TD 76-198.

TDs 73-310, 76-198.

TD 76-198.

broker, and other papers or documents filed with Customs officers for any official purpose which contain trade secrets, or commercial or financial information, is exempt from disclosure except for the purpose for which such documents are required to be filed or as otherwise specified in this paragraph.

(2) Information contained in vessel manifests and summary statistical reports of importations and exportations may be disclosed to the extent permitted by section 103.11.

(3) Information obtained in connection with investigations under the Antidumping Act, 1921, as amended (19 U.S.C. 160 et seq.), is available for disclosure under the provisions of section 153.23 of this chapter.

(4) Information contained in Shipper's Export Declarations is available, upon request, for disclosure to United States Government agencies charged with export responsibilities for certain commodities, as listed in 15 CFR 370.10. Information contained in Shipper's Export Declarations may also be made available, upon request, to the Federal Maritime Commission and to the Civil Aeronautics Board. The disclosure of this information by Customs is in accordance with determinations made by the Secretary of Commerce that the withholding of such information is contrary to the national interest (50 U.S.C. App. 2406(c)).

(5) Importers and exporters or their duly authorized brokers, attorneys, or agents, may be permitted to examine manifests with respect to any consignment of goods in which they have a proper and legal interest as principal or agent. No general examination of manifests or the making of any copies or notations from such manifests shall be permitted except with respect to the particular importation or exportation in which they have a proper and legal interest.

(e) Certain inter-agency or intra-agency correspondence. Inter-agency or intra-agency memoranda or letters which would not be available by law to a private party in litigation with the agency. This information includes, but is not limited to, memoranda expressing the views of subordinates, comments endorsing or dissenting from conclusions reached in official rulings, work papers, and other informal expressions of view, and certain documents addressed to other Government agencies (unless such documents are released for disclosure by the recipient).

(f) Material involving personal privacy. Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. These include, but are not limited to, leave records of individual employees, personnel investigative records, personnel security records, personnel financial statements submitted in connection with conflicts of interest, and other records which relate to the private, personal, financial, or business affairs of an individual employee or members of his family, unless the person concerned or his duly authorized agent authorizes disclosure, or unless otherwise made available in this part.

(g) Certain investigatory files. Investigatory files compiled for law enforcement purposes except to the extent available by law to a private party. Some examples of records included in this category are investigative reports relating to: The value and classification for tariff purposes of imported merchandize; suspected violations of section 592 of the Tariff Act of 1930, as amended (19 U.S.C. 1592); allegations of the imporation of merchandise into the United States in contravention of the countervailing duty provision of section 303 of the Tariff Act of 1930 (19 U.S.C. 1303); and the importation of certain books, pictures, or other articles in contravention of the so-called "obscenity statute" (19 U.S.C. 1305). This listing is intended to be illustrative only, and is not intended to be, and is not, an exhaustive listing.

103.11 Information on vessel manifests and summary statistical reports.

(a) Disclosure to members of the press. Although the following classes of information are exempt from the requirement of disclosure under the provisions of section 103.10, accredited representatives of the press, including newspapers, commercial magazines, trade journals, and similar publications may be permitted to examine vessel manifests and summary statistical reports of imports and exports and to copy therefrom for publication information and data not of a confidential nature, subject to the following rules:

(1) Of the information and data appearing on outward manifests, only the general character, destination, and quantity (or value) of the commodity, name of vessel, names of shippers, and country of destination may be copied and

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published. Where the manifests show both quantity and value, either may be copied and published, but not both in any instance.

(2) Commercial or financial information, such as the names of the con- TD 76-198. signees, marks and numbers, and both quantities and value of commodities shall not be copied from outward manifests or any other papers.

(3) Of the information shown on inward manifests, only the name of the consignee, the general character of the commodity, the quantity (or value), name of vessel, and the country of dispatch shall be copied and published. When an inward manifest shows both quantity and value of the commodity, either may be copied and published, but not both in any instance.

(b) Review of data. All copies and notations from inward or outward manifests shall be submitted for examination by a Customs officer designated for that purpose.

(c) Disclosure to the public. Members of the public shall be permitted to ob- TD 76-198. tain information from, but not examine, vessel manifests, subject to the rules set forth in paragraphs (a) and (b) of this section. However, importers and exporters or their duly authorized brokers, attorneys, or agents may be permitted to examine manifests with respect to any consignment of goods in which they have a proper and legal interest as principal or agent, but shall not be permitted to make any general examination of manifests or make any copies or notations from them except with reference to the particular importation or exportation in which they have a proper and legal interest.

(d) Suspension of disclosure. (1) Except as provided in section 103.14, upon TD 76-198. written application of a shipper, consignee, or importer, access to the name of such shipper, consignee, or importer, on a manifest will thereafter be refused.

(2) If any individual shall abuse the privilege granted him of examining inward and outward manifests or shall make any improper use of any information or data obtained from such manifests or other papers filed in the customhouse, both he and the party or publication which he represents shall thereafter be denied access to such papers.

103.12 Sanction for improper disclosure by Customs officer or employee.

The improper disclosure of the confidential information contained in Customs TD 73-310, documents, or the disclosure to one importer or exporter of information relative to the business of another importer or exporter acquired by any Customs officer or employee by reason of his official employment, shall constitute grounds for dismissal from the United States Customs Service, suspension, or other disciplinary action, and if done for a valuable consideration will subject such person to criminal prosecution.

103.13 Statements for publication.

District directors of Customs and other Customs officers shall refrain from TD 73–310. disclosing facts concerning seizures, investigations, and other pending cases until Customs action is completed. The district director of Customs or other authorized Customs officer may make public information concerning any case involving an offense against the Customs and navigation laws after completion of the investigation and the case has been closed by final Customs action, such as settlement of a civil liability. Field officers shall exercise proper restraint and judgment in disclosing local transactions.

103.14 Testimony or the production of documents in court.

(a) General. In answer to a legal process or demand from a court issued in TD 73–310. behalf of the United States or an officer thereof, Customs officers or employees shall produce in court, in Customs custody and may testify with respect to, any official Customs papers or documents demanded. When any such process or demand is issued in behalf of a party other than the United States, it shall be complied with only to the extent that the party in whose behalf the papers or documents are demanded is permitted under these regulations to inspect or copy such papers or documents. Exceptions to this rule shall be made only on the written order of the Commissioner of Customs. When requested, copies may be authenticated pursuant to the provisions of section 1733, title 28, United States Code.

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(b) Request of Customs Court. Except as stated in section 103.10, nothing in this part shall preclude Customs officers or employees from producing in the United States Customs Court, in Customs custody, any Customs papers or documents, or from testifying or otherwise rendering all proper assistance to the court in proceedings before it when request therefor is made by the court; nor from furnishing to counsel for the United States information in, and permitting him to inspect, Customs papers and documents requested by him, nor from testifying on behalf of the United States or otherwise assisting him in the performance of his official duties.

(c) Subpoena or subpoena duces tecum. Upon being served with a subpoena or subpoena duces tecum from a court or officer thereof calling for testimony or the production of papers or documents in cases not covered by paragraph (a) or (b) of this section, or in cases where the testimony or documents desired would disclose matters the disclosure of which would be contrary to these regulations, the matter shall be referred to headquarters for instructions, with a report which shall specifically describe the testimony or documents desired; shall set forth the view of the submitting officer whether the giving of the testimony or the furnishing of the documents would disclose information not permitted to be disclosed under these regulations; and shall state in what particulars, if any, the disclosure of the information and work incidental thereto would interfere with the orderly conduct of Customs business. If instructions are not received prior to the date set for appearance or production of documents, or if headquarters declines to permit their production or the disclosure of the information contained therein or otherwise within the knowledge of the Customs officer or employee whose testimony is requested, the Customs officer or employee shall appear in court or before the officer concerned in answer to the subpoena and respectfully decline to produce the documents called for or to testify, except to the extent specifically authorized elsewhere in this section, citing this regulation as authority for his refusal. If the matter has not already been referred to headquarters for instructions, the Customs officer or employee shall advise the court or officer that it will be so referred.

CR-103.10

Authority: The provisions of this Part 111 issued under R.S. 251, secs. 624, 641, 46 Stat. 759, as amended, 77A Stat. 14; 5 U.S.C. 301, 19 U.S.C. 66, 1202 (Gen. Hdnte. 11), 1624, 1641.

111.0 Scope.

This part sets forth regulations providing for the licensing of persons desiring to transact business as customhouse brokers, the qualifications required of applicants, and the procedure for applying for licenses. This part also prescribes the duties and responsibilities of customhouse brokers, the grounds for revocation or suspension of licenses, and the procedures for such revocation or suspension.

Subpart A--GENERAL PROVISIONS

111.1 Definitions.

When used in this part, the following terms shall have the meanings indicated: (a) Person. "Person" includes individuals, partnerships, associations, and corporations.

CR-111.1

TD 70-134.

TD 70-224.

(b) Customhouse broker. "Customhouse broker" means a person who is licensed under this part to transact Customs business on behalf of others.

(c) Broker. "Broker" means "customhouse broker."

(d) Treasury Department or any representative thereof. "Treasury Department or any representative thereof" includes any office, officer, or employee of the Treasury Department, wherever located.

(e) Books and papers. "Books and papers" include all books, accounts, records, papers, documents, powers of attorney, data processing materials (other than cards, magnetic tapes and discs, and incidental intermediate forms temporary in nature), and correspondence of a broker relating to his Customs business.

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

(g) Officer of an association or corporation. "Officer 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, the articles of incorporation, articles of agreement, charter, or bylaws of the association or corporation.

111.2 License required.

A person shall obtain the license provided for in this part in order to transact the business of a broker. A separate license is required for each Customs district.

111.3 Transactions for which license not required.

A license is not required to engage in the following transactions with the Treasury Department or any representative thereof:

(a) For one's own account. An importer or exporter transacting Customs business solely on his own account and in no sense on behalf of another is not required to be licensed, nor are his authorized regular employees or officers who act only for him in the transaction of such business.

(b) As employee of brokers. An employee of a broker, acting solely for his employer, is not required to be licensed where:

(1) Authorized to sign Customs documents. The broker has authorized the employee to sign Customs documents on his behalf, and has filed a power of attorney for that purpose with the district director and at each port within the district where the broker wishes the employee to sign Customs documents. Only employees who are residents of the United States may be authorized to sign Customs documents. Ór,

(2) Authorized to transact other business. The broker has filed with the district director a statement identifying the employee as authorized to transact business on his behalf. Such statement shall also be filed at each port within the district where the broker wishes the employee to act for him. Where the employee is given authority under either (1) or (2), the broker must promptly give notice of the withdrawal of authority of any such employee and must exercise such supervision of his employees as will insure proper conduct on the part of the employees in the transaction of Customs business. Each broker will be held strictly responsible for the acts or omissions of his employees within the scope of their employment, and for acts or omissions of such employees which, in the exercise of reasonable care and diligence, the broker should have forseen.

(c) Marine transactions. A person transacting business in connection with entry or clearance of vessels or other regulation of vessels under the navigation laws is not required to be licensed as a broker.

(d) Transportation in bond by common carrier. A common carrier transporting merchandise for another may make entry for such merchandise for transportation in bond without being licensed as a broker.

111.4 Representation before Government agencies.

(a) Agencies within the Treasury Department. A broker who represents a client in the importation or exportation of merchandise may represent the client before the Treasury Department or any representative thereof on any matter

CR-111.2