19 C.F.R. Subpart E—Monetary Penalty and Payment of Fees
Title 19 - Customs Duties
Customs may assess a monetary penalty or penalties as follows: (a) In the case of a broker, in an amount not to exceed an aggregate of $30,000 for one or more of the reasons set forth in §§111.53 (a) through (f) other than those listed in §111.53(b)(3), and provided that no license or permit suspension or revocation proceeding has been instituted against the broker under subpart D of this part for any of the same reasons; or (b) In the case of a person who is not a broker, in an amount not to exceed $10,000 for each transaction or violation referred to in §111.4 and in an amount not to exceed an aggregate of $30,000 for all those transactions or violations. (a) Pre-penalty notice. If assessment of a monetary penalty under §111.91 is contemplated, Customs will issue a written notice which advises the broker or other person of the allegations or complaints against him and explains that the broker or other person has a right to respond to the allegations or complaints in writing within 30 days of the date of mailing of the notice. The Fines, Penalties, and Forfeitures Officer has discretion to provide additional time for good cause. (b) Penalty notice. If the broker or other person files a timely response to the written notice of the allegations or complaints, the Fines, Penalties, and Forfeiture Officer will review this response and will either cancel the case, issue a notice of penalty in an amount which is lower than that provided for in the written notice of allegations or complaints or issue a notice of penalty in the same amount as that provided in the written notice of allegations or complaints. If no response is received from the broker or other person, the Fines, Penalties, and Forfeitures Officer will issue a notice of penalty in the same amount as that provided in the written notice of allegations or complaints. [T.D. 00–57, 65 FR 53575, Sept. 5, 2000] A broker or other person who receives a notice issued under §111.92(b) may file a petition for relief from the monetary penalty in accordance with the procedures set forth in part 171 of this chapter. [T.D. 00–17, 65 FR 13891, Mar. 15, 2000, as amended by T.D. 00–57, 65 FR 53575, Sept. 5, 2000] Customs will follow the procedures set forth in part 171 of this chapter in considering any petition for relief filed under §111.93. After Customs has considered the allegations or complaints set forth in the notice issued under §111.92 and any timely response made to the notice by the broker or other person, the Fines, Penalties, and Forfeitures Officer will issue a written decision to the broker or other person setting forth the final determination and the findings of fact and conclusions of law on which the determination is based. If the final determination is that the broker or other person is liable for a monetary penalty, the broker or other person must pay the monetary penalty, or make arrangements for payment of the monetary penalty, within 60 calendar days of the date of the written decision. If payment or arrangements for payment are not timely made, Customs will refer the matter to the Department of Justice for institution of appropriate judicial proceedings. A decision of the Fines, Penalties, and Forfeitures Officer with regard to any petition filed in accordance with part 171 of this chapter may be the subject of a supplemental petition for relief. Any supplemental petition also must be filed in accordance with the provisions of part 171 of this chapter. (a) License fee; examination fee; fingerprint fee. Each applicant for a broker's license pursuant to §111.12 must pay a fee of $200 to defray the costs to Customs in processing the application. Each individual who intends to take the written examination provided for in §111.13 must pay a $200 examination fee before taking the examination. An individual who submits an application for a license must also pay a fingerprint check and processing fee; the port director will inform the applicant of the current Federal Bureau of Investigation fee for conducting fingerprint checks and the Customs fingerprint processing fee, the total of which must be paid to Customs before further processing of the application will occur. (b) Permit fee. A fee of $100 must be paid in connection with each permit application under §111.19 to defray the costs of processing the application, including an application for reinstatement of a permit that was revoked by operation of law or otherwise. (c) User fee. Payment of an annual user fee of $125 is required for each permit, including a national permit under §111.19(f), granted to an individual, partnership, association, or corporate broker. The user fee is payable when an initial district permit is issued concurrently with a license under §111.19(a), or in connection with the filing of an application for a permit under §111.19 (b) or (f), and for each subsequent calendar year at the port through which the broker was granted the permit or at the port referred to in §111.19(c) in the case of a national permit. The user fee must be paid by the due date as published annually in the (d) Status report fee. The status report required under §111.30(d) must be accompanied by a fee of $100 to defray the costs of administering the reporting requirement. (e) Method of payment. All fees prescribed under this section must be paid by check or money order payable to the United States Customs Service. [T.D 00–17, 65 FR 13891, Mar. 15, 2000, as amended by CBP Dec. 03–13, 68 FR 43630, July 24, 2003]
Title 19: Customs Duties
PART 111—CUSTOMS BROKERS
Subpart E—Monetary Penalty and Payment of Fees
§ 111.91 Grounds for imposition of a monetary penalty; maximum penalty.
§ 111.92 Notice of monetary penalty.
§ 111.93 Petition for relief from monetary penalty.
§ 111.94 Decision on monetary penalty.
§ 111.95 Supplemental petition for relief from monetary penalty.
§ 111.96 Fees.
