a signed statement by the provider, a
mechanical stamp or other device showing receipt of payment, a copy of
the claimant's cancelled check (both front and back), or a copy of the
claimant's credit card receipt.
(2) If services were provided by a hospital, pharmacy or nursing
home, the bill should be submitted in accordance with the provisions of
10.411(a) (2) or (3), as appropriate. Any request for reimbursement
must be accompanied by evidence, as described in paragraph (a)(1) of
this section, that payment for the service was received from the
employee and the amount of that payment.
(3) These requirements may be waived by the Office if extensive
delays in the filing or the adjudication of a claim make it unusually
difficult for the claimant to obtain the required information.
(b) Copies of bills shall not be paid unless they bear the original
signature of the provider, with evidence of payment. Payment for
medical and surgical treatment, appliances or supplies shall in general
be no greater than the maximum allowable charge for such service
determined by the Director, as set forth in 10.411.
(c) If a claimant is only partially reimbursed for medical expenses
because the amount paid by the claimant to the physician for a service
exceeds the maximum allowable charge set by the Director's schedule, the
Office shall advise the provider of the maximum allowable charge for the
service in question and allow the provider the opportunity to refund to
the claimant, or credit to the claimant's account, the amount paid by
the claimant which exceeds the maximum allowable charge, or to request
reconsideration of the fee determination as provided by 10.411 (g) and
(h). Failure of the provider to make appropriate refund to the
claimant, or to credit the claimant's account, within 60 days after the
date of this notification by the Office, or the date of a subsequent
reconsideration decision which continues to disallow all or a portion of
the appealed amount, shall result in initiation of exclusion procedures
as provided by 10.450(h).
(d) After notification as provided in paragraph (c) of this section,
if the amount of money paid in excess of the charge allowed by the
Office is not refunded by the provider or credited to the claimant's
account, the Office may make reasonable reimbursement to the claimant
based on a review of the facts and circumstances of the case.
(51 FR 8282, Mar. 10, 1986)
20 CFR 10.413 Time limitation on payment of bills.
The Office will reimburse claimants and providers promptly for all
bills received on an approved form and in a timely manner. However, no
bill will be paid for expenses incurred if the bill is submitted more
than one year beyond the calendar year in which the expense was incurred
or the service or supply was provided, or more than one year beyond the
calendar year in which the claim was first accepted as compensable by
the Office, whichever is later.
(52 FR 10522, Apr. 1, 1987)
20 CFR 10.413 Subpart F -- Exclusion of Physicians and Other Providers
of Medical Services and Supplies
Source: 49 FR 18980, May 3, 1984, unless otherwise noted.
20 CFR 10.450 Exclusion for fraud and abuse: Grounds.
A physician, hospital, or provider of medical support services or
supplies shall be excluded from payment under the Act if such physician,
hospital or provider has:
(a) Been convicted under any criminal statute for fraudulent
activities in connection with any Federal or State program for which
payments are made to providers for similar medical, surgical or hospital
services, appliances or supplies;
(b) Been excluded or suspended, or has resigned in lieu of exclusion
or suspension, from participation in any Federal or State program
referred to in paragraph (a) of this section.
(c) Knowingly made or caused to be made, any false statement or
misrepresentation of a material fact in connection with a determination
of the right to reimbursement under the Act, or in connection with a
request for payment;
(d) Submitted, or caused to be submitted, three or more bills or
requests for payment within a twelve-month period under this chapter
containing charges which the Secretary finds to be substantially in
excess of such provider's customary charges, unless the Secretary finds
there is good cause for the bills or requests containing such charges;
(e) Knowingly failed to timely reimburse claimants for treatment,
services or supplies furnished under this chapter paid by the
Government;
(f) Failed, neglected or refused on three or more occasions during a
twelve month period, to submit full and accurate medical reports, or to
respond to requests by the Office for additional reports or information,
as required by the Act and 10.410 of this part;
(g) Knowingly furnished treatment, services or supplies which are
substantially in excess of the claimant's needs, or of a quality which
fails to meet professionally recognized standards.
(h) Collected or attempted to collect from the claimant, either
directly or through a collection agent, an amount in excess of the
charge allowed by the Office for the procedure performed, and has failed
or refused to make appropriate refund to the injured employee, or to
cease such collection attempts, within 60 days of the date of the
decision of the Office.
(49 FR 18980, May 3, 1984, as amended at 51 FR 8282, Mar. 10, 1986)
20 CFR 10.451 Automatic exclusion.
A physician, hospital, or provider of medical support services or
supplies has been convicted of a crime described in paragraph (a) of
10.450, or excluded or suspended, or has resigned in lieu of exclusion
or suspension, from participation in any program as described in
paragraph (b) of 10.450, shall be automatically excluded from
participating in the program and from seeking payment under the Act for
services performed after the date of the entry of the judgment of
conviction or order of exclusion, suspension or resignation, as the case
may be, by the court or agency concerned. Proof of the conviction,
exclusion, suspension or resignation may be by a copy thereof
authenticated by the seal of the court or agency concerned. See
10.457(a).
20 CFR 10.452 Initiation of exclusion procedures.
(a) General provision. Upon receipt of information indicating that a
physician, hospital or provider of medical support services or supplies
(hereinafter the provider) has engaged in activities enumerated in
paragraphs (c) through (h) of 10.450, the Assistant Regional
Administrator, after completion of inquiries he/she deems appropriate,
may initiate procedures to exclude the provider from participation in
the FECA program. For the purposes of this section, ''Assistant
Regional Administrator'' may include any officer designated to act on
his or her behalf.
(b) Letter of intent. The exclusion procedure shall be initiated by
sending a letter, signed by the Assistant Regional Administrator,
stating his or her intention to commence proceedings to exclude the
provider. The letter shall be sent by certified mail, return receipt
requested and shall contain the following:
(1) A concise statement of the grounds upon which exclusion shall be
based;
(2) A summary of the information, with supporting documentation, upon
which the Assistant Regional Administrator has relied in reaching an
initial decision that exclusion proceedings should be commenced;
(3) An invitation to the provider to:
(i) Resign voluntarily from participation in the FECA program without
admitting or denying the allegations presented in the letter; or
(ii) Request that the decision on exclusion be based upon the
existing record and any additional documentary information the provider
may wish to provide;
(4) A notice of the provider's right, in the event of an adverse
ruling by the Assistant Regional Administrator, to request a formal
hearing before an administrative law judge;
(5) A notice that should the provider fail to answer (as described
below) the letter of intent within 30 calendar days of receipt, the
Assistant Regional Administrator may deem the allegations made therein
to be true and may order exclusion of the provider without conducting
any further proceedings; and
(6) The name and address of the official representative of the Office
who shall be responsible for receiving the answer from the respondent.
(c) Answer to the letter of intent. The provider's answer shall be
in writing and shall include an answer to the Office's invitation to
resign voluntarily. If the provider does not offer to resign, he or she
shall request that a determination be made upon the existing record and
any additional information provided.
(d) Failure to answer. Should the provider fail to answer the letter
of intent within 30 calendar days of receipt, the Assistant Regional
Administrator may deem the allegations made therein to be true and may
order exclusion of the provider.
(e) Inspection of the record. By arrangement with the official
representative, the provider may inspect or request copies of
information in the record at any time prior to the Assistant Regional
Administrator's decision.
(f) Decision. The Assistant Regional Administrator shall issue his
or her decision in writing, and shall send a copy of the decision to the
provider by certificated mail, return receipt requested. The decision
shall advise the provider of his or her right to request, within 30 days
of the date of the adverse decision, a formal hearing before an
administrative law judge under the procedures set forth below. The
filing of a request for a hearing within the time specified shall
operate to stay the effectiveness of the decision to exclude.
(49 FR 18980, May 3, 1984, as amended at 52 FR 10522, Apr. 1, 1987)
20 CFR 10.453 Requests for a hearing.
(a) A request for hearing shall be sent to the official
representative (see 10.452(b)(6)) and contain:
(1) A concise notice of the issues on which the provider desires to
give evidence at the hearing.
(2) Any request for a more definite statement by the Office.
(3) Any request for the presentation of oral argument or evidence.
(4) Any request for a certification of questions concerning
professional medical standards, medical ethics or medical regulation for
an advisory opinion from a competent recognized professional
organization or Federal, State or Local regulatory body.
(b) If a request for hearing is timely received by the designated
official representative, the official representative shall refer the
matter to the Chief Administrative Law Judge of the Department of Labor,
who shall assign it for an expedited hearing. The administrative law
judge assigned to the matter shall consider the request for hearing, act
on all requests therein, and issue a Notice of Hearing and Hearing
Schedule for the conduct of the hearing. A copy of the hearing notice
shall be served on the provider by certified mail, return receipt
requested. The Notice of Hearing and Hearing Schedule shall include:
(1) A ruling on each item raised in the request for hearing.
(2) A schedule for the prompt disposition of all preliminary matters
including requests for more definite statements and for the
certification of questions to advisory bodies.
(3) A scheduled hearing date not less than thirty days after the date
the schedule is issued, and not less than fifteen days after the
scheduled conclusion of preliminary matters, provided that the specific
time and place of the hearing may be set on ten days notice.
(c) The purpose of the designation of issues is to provide for an
effective hearing process. The provider is entitled to be heard on any
matter placed in issue by his or her response to the Notice of Intent to
Exclude, and may designate ''all issues'' for purposes of hearing.
However a specific designation of issues is required if the provider
wishes to interpose affirmative defenses, or request the issuance of
subpoenas or the certification of questions for an advisory opinion.
(d) The provider may make application for the issuance of subpoenas
upon a showing of good cause therefore to the administrative law judge.
(e) A certification of the request for an advisory opinion concerning
professional medical standards, medical ethics or medical regulation to
a competent recognized or professional organization or Federal, State or
local regulatory agency may be made:
(1) As to an issue properly designated by the provider, in the sound
discretion of the administrative law judge, provided that the request
will not unduly delay the proceedings;
(2) By the Office on its own motion either before or after the
institution of proceedings, and the results thereof shall be made
available to the provider at the time that proceedings are instituted
or, if after the proceedings are instituted, within a reasonable time
after receipt: provided, that the opinion, if rendered by the
organization or agency, is advisory only and not binding on the
administrator law judge.
20 CFR 10.454 Hearings and recommended decision.
(a) To the extent appropriate proceedings before the administrative
law judge shall be governed by 29 CFR Part 18 (promulgated July 15,
1983, at 48 FR 32538).
(b) The administrative law judge shall receive such relevant evidence
as may be adduced at the hearing. Evidence shall be presented under
oath, orally or in the form of written statements. The administrative
law judge shall consider the Notice and Response, including all
pertinent documents accompanying them, and may also consider any
evidence which refers to the provider or to any claim with respect to
which the provider has provided medical services, hospital services, or
medical support services and supplies, and such other evidence as the
administrative law judge may determine to be necessary or useful in
evaluating the matter.
(c) All hearings shall be recorded and the original of the complete
transcript shall become a permanent part of the official record of the
proceedings.
(d) Pursuant to 5 U.S.C. 8126, the administrative law judge may:
(1) Issue subpoenas for and compel the attendance of witnesses within
a radius of 100 miles;
(2) Administer oaths;
(3) Examine witnesses; and
(4) Require the production of books papers, documents, and other
evidence with respect to the proceedings.
(e) At the conclusion of the hearing, the Administrative Law Judge
shall issue a written decision and cause it to be served on all parties
to the proceeding, their representatives and the Director.
20 CFR 10.455 Review by Director.
(a) Procedure. Any party adversely affected or aggrieved by the
decision of the Administrative Law Judge may file a petition for
discretionary review with the Director within 30 days after issuance of
the decision. The Judge's decision, however, shall be effective on the
date issued and shall not be stayed except upon order of the Director.
(b) Review discretionary. Review by the Director shall not be a
matter of right but of the sound discretion of the Secretary.
(c) Grounds. Petitions for discretionary review shall be filed only
upon one or more of the following grounds:
(1) A finding or conclusion of material fact is not supported by
substantial evidence;
(2) A necessary legal conclusion is erroneous;
(3) The decision is contrary to law or to the duly promulgated rules
or decisions of the Director;
(4) A substantial question of law, policy, or discretion is involved;
or
(5) A prejudicial error of procedure was committed.
(d) Requirement. Each issue shall be separately numbered and plainly
and concisely stated, and shall be supported by detailed citations to
the record when assignments of error are based on the record, and by
statutes, regulations, or principal authorities relied upon. Except for
good cause shown, no assignment of error by any party shall rely on any
question of fact or law upon which the Judge had not been afforded an
opportunity to pass.
(e) Statement in opposition. A statement in opposition to the
petition for discretionary review may be filed, but such filing shall in
no way delay action on the petition.
(f) Scope of review. If a petition is granted, review shall be
limited to the questions raised by the petition.
(g) Denial of petition. A petition not granted within 20 days after
receipt of the petition is deemed denied.
(h) The decision of the Director shall be final with respect to the
provider's participation in the program, and shall not be subject to
further review by any court or agency.
20 CFR 10.456 Effects of exclusion.
(a) The Office shall give notice of the exclusion of a physician,
hospital, or provider of medical support services or supplies to:
(1) All OWCP district offices;
(2) All employing Federal agencies;
(3) The Health Care Financing Administration;
(4) The State of Local authority responsible for licensing or
certifying the excluded party;
(5) All claimants who are known to have had treatment, services or
supplies from the excluded person within the six month period
immediately preceding the order of exclusion.
(b) Notwithstanding any exclusion of a physician, hospital, or
provider of medical support survices or supplies under this subpart, the
Office shall not refuse a claimant reimbursement for any otherwise
reimbursable medical treatment, service or supply if:
(1) Such treatment, service or supply was rendered in an emergency by
an excluded physician; or
(2) Claimant could not reasonably have been expected to have known of
such exclusion.
(c) A claimant who is notified that his or her attending physician
has been excluded shall have a new right to select a duly qualified
physician. See 10.401(b).
20 CFR 10.457 Reinstatement.
(a) If a physician, hospital, or provider of medical support services
or supplies has been automatically excluded pursuant to 10.451, the
person excluded will automatically be reinstated upon notice to the
Office that the conviction or exclusion which formed the basis of the
automatic exclusion has been reversed or withdrawn. However, an
automatic reinstatement shall not preclude the Office from instituting
exclusion proceedings based upon the underlying facts of the matter.
(b) A physician, hospital, or provider of medical support services or
supplies excluded from participation as a result of an order issued
pursuant to this subpart may apply for reinstatement one year after the
entry of the order of exclusion, unless the order expressly provides for
a shorter period. An application for reinstatement shall be addressed
to the Associate Director for Federal Employees' Compensation, and shall
contain a concise statement of the basis for the application. The
application should be accompanied by supporting documents and
affidavits.
(c) A request for reinstatement may be accompanied by a request for
oral argument. Oral argument will be allowed only in unusual
circumstances where it will materially aid the decisional process.
(d) The Associate Director shall order reinstatement only in
instances where such reinstatement is clearly consistent with the
ultimate goal of this subpart which is to protect the FECA program
against fraud and abuse. To satisfy this requirement the provider must
provide reasonable assurances that the basis for the exclusion will not
be repeated.
20 CFR 10.457 Subpart G -- Cases Involving the Liability of a Third Party
20 CFR 10.500 Prosecution of third party action by a beneficiary.
If an injury or death for which benefits are payable under the Act is
caused under circumstances creating a legal liability upon some person
or persons other than the United States to pay damages, the Office may
require the beneficiary to prosecute an action for damages against the
third party. When so required, the cause of action shall be prosecuted
in the name of the beneficiary.
(52 FR 10522, Apr. 1, 1987)
20 CFR 10.501 Assignment of third party.
If an injury or death for which benefits are payable under the Act is
caused under circumstances creating a legal liability upon some person
other than the United States to pay damages therefore, the beneficiary
shall, if required by the Office assign any right of action he may have
to the United States. All such assignments shall be in writing and no
such cause of action shall vest in the United States unless and until
the assignment is accepted by the Office.
20 CFR 10.502 Refusal to assign or prosecute claim when required;
effect.
Refusal on the part of a beneficiary to assign his right of action to
the United States or to prosecute an action in his own name when
required to do so pursuant to 10.500 or 10.501, shall deprive the
beneficiary of all rights to benefits under the Act.
20 CFR 10.503 Distribution of damages recovered by beneficiary.
If an injury or death for which benefits are payable under the Act is
caused under circumstances creating a legal liability upon a person or
persons other than the United States to pay damages and, as a result of
claim brought by or settlement made by the beneficiary or by someone
acting on the beneficiary's behalf, the beneficiary recovers damages or
receives money or other property in satisfaction of the liability on
account of that injury or death, the proceeds of the recovery shall be
applied as follows:
(a) If an attorney is employed, a reasonable attorney's fee and cost
of collection, if any, shall first be deducted from the gross amount of
the settlement;
(b) The beneficiary is entitled to retain one-fifth of the net amount
of the money or other property remaining after the expenses of a suit or
settlement have been deducted.
(c) There shall then be remitted to the Office the benefits which
have been paid on account of the injury including payments made on
account of medical treatment, transportation costs, funeral expenses,
and any other payments made under the Act on account of the injury or
death, but not including continuation of pay as provided by 5 U.S.C.
8118. If an attorney was employed, the amount to be remitted to the
Office shall be reduced by an amount equivalent to a reasonable
attorney's fee proportionate to any refund to the United States.
(d) Any surplus remaining after proper refund has been made to the
Office may be retained by the beneficiary but shall be credited by the
Office against future payment of benefits to which the beneficiary may
be entitled under the Act on account of the same injury or death.
(40 FR 6877, Feb. 14, 1975, as amended at 52 FR 10522, Apr. 1, 1987)
20 CFR 10.504 Distribution of damages where cause of action is
assigned.
If recovery is realized upon a cause of action assigned to the United
States pursuant to 5 U.S.C. 8131, the money or other property so
received shall be applied in the following manner: After deducting the
amount of any payments made under the Act in respect of the injury or
death on account of which the cause of action arose, and the expense of
such realization or collection, which sum shall be placed to the credit
of the proper fund of the Office, the surplus, if any, of such amount
received shall be paid to the beneficiary and credited pro tanto upon
any future payment of benefits payable to him on account of the same
injury. However, the beneficiary is entitled to not less than one-fifth
of the net amount of a settlement or recovery remaining after the
expenses of such realization or collection have been deducted.
20 CFR 10.505 Office may require beneficiary to settle or compromise
third party suit.
Where a beneficiary under the Act has commenced an action in his or
her own name or has initiated such action through an administrator of a
deceased person to recover damages against the third party liable for
the injury or death, the Office shall, at all times, have authority to
require the beneficiary or such administrator to settle or compromise
such action whenever it shall determine that further prosecution of the
cause of action is not warranted. Refusal on the part of such
beneficiary or other person acting in the interest of the beneficiary to
make such settlement or to effect such compromise when so directed shall
be deemed to be sufficient cause for refusal on the part of the Office
to pay or cause to be paid any benefits under the Act on account of the
same injury or death, or the Office may suspend or cause to suspend the
payment of benefits under the Act during the period of such refusal.
20 CFR 10.506 Official superior's responsibility in cases involving
potential third party liability.
If it appears that an injury or death for which benefits are payable
under the Act was caused under circumstances creating a legal liability
upon a person or persons other than the United States to pay damages,
the official superior or other agency official shall investigate the
third party aspect of the injury or death and submit a report of the
findings with related documents to the Office.
(52 FR 10523, Apr. 1, 1987)
20 CFR 10.507 Satisfaction of the interest of the United States.
No court, insurer, attorney, or other person shall pay or distribute
to the beneficiary or the beneficiary's designee the proceeds of any
suit or settlement without first satisfying or assuring satisfaction of
the interest of the United States.
(52 FR 10523, Apr. 1, 1987)
20 CFR 10.507 Subpart H -- Special Category Employees
Source: 52 FR 10523, Apr. 1, 1987, unless otherwise noted.
20 CFR 10.507 Peace Corps Volunteers
20 CFR 10.600 Definition of volunteer.
The term ''volunteer'' means --
(a) A volunteer enrolled in the Peace Corps under 22 U.S.C. 2504;
(b) A volunteer leader enrolled in the Peace Corps under 22 U.S.C.
2505; and
(c) An applicant for enrollment as a volunteer or volunteer leader
during a period of training under 22 U.S.C. 2507(a) before enrollment.
20 CFR 10.601 Applicability of the Act.
Except as provided by 5 U.S.C. 8142 and elsewhere in this subpart,
the provisions of the Act are applicable to Peace Corps volunteers.
20 CFR 10.602 When disability compensation commences.
Pursuant to 5 U.S.C. 8142(b), entitlement to disability compensation
payments does not commence until the day after the date of termination
of the volunteer's service.
20 CFR 10.603 Pay rate for compensation purposes.
(a) The pay rate of a volunteer is the lowest step of grade 7 of the
General Schedule.
(b) The pay rate of a volunteer leader is the lowest step of grade 11
of the General Schedule.
(c) The pay rate of a volunteer with one or more minor children as
defined in 22 U.S.C. 2504 is the lowest step of grade 11 of the General
Schedule.
(d) The pay rate for compensation purposes is defined as the pay rate
in effect on the date following separation, provided that it is equal to
or greater than the pay rate on the date of injury, and is not subject
to the provisions of 5 U.S.C. 8101(4).
20 CFR 10.604 Period of service as a volunteer.
The period of service of an individual as a volunteer includes any
period of training under 22 U.S.C. 2507(a) before enrollment as a
volunteer and the period between enrollment as a volunteer and the
termination of service as a volunteer by the President or by death or
resignation.
20 CFR 10.605 Conditions of coverage while serving outside the United
States and the District of Columbia.
(a) Any injury suffered by a volunteer during any time when the
volunteer is located abroad shall be presumed to have been sustained in
the performance of duty and any disease or illness contracted during
such time shall be presumed to be proximately caused by the employment,
except the presumption will be rebutted by evidence that:
(1) The injury or disease or illness was caused by the volunteer's
willful misconduct, intent to bring about the injury or death of self or
another, or was proximately caused by the intoxication by alcohol or
illegal drugs of the injured volunteer; or
(2) The disease or illness is shown to have pre-existed the period of
service abroad; or
(3) The disease or illness or condition claimed is either a
manifestation of symptoms of or consequent to a pre-existing congenital
defect or abnormality.
(b) If an injury is not presumed to have been sustained in the
performance of duty as provided by paragraph (a) of this section, the
volunteer has the burden of proving by the submission of substantial and
probative evidence that the injury was sustained in the performance of
duty with the Peace Corps.
(c) If a disease or illness or claimed condition, or episode thereof,
comes within exception paragraph (a)(2) or (a)(3) of this section, the
volunteer has the burden of proving by the submission of substantial,
probative and reasoned medical evidence that it was proximately caused
by the factors of conditions of Peace Corps service, or that the
condition was materially aggravated, or accelerated or precipitated by
factors of Peace Corps Service.
20 CFR 10.605 Non-Federal Law Enforcement Officers
20 CFR 10.610 Definition of a law enforcement officer.
For purposes of this subpart, a law enforcement officer is defined as
an employee of a State or local government including the governments of
U.S possessions and territories, or an employee of the United States
pensioned or pensionable under Sections 521-535 of Title 4, District of
Columbia Code, whose functions include one or more of the following:
(a) The apprehension of persons sought for the commission of crimes,
including those sought by a law enforcement agency for such commission,
as well as material witnesses sought in connection with criminal cases;
or
(b) The protection or guarding of persons held for the commission of
crimes or as such material witnesses; or
(c) The prevention of the commission of crimes.
20 CFR 10.611 Applicability.
Except as provided by 5 U.S.C. 8191 and 8192 and elsewhere in this
subpart, the provisions of the Act and Subparts A, B, and D through G
are applicable to law enforcement officers, as defined in 10.610.
20 CFR 10.612 Conditions for eligibility.
(a) The benefits of the Act are available as provided in 5 U.S.C.
8191 et seq. and this subpart to a law enforcement officer as defined
in 10.610 and his or her survivors if the Office determines that an
individual on any given occasion was --
(1) A law enforcement officer and to have been engaged on a given
occasion in the apprehension or attempted apprehension of any person:
(i) For the commission of a crime against the United States, or
(ii) Who at that time was sought by a law enforcement authority of
the United States for the commission of a crime against the United
States, or
(iii) Who at that time was sought as a material witness in a criminal
proceeding instituted by the United States; or
(2) A law enforcement officer and to have been engaged on that
occasion in protecting or guarding a person held for the commission of a
crime against the United States or as a material witness in connection
with such crime; or
(3) A law enforcement officer and to have been engaged on that
occasion in the lawful prevention of, or lawful attempt to prevent, the
commission of a crime against the United States;
and to have been on that occasion not an employee as defined in 5
U.S.C. 8101 (1) and to have sustained on that occasion a personal injury
for which the United States would be required under 5 U.S.C. 8101 to
pay compensation if the individual has been on that occasion an employee
within the meaning of 5 U.S.C. 8101 (1) engaged in the performance of
duty.
(b) The mere fact that an injury to a law enforcement officer is in
some way related to the commission of a Federal crime does not in itself
bring the injury within the scope of this subpart. For the purpose of
this subpart, being engaged in the apprehension or attempted
apprehension of a person for the commission of a crime against the
United States requires that the specific criminal activity which caused
the officer's response was an actual Federal crime. Further, where the
actions which result in an injury to an officer are based solely on a
local police matter, the later discovery (i.e., discovery after the
arrest has been made) of a Federal crime or potential Federal crime does
not in itself bring the injury within the meaning of 5 U.S.C. 8191. For
example, coverage under this subpart would extend to an officer who
responded to an armed robbery and who was shot by the suspect. (For the
purpose of this example, the suspect must be illegally in possession of
a firearm in violation of Federal law.) With the officer's knowledge of
an armed robbery (and/or the actual viewing of a firearm in the
possession of the suspect), the firearm would be both an integral part
of a Federal crime and a part of the specific criminal activity to which
the officer was reacting. Coverage would be extended in this situation
even though the officer may not have been aware at the time that the
suspect was in fact in violation of Federal law. However, coverage
under this subpart would not be extended to an officer injured while
apprehending an individual for a violation of local law where it is
discovered during a search of the individual (i.e., after the arrest has
been made) that the individual was in violation of Federal law due to
illegal possession of a controlled substance. In this situation, even
though the individual was in violation of Federal law, the existence of
the controlled substance was not a part of the specific criminal
activity to which the officer was responding and thus did not play a
part in the apprehension. Coverage would be extended in this situation
if the officer had been aware of the existence of the substance prior to
the arrest being made. To be considered a part of the criminal
activity, it would not be necessary for the officer to know the nature
of the substance, but only that the officer had reason to believe it was
a controlled substance. If later investigation showed that the
substance was not in fact a controlled substance, coverage would not be
extended since no Federal crime had in fact been committed. Similarly,
an officer injured while responding to an alarm of a robbery at a
federally insured bank would be entitled to benefits as provided by this
subpart. However, coverage would not be extended where the alarm was
false since no Federal crime had actually occurred.
(c) Coverage for injuries or death while a law enforcement officer
and to have been engaged on that occasion in the lawful prevention of,
or lawful attempt to prevent, the commission of a crime against the
United States shall not attach unless a Federal crime had been committed
or was about to be committed. Whether or not a Federal crime was about
to be committed cannot be open to speculation. The threat must be
actual and imminent. However, in situations where the officer is
detailed by a competent State or local authority to assist a Federal law
enforcement authority in the protection of the President of the United
States, or any other individual entitled to be provided or actually
provided protection by the U.S. Secret Service pursuant to 18 U.S.C.
3056(a), 3 U.S.C. 202-209, and the regulations promulgated pursuant to
the latter provisions at 13 CFR 13.1-13.8, coverage will be extended for
injury or death sustained in such activity, because the threat of
Federal crime in those circumstances is presumed to be always imminent.
(d) No person otherwise eligible to receive a benefit under this
subpart because of the disability or death of an eligible officer shall
be barred from the receipt of such benefit because the person
apprehended or attempted to be apprehended by such officer was then
sought for the commission of a crime against a sovereignty other than
the United States.
(e) Coverage for members of the U.S. Park Police and those members of
the Uniformed Division of the U.S. Secret Service who are covered under
the District of Columbia Policemen and Firemen's Retirement and
Disability Act is limited to specific activities involving crimes
against the United States, and does not include numerous tangential
activities of law enforcement, such as reporting for work, changing
clothing etc., even though the laws enforced in the job deal solely with
crimes against the United States. However, members of the Non-Uniformed
Division of the U.S. Secret Service who are covered under the District
of Columbia Policemen and Firemen's Retirement and Disability Act are
considered to be engaged in the types of activities specified in 5
U.S.C. 8191 (1) through (3), and are covered by the provisions of 5
U.S.C. 8191-8193 during the performance of all official duties.
20 CFR 10.613 Time for filing a claim.
A claim for benefits under the Act must be received by the Office
within 5 years after the injury or death. The five-year limitation is
maximum and mandatory and is not subject to waiver.
20 CFR 10.614 How to file a notice of injury or death.
(a) A claim for benefits due to the injury or death of an eligible
officer shall be made by --
(1) Any eligible officer or survivor of an eligible officer,
(2) Any guardian, personal representative, or other person legally
authorized to act on behalf of an eligible officer, his or her estate,
or any of his or her survivors, or
(3) Any association of law enforcement officers which is acting on
behalf of an eligible officer or any of his or her survivors.
(b) The form provided for filing a claim for injury or occupational
disease is CA-721.
(c) The form provided for filing a claim for death is CA-722.
(d) A claim for benefits should be submitted to the officer's
employing agency for completion and forwarding to the Office of Workers'
Compensation Programs.
20 CFR 10.615 Benefits.
(a) In the event of injury the Office shall furnish to any eligible
officer the benefits, except for Continuation of Pay, to which he or she
would have been entitled under Subparts A through H of this part if, on
the occasion giving rise to eligibility, the officer had been an
employee as defined in 5 U.S.C. 8101(1) engaged in the performance of
duty. However, such benefits shall be reduced or adjusted as the
Secretary in his discretion may deem appropriate to reflect comparable
benefits, if any, received by the officer (or which the officer would
have been entitled to receive but for this subpart) by virtue of actual
employment on that occasion. When an eligible officer has contributed
to a disability compensation fund, the reduction of Federal benefits
provided for in this subsection is to be limited to the amount of the
State or local government benefits which bears the same proportion to
the full amount of such benefits as the cost or contribution paid by the
State or local government bears to the cost of disability coverage for
the individual officer.
(b) In the event of death the Secretary shall pay to any survivor of
an eligible officer the difference, as determined by the Secretary in
his discretion, between the benefits to which that survivor would be
entitled if the officer had been an employee defined in 5 U.S.C.
8101(1) engaged in the performance of duty on the occasion giving rise
to eligibility, and the comparable benefits, if any, received by the
survivor (or which that survivor would have been entitled to receive but
for this subpart) by virtue of the officer's actual employment on that
occasion. When an eligible officer has contributed to a survivor's
benefit fund, the reduction of Federal benefits provided for in this
subsection is to be limited to the amount of the State or local
government benefits which bears the same proportion to the full amount
of such benefits as the cost or contribution paid by the State or local
government bears to the cost of survivors' benefits coverage for the
eligible officer.
20 CFR 10.616 Computation of benefits.
(a) In determining the amount of benefits payable to an eligible
officer or survivors of an eligible officer, the Office shall compute
the beneficiaries' entitlement under the Act including applicable
cost-of-living adjustments under 5 U.S.C. 8146a, then reduce the amounts
by any comparable benefits payable by a State or local entity for the
same injury or death.
(b) Benefits payable under the Public Safety Officers' Benefit Act
(42 U.S.C. 3796) for the same death constitute a prohibited dual benefit
and any benefits payable under the Act will be reduced commensurate with
the amounts payable under 42 U.S.C. 3796. Where a lump sum benefit is
paid under 42 U.S.C. 3796, no benefits under the Act will be paid to a
beneficiary until the entire amount, or the individual beneficiaries'
portions of the entire amount, has been fully recovered.
(c) Where one or more beneficiaries in a death claim is not eligible
to receive compensation due to the fact that comparable benefits from a
State or local program or benefits payable under another Federal program
exceed what is payable to the individual(s) under the Act, no adjustment
shall be made to the percentage(s) upon which compensation is computed
for other beneficiaries until the happening of an event which would
otherwise change the criteria for determining entitlement under the Act,
e.g., death or remarriage of a spouse, a child turning 18 or marrying,
or the birth of a posthumous child.
20 CFR 10.617 Responsibilities of the claimant, the employing agency
and the Office.
(a) The claimant, or someone acting on his or her behalf as specified
in 10.614(a), shall be responsible for fully completing all forms, or
portions thereof, which require information of the claimant, as well as
for providing any supporting documentation or statements requested in
support of the claim for benefits.
(b) The employing law enforcement agency is responsible for fully
completing all necessary portions of claim forms designated for the
employing agency and for submitting evidence necessary to the Officer's
determination of coverage under 5 U.S.C. 8191 including police reports,
investigative reports, and records providing or disproving the
involvement of a Federal crime or Federal felony.
(c) The Office is responsible for evaluating a claim, advising of the
deficiencies in a claim and requesting supportive information of the
claimant and employing agency. Nothing in this subpart shall be
construed as placing the burden on the Office to secure the information
needed to discharge the responsibilities of the claimant(s) or the
employing agency.
20 CFR 10.618 Consultation with Attorney General and other agencies.
The Secretary may refer any application received pursuant to this
subpart to the Attorney General for assistance, comments and advice as
to any determination required to be made pursuant to 5 U.S.C. 8191. The
Secretary may request any Federal department or agency to supply any
statistics, data or any other materials deemed necessary to carry out
the functions of this subpart. Each such department or agency shall
cooperate with the Secretary and, to the extent permitted by law,
furnish such materials to him or her.
20 CFR 10.619 Cooperation with State and local agencies.
The Secretary shall cooperate fully with the appropriate State and
local officials, and shall take all other practicable measures, to
assure that the benefits of this subpart and the Act are made available
to eligible officers and their survivors with a minimum of delay and
difficulty.
20 CFR 10.619 Federal Grand and Petit Jurors
20 CFR 10.620 Definition of juror.
The term ''juror'' means an individual selected pursuant to Chapter
21 of Title 28, United States Code, and serving as a petit or grand
juror.
20 CFR 10.621 Applicability.
Except as provided by 28 U.S.C. 1877 and elsewhere in the subpart,
the provisions of the Act and Subparts A, B, C, and D through G are
applicable to Federal grand or petit jurors as defined in 10.620.
20 CFR 10.622 Performance of duty.
(a) Performance of duty as a juror includes that time when a juror is
(1) In attendance at court pursuant to a summons,
(2) In deliberation,
(3) Sequestered by order of a judge, or
(4) At a site, by order of the court, for the taking of a view.
(b) For the purposes of this subpart, a juror is not in the
performance of duty while traveling to or from home in connection with
the activities enumerated in paragraphs (a)(1) through (4) of this
section.
20 CFR 10.623 When disability compensation commences.
Pursuant to 28 U.S.C. 1877, entitlement to disability compensation
payments does not commence until the day after the date of termination
of service as a juror.
20 CFR 10.624 Pay rate for compensation purposes.
For the purpose of computing compensation payable for disability or
death, a juror is deemed to receive pay at the minimum rate for grade
GS-2 of the General Schedule unless his or her actual pay as a
Government employee while serving on court leave is higher, in which
case the pay rate for compensation purposes is determined in accordance
with 5 U.S.C. 8114.
20 CFR 10.624 PART 25 -- COMPENSATION FOR DISABILITY AND DEATH OF NONCITIZEN FEDERAL EMPLOYEES OUTSIDE THE UNITED STATES
20 CFR 10.624 Subpart A -- General Provisions
Sec.
25.1 General statement.
25.2 General adoption of local law.
25.3 General provisions relating to special schedule.
25.4 Authority to settle and pay claims.
25.5 Applicable criteria.
25.6 Third and fourth country nationals.
25.7 Non-citizen residents of possessions.
20 CFR 10.624 Subpart B -- Special Schedule of Compensation
25.11 Compensation for disability.
25.12 Compensation for death.
25.13 General provisions.
20 CFR 10.624 Subpart C -- Extensions of Special Schedule of
Compensation
25.21 Republic of the Philippines.
25.22 Australia.
25.23 -- 25.24 (Reserved)
25.25 Republic of Korea.
25.26 Japanese seamen.
25.27 Territory of Guam (nonresident aliens).
Authority: Sec. 32, 39 Stat. 749, as amended; (5 U.S.C. 8145,
8149); 1946 Reorg. Plan No. 2, sec. 3, 3 CFR 1943-1948 Comp., p.
1064; 60 Stat. 1095; 1950 Reorg. Plan No. 19, sec. 1, 3 CFR
1949-1953 Comp., p. 1010; 64 Stat. 1271, unless otherwise noted.
Source: 40 FR 6891, Feb. 14, 1975, unless otherwise noted.
20 CFR 10.624 Subpart A -- General Provisions
20 CFR 25.1 General statement.
The provisions of this part shall apply in respect to compensation,
under the Federal Employees' Compensation Act, payable only to employees
of the United States who are neither citizens nor residents of the
United States, any territory, or Canada, or payable to any dependents of
such employees. It has previously been determined, pursuant to 5 U.S.C.
8137, that the amount of compensation, as provided under such Act, is
substantially disproportionate to the compensation for disability or
death which is payable in similar cases under local law, regulation,
custom, or otherwise, in areas outside the United States, any territory,
or Canada. Therefore, in respect to cases of such employees whose
injury (or injury resulting in death) has occurred subsequent to
December 7, 1941, or may occur, the following provisions shall be
applicable.
20 CFR 25.2 General adoption of local law.
(a) Pursuant to the provisions of 5 U.S.C. 8137, the benefit features
of local workers' compensation laws, or provisions in the nature of
workers' compensation, in effect in the areas referred to in 25.1,
shall, effective as of December 7, 1941, by adoption and adaptation, as
recognized by the Director, Office of Workers' Compensation Programs,
apply in the cases of the employees specified in 25.1: Provided,
however, That there is not established and promulgated under this part,
for the particular locality, or for a class of employees in the
particular locality, a special schedule of compensation for injury or
death.
(b) The benefit provisions as thus adopted or adapted are those
dealing with the money payments for injury and death (including
provisions dealing with medical, surgical, hospital and similar
treatment and care), as well as those dealing with services and purposes
forming an integral part of the local plan, provided they are of a kind
or character similar to services and purposes authorized by the Federal
Employees' Compensation Act. Procedural provisions, designations of
classes of beneficiaries in death cases, limitations (except those
affecting amounts of benefit payments), and any other provisions not
directly affecting the amounts of the benefit payments, in such local
plans, shall not apply, but in lieu thereof the pertinent provisions of
the Federal Employees' Compensation Act shall apply, unless modified by
further specification in this section. However, the Director may at any
time modify, limit or redesignate the class or classes of beneficiaries
entitled to death benefits, including the designation of persons,
representatives, or groups entitled to payment under local statute or
custom whether or not included in the classes of beneficiaries otherwise
specified by this subchapter.
(c) Compensation in all cases of such employees paid and closed prior
to the effective date of the regulations in this part shall be deemed
compromised and paid under 5 U.S.C. 8137; in all other cases
compensation may be adjusted to conform with the regulations in this
part, or the beneficiary may by compromise or agreement with the
Director have compensation continued on the basis of a previous
adjustment of the claim.
(d) Persons employed in a country or area having no well-defined
workers' compensation benefits structure shall be accorded the benefits
provided -- either by local law or special schedule -- in a nearby
country as determined by the Director. In selecting the benefit
structure to be applied, equity and administrative feasibility shall be
given due consideration, as well as local custom.
(e) Compensation for disability and death of noncitizens outside the
United States under this part, whether paid under local law or special
schedule, shall in no event exceed that generally payable under the
Federal Employees' Compensation Act.
20 CFR 25.3 General provisions relating to special schedule.
The special schedule established by Subpart B of this part is
intended as the vehicle of general basic provisions, to be adapted, with
such modifications as may be necessary, and as local conditions outside
the United States require. The application of this special schedule
will be by specific and appropriate provision in the regulations in this
part, such provision specifying the locality to which applied, and the
particular modifications of or additions to the schedule, as may be
made.
20 CFR 25.4 Authority to settle and pay claims.
In addition to the authority to receive, process, and pay claims,
when delegated such representative or agency receiving delegation of
authority shall, in respect to cases adjudicated under this part, and
when so authorized by the Director, have authority (a) to make lump sum
awards (in the manner prescribed by 5 U.S.C. 8135) whenever such
authorized representative shall deem such settlement to be for the best
interest of the United States, and (b) to compromise and pay claims for
any benefits provided for under this part, including claims in which
there is a dispute as to jurisdiction or other facts, or questions of
law. The Director shall, in administrative instructions to the
particular representative concerned, establish such procedures in
respect to action under this section as may be deemed necessary, and may
specify the scope of any administrative review of such action.
20 CFR 25.5 Applicable criteria.
The following criteria shall apply to cases of employees specified in
25.1 and such cases, if otherwise compensable, shall be approved only
upon evidence of the following nature without regard to the date of
injury or death for which claim is made:
(a) Appropriate certification by the Federal employing establishment,
or;
(b) An armed service's casualty or medical record, or;
(c) Verification of the employment and casualty by military
personnel, or;
(d) Recommendation of an armed service's ''Claim Service'' based on
investigations conducted by it.
(79 Stat. 592)
20 CFR 25.6 Third and fourth country nationals.
(a) Definitions. (1) A third country national is a person who is
neither a citizen nor resident of the United States who is hired by the
United States in the person's country of citizenship or residence for
employment in another foreign country, or in a possession or territory
of the United States.
(2) A fourth country national is a person who is neither a citizen
nor resident of either the country of hire or the place of employment,
but otherwise meets the definition of third country national.
(3) ''Benefits applicable to local hires'' are the benefits provided
in this part by local law or special schedule, as determined by the
Director. In relation to a United States territory or possession, local
law means only the law of the particular territory or possession.
(b) Benefits payable. (1) Third and fourth country nationals shall
be paid the benefits applicable to local hires in the country of hire or
the place of employment, whichever benefits are greater, provided that
all benefits payable on account of one injury must be paid under the
same benefit structure.
(2) Where no well-defined workers' compensation benefits structure is
provided in either the country of hire or the place of employment, the
provisions of 25.2(d) shall apply.
(3) Where equitable considerations as determined by the Director so
warrant, a fourth country national may be awarded benefits applicable to
local hires in his home country.
20 CFR 25.7 Non-citizen residents of possessions.
An employee who is a bona fide permanent resident of any United
States possession, territory, commonwealth or trust territory shall be
accorded the full benefits of the basic law (Federal Employees'
Compensation Act, as amended), provided that the application of the
minimum benefit provisions therein shall be governed by the restrictions
set forth in 5 U.S.C. 8138.
20 CFR 25.7 Subpart B -- Special Schedule of Compensation
20 CFR 25.11 Compensation for disability.
Compensation for disability shall be paid to the employee as follows:
(a) Permanent total disability. In case of disability, total in
character and permanent in quality, 66 2/3 per centum of the monthly pay
during the continuance of such disability.
(b) Temporary total disability. In case of disability, total in
character and temporary in quality, 66 2/3 per centum of the monthly pay
during the continuance of such disability.
(c) Permanent partial disability. In case of disability, partial in
character and permanent in quality, 66 2/3 per centum of the monthly
pay, for the following losses and periods:
(1) Arm lost, 280 weeks' compensation.
(2) Leg lost, 248 weeks' compensation.
(3) Hand lost, 212 weeks' compensation.
(4) Foot lost, 173 weeks' compensation.
(5) Eye lost, 140 weeks' compensation.
(6) Thumb lost, 51 weeks' compensation.
(7) First finger lost, 28 weeks' compensation.
(8) Great toe lost, 26 weeks' compensation.
(9) Second finger lost, 18 weeks' compensation.
(10) Third finger lost, 17 weeks' compensation.
(11) Toe, other than great toe, lost, 8 weeks' compensation.
(12) Fourth finger lost, 7 week's compensation.
(13) Loss of hearing: One ear, 52 weeks' compensation; both ears,
200 weeks' compensation.
(14) Phalanges: Compensation for loss of more than one phalanx of a
digit shall be the same as for the loss of the entire digit.
Compensation for loss of the first phalanx shall be one-half of the
compensation for the loss of the entire digit.
(15) Amputated arm or leg: Compensation for an arm or a leg, if
amputated at or above the elbow or the knee, shall be the same as for
the loss of the arm or leg; but, if amputated between the elbow and the
wrist, or between the knee and the ankle, the compensation shall be the
same as for the loss of the hand or the foot.
(16) Binocular vision or per centum of vision: Compensation for loss
of binocular vision, or for 80 per centum or more of the vision of an
eye shall be the same as for the loss of the eye.
(17) Two or more digits: Compensation for loss of two or more
digits, one or more phalanges of two or more digits of a hand or foot
may be proportioned to the loss of use of the hand or foot occasioned
thereby, but shall not exceed the compensation for the loss of a hand or
a foot.
(18) Total loss of use: Compensation for a permanent total loss of
use of a member shall be the same as for loss of the member.
(19) Partial loss or partial loss of use: Compensation for permanent
partial loss or loss of use of a member may be for proportionate loss of
use of the member.
(20) Consecutive awards: In any case in which there shall be a loss
or loss of use of more than one member or parts of more than one member,
set forth in paragraphs (c) (1) to (19), inclusive, of this section but
not amounting to permanent total disability, the award of compensation
shall be for the loss or loss of use of each such member or part
thereof, which awards shall run consecutively, except that where the
injury affects only two or more digits of the same hand or foot,
paragraph (c)(17) of this section shall apply.
(21) Other cases: In all other cases within this class of disability
the compensation during the continuance of disability shall be that
proportion of compensation for permanent total disability, as determined
under paragraph (a) of this section, which is equal in percentage to the
degree or percentage of physical impairment caused by the disability.
(22) Compensation under paragraph (c) (1) to (21), inclusive, of this
section for permanent partial disability shall be in addition to any
compensation for temporary total or temporary partial disability under
this section, and awards for temporary total, temporary partial, and
permanent partial disability shall run consecutively.
(d) Temporary partial disability. In case of disability, partial in
character and temporary in quality, during the continuance of disability
that proportion of compensation for temporary total disability, as
determined under paragraph (b) of this section, which is equal in
percentage to the degree or percentage of physical impairment caused by
the disability.
20 CFR 25.12 Compensation for death.
If the disability causes death the compensation shall be payable in
the amount and to or for the benefit of the persons, determined as
follows:
(a) To the undertaker or person entitled to reimbursement, reasonable
funeral expenses not exceeding $200.
(b) To the widow, if there is no child, 35 per centum of the monthly
pay until her death or remarriage.
(c) To the widower, if there is no child and if wholly dependent for
support upon the deceased employee at the time of her death, 35 per
centum of the monthly pay until his death or remarriage.
(d) To the widow or widower, if there is a child, the compensation
payable under paragraph (b) or (c) of this section, and in addition
thereto 10 per centum of the monthly wage for each child, not to exceed
a total of 66 2/3 per centum for such widow or widower and children. If
a child has a guardian other than the surviving widow or widower, the
compensation payable on account of such child shall be paid to such
guardian. The compensation of any child shall cease when he or she
dies, marries, or reaches the age of 18 years, or if over such age, and
incapable of self-support, becomes capable of self-support.
(e) To the children, if there is no widow or widower, 25 per centum
of such monthly pay for one child and 10 per centum thereof for each
additional child, not to exceed a total of 66 2/3 per centum thereof,
divided among such children share and share alike. The compensation of
each child shall be paid until he or she dies, marries, or reaches the
age of 18, or if over such age, and incapable of self-support, becomes
capable of self-support. The compensation of a child under legal age
shall be paid to its guardian, if there is one, otherwise to the person
having the custody or care of such child, for such child, as the
Director in his or her discretion shall determine.
(f) To the parents, if one is wholly dependent for support upon the
deceased employee at the time of his death and the other is not
dependent to any extent, 25 per centum of such monthly pay; if both are
wholly dependent, 20 per centum thereof to each; if one is or both are
partly dependent, a proportionate amount in the discretion of the
Director. The compensation to a parent or parents in the percentages
specified shall be paid if there is no widow, widower, or child, but if
there is a widow, widower, or child, there shall be paid so much of such
percentages for a parent or parents, as, when added to the total of the
percentages of the widow, widower, and children, will not exceed a total
66 2/3 per centum of such pay.
(g) To the brothers, sisters, grandparents, and grandchildren, if one
is wholly dependent upon the deceased employee for support at the time
of his or her death, 20 per centum of such pay to such dependent if more
than one are wholly dependent; 30 per centum of such pay, divided among
such dependents share and share alike; if there is no one of them
wholly dependent, but one or more are partly dependent, 10 per centum of
such pay divided among such dependents share and share alike. The
compensation to such beneficiaries shall be paid if there is no widow,
widower, child, or dependent parent. If there is a widow, widower,
child, or dependent parent, there shall be paid so much of the above
percentages as, when added to the total of the percentages payable to
the widow, widower, children, and dependent parents, will not exceed a
total of 66 2/3 per centum of such pay.
(h) The compensation of each beneficiary under paragraphs (f) and (g)
of this section shall be paid until he or she, if a parent or
grandparent, dies, marries, or ceases to be dependent, or, if a brother,
sister, or grandchild, dies, marries, or reaches the age of 18 years, or
if over such age and incapable of self-support becomes capable of
self-support. The compensation of a brother, sister, or grandparent
under legal age shall be paid to his or her guardian, if there is one,
otherwise to the person having the custody or care of such child, for
such child, as the Director in his or her discretion shall determine.
(i) Upon the cessation of any person's compensation for death under
this subpart, the compensation of any remaining person entitled to the
continuation of compensation in the same case shall be adjusted, so that
the continuing compensation shall be at the same rate such person would
have received, had no award been made to the person whose compensation
was terminated.
(j) In case there are two or more classes of persons entitled to
compensation for death under this subpart, and the apportionment of such
compensation as above provided would result in injustice, the Director
may in his or her discretion modify the apportionments to meet the
requirements of the case.
20 CFR 25.13 General provisions.
(a) The definitions of terms in the Federal Employees' Compensation
Act of September 7, 1916, as amended shall apply to terms used in this
subpart.
(b) The provisions of such Act unless modified by this subpart, or
unless otherwise inapplicable, shall be applied whenever possible in the
application of this subpart.
(c) The provisions of the regulations for the administration of the
Federal Employees' Compensation Act, as amended, and as supplemented
from time to time by instructions applicable to this subpart, shall
apply in the administration of compensation under this subpart, whenever
they can reasonably be applied.
20 CFR 25.13 Subpart C -- Extensions of Special Schedule of Compensation
20 CFR 25.21 Republic of the Philippines.
(a) Modified special schedule of compensation. The special schedule
of compensation established in Subpart B of this part shall apply, with
the modifications or additions specified in paragraphs (b) through (k)
of this section, in the Republic of the Philippines, to injury or death
occurring on or after July 1, 1968, with the following limitations:
(1) Temporary disability. Benefits for payments accruing on and
after July 1, 1969, for injuries causing temporary disability and which
occurred on and after July 1, 1968, shall be payable at the rates in the
special schedule as modified in this section.
(2) Permanent disability and death. Benefits for injuries occurring
on and after July 1, 1968, which cause permanent disability or death
shall be payable at the rates specified in the special schedule as
modified in this section for (i) all awards not paid in full before July
1, 1969, and (ii) any award paid in full prior to July 1, 1969:
Provided, That application for adjustment is made, and the adjustment
will result in additional benefits of at least $10. (In the case of
injuries or death occurring on or after December 8, 1941, and prior to
July 1, 1968, the special schedule as modified in this section may be
applied to prospective awards for permanent disability or death,
provided that the monthly and aggregate maximum provisions in effect at
the time of injury or death shall prevail. These maxima are $50 and
$4,000, respectively.)
(b) Death benefits. 400 weeks' compensation at two-thirds of the
weekly wage rate, shared equally by the eligible survivors in the same
class.
(c) Death beneficiaries. Benefits are payable to the survivors in
the following order of priority (all beneficiaries in the highest
applicable cases are entitled to share equally):
(1) Widow, dependent widower, and unmarried children under 18, or
over 18 and totally incapable of self-support.
(2) Dependent parents.
(3) Dependent grandparents.
(4) Dependent grandchildren, brothers and sisters who are unmarried
and under 18, or over 18 and totally incapable of self-support.
(d) Burial allowance. 14 weeks' wages or $400, whichever is less,
payable to the eligible survivor(s), regardless of the actual expense.
If there is no eligible survivor, actual burial expenses may be paid or
reimbursed, in amount not to exceed what would be paid to an eligible
survivor.
(e) Permanent total disability. 400 weeks' compensation at
two-thirds of the weekly wage rate.
(f) Permanent partial disability. Where applicable the compensation
provided in paragraphs (c) (1) through (19) of the special schedule,
subject to an aggregate limitation of 400 weeks' compensation. In all
other cases, provided for permanent total disability that proportion of
the compensation (paragraph (e) of this section) which is equivalent to
the degree or percentage of physical impairment caused by the
disability.
(g) Temporary partial disability. Two-thirds of the weekly loss of
wage-earning capacity.
(h) Compensation period for temporary disability. Compensation for
temporary disability is payable for a maximum period of 80 weeks.
(i) Maximum compensation. The total aggregate compensation payable
in any case, for injury or death or both, shall not exceed $8,000,
exclusive of medical costs and burial allowance. The weekly rate of
compensation disability or death shall not exceed $35.
(j) Method of payment. Only compensation for temporary disability
shall be payable periodically. Compensation for permanent disability
and death shall be payable in full at the time extent of entitlement is
established.
(k) Exceptions. The Director in his or her discretion may make
exceptions to these regulations by:
(1) Reapportioning death benefits, for the sake of equity.
(2) Excluding from consideration potential death beneficiaries who
are not available to receive payment.
(3) Paying compensation for permanent disability or death on a
periodic basis, where this method of payment is considered to be in the
best interest of the beneficiary.
20 CFR 25.22 Australia.
(a) The special schedule of compensation established by Subpart B of
this part shall apply with the modifications or additions specified in
paragraph (b) of this section, as of December 8, 1941, in Australia, in
all cases of injury (or death from injury) which occurred between
December 8, 1941 and December 31, 1961, inclusive, and shall be applied
retrospectively in all such cases of injury (or death from injury).
Compensation in all such cases pending as of July 15, 1946, shall be
readjusted accordingly, with credit taken in the amount of compensation
paid prior to such date. Refund of compensation shall not be required
if the amount of compensation paid in any such case, otherwise than
through fraud, mispresentation, or mistake, and prior to July 15, 1946,
exceeds the amount provided for under this paragraph; and such case
shall be deemed compromised and paid under 5 U.S.C. 8137.
(b) The total aggregate compensation payable in any case under
paragraph (a) of this section, for injury or death or both, shall not
exceed the sum of $4,000, exclusive of medical costs. The maximum
monthly rate of compensation in any such case shall not exceed the sum
of $50.
(c) The benefit amounts payable under the provisions of the
Commonwealth Employees' Compensation Act of 1930-1964, Australia, shall
apply as of January 1, 1962, in Australia, as the exclusive measure of
compensation in cases of injury (or death from injury) according on and
after January 1, 1962, and shall be applied retrospectively in all such
cases, occurring on and after such date: Provided, That the
compensation payable under the provisions of this paragraph shall in no
event exceed that payable under the Federal Employees' Compensation Act.
(5 U.S.C. 8137, 8138, 8145, 8149); Reorganization Plan No. 19 of
1950 (64 Stat. 1271, 3 CFR 1949-1953 Comp., p. 1010); and General Order
No. 46 (Rev.) (24 FR 8472))
25.23 -- 25.24 (Reserved)
20 CFR 25.25 Republic of Korea.
(a) Modified special schedule of compensation. The special schedule
of compensation established in Subpart B of this part shall apply, with
the modifications or additions specified in paragraphs (b) through (k)
of this section in the Republic of Korea, to injury or death occurring
on or after July 1, 1968, with the following limitations:
(1) Temporary disability. Benefits for payments accruing on and
after July 1, 1969, for injuries causing temporary disability and which
occurred on and after July 1, 1968, shall be payable at the rates
specified in the special schedule as modified in this section.
(2) Permanent disability and death. Benefits for injuries occurring
on and after July 1, 1968, which cause permanent disability or death
shall be payable at rates specified in the special schedule as modified
in this section for (i) all awards not paid in full before July 1, 1969,
and (ii) any award paid in full prior to July 1, 1969: Provided, That
application for adjustment is made, and the adjustment will result in
additional benefits of at least $10. (In the case of injury or death
occurring on or after December 1, 1954, and prior to July 1, 1968, the
special schedule as modified in this section may be applied to
prospective awards for permanent disability or death: Provided, That
the monthly and aggregate maximum provisions in effect at the time of
injury or death shall prevail. These maxima are $50 and $4,000,
respectively.)
(b) Death benefits. 400 weeks' compensation at two-thirds of the
weekly wage rate, shared equally by the eligible survivors in the same
class.
(c) Death beneficiaries. Benefits are payable to survivor or
survivors in the following order of priority:
(1) Spouse.
(2) Unmarried children who were supported by or lived with the
deceased employee at the time of death.
(3) Parents who were supported by or lived with the deceased employee
at the time of death.
(4) Unmarried grandchildren who were supported by or lived with the
deceased employee at the time of death.
(5) Grandparents who were supported by or lived with the deceased
employee at the time of death.
(6) Unmarried brothers and sisters who were supported by or lived
with the deceased employee at the time of death.
(d) Burial allowance. 14 weeks' wages or $400, whichever is less,
payable to the eligible survivor(s), regardless of the actual expense.
If there is no eligible survivor, actual burial expenses may be paid or
reimbursed, in an amount not to exceed what would be paid to an eligible
survivor.
(e) Permanent total disability. 400 weeks' compensation at
two-thirds of the weekly wage rate.
(f) Permanent partial disability. Where applicable, the compensation
provided in paragraphs (c) (1) through (19) of the special schedule,
subject to an aggregate limitation of 400 weeks' compensation. In all
other cases, that proportion of the compensation provided for permanent
total disability (paragraph (e) of this section) which is equivalent to
the degree or percentage of physical impairment caused by the
disability.
(g) Temporary partial disability. Two- thirds of the weekly loss of
wage-earning capacity.
(h) Compensation period of temporary disability. Compensation for
temporary disability is payable for a maximum period of 80 weeks.
(i) Maximum compensation. The total aggregate compensation payable
in any case, for injury or death or both, shall not exceed $8,000,
exclusive of medical costs and burial allowance. The weekly rate of
compensation for disability or death shall not exceed $35.
(j) Method of payment. Only compensation for temporary disability
shall be payable periodically. Compensation for permanent disability
and death shall be payable in full at the time extent of entitlement is
established.
(k) Exceptions. The Director may in his or her discretion make
exception to these regulations by:
(1) Reapportioning death benefits, for the sake of equity.
(2) Excluding from consideration potential death beneficiaries who
are not available to receive payment.
(3) Paying compensation for permanent disability or death on a
periodic basis, where this method of payment is considered to be in the
best interest of the beneficiary.