19 C.F.R. § 111.1

Definitions

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When used in this part, the following terms have the meanings indicated:

Appropriate Executive Director, Office of Trade. “Appropriate Executive Director, Office of Trade” means the Executive Director responsible for broker management.

Broker. “Broker” means a customs broker.

Broker's office of record. “Broker's office of record” means the office designated by a customs broker as the broker's primary location that oversees the administration of the provisions of this part regarding all activities conducted under a national permit.

Continuing broker education requirement. “Continuing broker education requirement” means an individual broker's obligation to complete a certain number of continuing education credits of qualifying continuing broker education, as set forth in subpart F of this part, in order to maintain sufficient knowledge of customs and related laws, regulations, and procedures, bookkeeping, accounting, and all other appropriate matters necessary to render valuable service to importers and drawback claimants.

Continuing education credit. “Continuing education credit” means the unit of measurement used for meeting the continuing broker education requirement. The smallest recognized unit is half of one continuing education credit, which requires 30 minutes of continuous participation in qualifying continuing broker education, as defined in § 111.103(a). For qualifying continuing broker education lasting more than 30 minutes, half of one continuing education credit may be claimed for every full 30 minutes of continuous participation thereafter. For example, for qualifying continuing broker education lasting more than 60 minutes but less than 90 minutes, only one continuing education credit may be claimed. In contrast, for qualifying continuing broker education lasting 90 minutes, 1.5 continuing broker education credits may be claimed.

Corporate compliance activity. “Corporate compliance activity” means activity performed by a business entity to ensure that documents for a related business entity or entities are prepared and filed with CBP using “reasonable care”, but such activity does not extend to the actual preparation or filing of the documents or their electronic equivalents. For purposes of this definition, a “business entity” is an entity that is registered or otherwise on record with an appropriate governmental authority for business licensing, taxation, or other legal purposes, and the term “related business entity or entities” encompasses a business entity that has more than a 50 percent ownership interest in another business entity, a business entity in which another business entity has more than a 50 percent ownership interest, and two or more business entities in which the same business entity has more than a 50 percent ownership interest.

Customs broker. “Customs broker” means a person who is licensed under this part to transact customs business on behalf of others.

Customs business. “Customs business” means those activities involving transactions with CBP concerning the entry and admissibility of merchandise, its classification and valuation, the payment of duties, taxes, or other charges assessed or collected by CBP on merchandise by reason of its importation, and the refund, rebate, or drawback of those duties, taxes, or other charges. “Customs business” also includes the preparation, and activities relating to the preparation, of documents in any format and the electronic transmission of documents and parts of documents intended to be filed with CBP in furtherance of any other customs business activity, whether or not signed or filed by the preparer. However, “customs business” does not include the mere electronic transmission of data received for transmission to CBP and does not include a corporate compliance activity.

Department of Homeland Security or any representative of the Department of Homeland Security. “Department of Homeland Security or any representative of the Department of Homeland Security” means any office, officer, or employee of the U.S. Department of Homeland Security, wherever located.

Employee. “Employee” means a person who meets the common law definition of employee and is in the service of a customs broker.

Executive Assistant Commissioner. “Executive Assistant Commissioner” means the Executive Assistant Commissioner of the Office of Trade at the Headquarters of U.S. Customs and Border Protection.

Freight forwarder. “Freight forwarder” means a person engaged in the business of dispatching shipments in foreign commerce between the United States, its territories or possessions, and foreign countries, and handling the formalities incident to such shipments, on behalf of other persons.

Officer. “Officer”, when used in the context of an association or corporation, means a person who has been elected, appointed, or designated as an officer of an association or corporation in accordance with statute and the articles of incorporation, articles of agreement, charter, or bylaws of the association or corporation.

Permit. “Permit” means a permit issued to a broker under § 111.19.

Person. “Person” includes individuals, partnerships, associations, and corporations.

Processing Center. “Processing Center” means the broker management operations of a Center of Excellence and Expertise (Center) that process applications for a broker's license under § 111.12(a), applications for a national permit under § 111.19(b) for an individual, partnership, association, or corporation, as well as submissions required in this part for an already-licensed broker.

Qualifying continuing broker education. “Qualifying continuing broker education” means any training or educational activity that is eligible or, if required, has been approved for continuing education credit, in accordance with § 111.103.

Records. “Records” means documents, data and information referred to in, and required to be made or maintained under, this part and any other records, as defined in § 163.1(a) of this chapter, that are required to be maintained by a broker under part 163 of this chapter.

Responsible supervision and control. “Responsible supervision and control” means that degree of supervision and control necessary to ensure the proper transaction of the customs business of a broker, including actions necessary to ensure that an employee of a broker provides substantially the same quality of service in handling customs transactions that the broker is required to provide. See § 111.28 for a list of factors which CBP may consider when evaluating responsible supervision and control.

Triennial period. “Triennial period” means a period of three years commencing on February 1, 1985, or on February 1 in any third year thereafter.

[T.D. 00-17, 65 FR 13891, Mar. 15, 2000, as amended by CBP Dec. 03-15, 68 FR 47460, Aug. 11, 2003; CBP Dec. 22-21, 87 FR 63313, Oct. 18, 2022; CBP Dec. 23-04, 88 FR 41258, June 23, 2023]

Notes of Decisions

Cited in 24 cases (1 in the last 5 years), 1979–2023 · leading case: United States v. UPS Customhouse Brokerage, Inc., 686 F. Supp. 2d 1337 (Ct. Intl. Trade 2010).

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United States v. UPS Customhouse Brokerage, Inc., 686 F. Supp. 2d 1337 (Ct. Intl. Trade 2010). · cites it 21× “The Court of Appeals held that Customs was required to consider each of the ten factors specifically listed in 19 C.F.R. § 111.1 when determining that Defendant failed to exercise responsible supervision and control of its customs business as required by 19 U.”

United States v. UPS Customhouse Brokerage, Inc., 575 F.3d 1376 (Fed. Cir. 2009). · cites it 4× “” “Responsible supervision and control” is defined in 19 C.F.R. § 111.1 : Responsible supervision and control.”

United States v. UPS Customhouse Brokerage, Inc., 714 F. Supp. 2d 1296 (Ct. Intl. Trade 2010). · cites it 6× “Argument 1: A New Controlling Legal Standard Required Remand or Reopening Trial This argument consists of two propositions: that (a) the CAFC Decision announced a new controlling legal standard regarding the correct interpretation of 19 C.F.R. § 111.1 (“ § 111.1”), and (b) that…”

United States v. UPS Customhouse Brokerage, Inc., 558 F. Supp. 2d 1331 (Ct. Intl. Trade 2008). · cites it 9× “§ 1641 (a), 22 it explicitly delegated gap-filling authority to Customs. 19 U.S.C. § 1641 (f) (2000).”

In Re Grand Jury Proceedings. Robert M. McCoy & Charles Sussman, 601 F.2d 162 (5th Cir. 1979). “19 C.F.R. § 111.1 (e) (1978). 4 . In Maness, supra, the Court rejected the assertion that the individual to whom an order to produce documents was directed would still be protected after disclosure because he could later move to suppress or object on fifth amendment grounds to…”

Haddon Hous. Assocs., LLC v. United States, 99 Fed. Cl. 311 (Fed. Cl. 2011). “1989)) (construing a provision of 19 C.F.R. § 111.1 stating that Customs and Border Protection “will consider” certain factors to determine whether a customs broker exercises “responsible supervision and control” to mean that Customs was required to consider such factors); see…”

Danner v. Int'l Freight Sys. of Washington, LLC, 855 F. Supp. 2d 433 (D. Maryland 2012). “” 19 C.F.R. § 111.1 . In turn, “customs business” includes “activities involving transactions with [U.”

Grandits v. United States, 66 Fed. Cl. 519 (Fed. Cl. 2005). “19 C.F.R. § 111.1 (Apr. 1, 2004). Defendant’s theory is that the GS-13 Field National Import Specialist (FNIS) reviews entries filed by Customs Brokers, therefore, the “professional” whose work is closest to the FNIS is the Customs Broker.”

Hartford Fire Ins. Co. v. United States, 2017 CIT 103 (Ct. Intl. Trade 2017). “2009) (holding that 19 C.F.R. § 111.1 (2000), which lists “factors which [Customs] will consider,” is mandatory, not discretionary, and that “any interpretation of § 111.”

United States v. Freight Forwarder Int'l, Inc., 2015 CIT 5 (Ct. Intl. Trade 2015). “C § 1641(a)(2), (b)(1), and (b)(6) and 19 C.F.R. §§ 111.1 , 111.2,111.4, 111.36,111.”

D.J. Powers Co., Inc. v. Peachtree Playthings, Inc., 820 S.E.2d 217 (Ga. Ct. App. 2018). · cites it 2× “" 8 See 19 CFR 111.1 (defining "customs broker" as "a person who is licensed .”

United States v. Santos, 2012 CIT 157 (Ct. Intl. Trade 2012). “28 , Customs must consider all ten factors listed in the definition of reasonable supervision and control at 19 C.F.R. § 111.1 . UPS Customhouse Brokerage I, 575 F.”

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