Supporting Law and Reg

Bureau of Customs and Border Protection, DHS, Treasury
have not been met at the time of filing,
in which case the application and fee
will be returned to the filer without
further action.
(b) Posting notice of application. Following receipt of the application, the
port director will post a notice that the
application has been filed. The notice
will be posted conspicuously for at
least 2 consecutive weeks in the customhouse at the port and similarly at
any other port where the applicant also
proposes to maintain an office. The notice also will be posted by appropriate
electronic means. The notice will give
the name and address of the applicant
and, if the applicant is a partnership,
association, or corporation, will state
the names of all members or officers
who are licensed as brokers. The notice
will invite written comments or information regarding the issuance of the license.
(c) Withdrawal of application. An applicant for a broker’s license may withdraw the application at any time prior
to issuance of the license by providing
written notice of the withdrawal to the
port director. However, withdrawal of
the application does not entitle the applicant to a refund of the $200 application fee.
[T.D. 00–17, 65 FR 13891, Mar. 15, 2000, as
amended by T.D. 01–14, 66 FR 8767, Feb. 2,
2001]

§ 111.13 Written examination for individual license.
(a) Scope of examination. The written
examination for an individual broker’s
license will be designed to determine
the individual’s knowledge of customs
and related laws, regulations and procedures, bookkeeping, accounting, and
all other appropriate matters necessary to render valuable service to importers and exporters. The examination
will be prepared and graded at Customs
Headquarters, Washington, DC.
(b) Date and place of examination.
Written examinations will be given on
the first Monday in April and October
unless the regularly scheduled examination date conflicts with a national
holiday, religious observance, or other
foreseeable event and the agency publishes in the FEDERAL REGISTER an appropriate notice of a change in the examination date. An individual who in-

§ 111.13

tends to take the written examination
must so advise the port director in
writing at least 30 calendar days prior
to the scheduled examination date and
must remit the $200 examination fee
prescribed in § 111.96(a) at that time.
The port director will give notice of
the exact time and place for the examination.
(c) Special examination. If a partnership, association, or corporation loses
the required member or officer having
an individual broker’s license (see
§§ 111.11(b) and (c)(2)) and its license
would be revoked by operation of law
under the provisions of 19 U.S.C.
1641(b)(5) and § 111.45(a) before the next
scheduled written examination, Customs may authorize a special written
examination for a prospective applicant for an individual license who
would serve as the required licensed
member or officer. Customs may also
authorize a special written examination for an individual for purposes of
continuing the business of a sole proprietorship broker. A special written
examination for an individual may also
be authorized by Customs if a brokerage firm loses the individual broker
who was exercising responsible supervision and control over an office in another district (see § 111.19(d)) and the
permit for that additional district
would be revoked by operation of law
under the provisions of 19 U.S.C.
1641(c)(3) and § 111.45(b) before the next
scheduled written examination. A request for a special written examination
must be submitted to the port director
in writing and must describe the circumstances giving rise to the need for
the examination. If the request is
granted, the port director will notify
the prospective examinee of the exact
time and place for the examination. If
the individual attains a passing grade
on the special written examination, the
application for the license may be submitted in accordance with § 111.12. The
examinee will be responsible for all additional costs incurred by Customs in
preparing and administering the special examination that exceed the $200
examination
fee
prescribed
in
§ 111.96(a), and those additional costs
must be reimbursed to Customs before
the examination is given.

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§ 111.14

19 CFR Ch. I (4–1–04 Edition)

(d) Failure to appear for examination.
If a prospective examinee advises the
port director at least 2 working days
prior to the date of a regularly scheduled written examination that he will
not appear for the examination, the
port director will refund the $200 examination fee referred to in paragraph (b)
of this section. No refund of the examination fee or additional reimbursed
costs will be made in the case of a special written examination provided for
under paragraph (c) of this section.
(e) Notice of examination result. Customs will provide to each examinee
written notice of the result of the examination taken under this section. A
failure of an examinee to attain a passing grade on the examination will preclude the submission of an application
under § 111.12 but will not preclude the
examinee from taking an examination
again at a later date in accordance
with paragraph (b) of this section.
(f) Appeal of failing grade on examination. If an examinee fails to attain a
passing grade on the examination
taken under this section, the examinee
may challenge that result by filing a
written appeal with Trade Programs,
Office of Field Operations, U.S. Customs Service, Washington, DC 20229
within 60 calendar days after the date
of the written notice provided for in
paragraph (e) of this section. Customs
will provide to the examinee written
notice of the decision on the appeal. If
the Customs decision on the appeal affirms the result of the examination,
the examinee may request review of
the decision on the appeal by writing
to the Secretary of the Treasury within 60 calendar days after the date of the
notice of that decision.

(b) Scope of investigation. An investigation under this section will ascertain facts relevant to the question of
whether the applicant is qualified and
will cover, but need not be limited to:
(1) The accuracy of the statements
made in the application;
(2) The business integrity of the applicant; and
(3) When the applicant is an individual (including a member of a partnership or an officer of an association
or corporation), the character and reputation of the applicant.
(c) Referral to Headquarters. The port
director will forward the originals of
the application and the report of investigation to the Assistant Commissioner. The port director will also submit his recommendation for action on
the application.
(d) Additional investigation or inquiry.
The Assistant Commissioner may require further investigation to be conducted if additional facts are deemed
necessary to pass upon the application.
The Assistant Commissioner may also
require the applicant (or in the case of
a partnership, association, or corporation, one or more of its members or officers) to appear in person before him
or before one or more representatives
of the Assistant Commissioner for the
purpose of undergoing further written
or oral inquiry into the applicant’s
qualifications for a license.

§ 111.14 Investigation of the license applicant.

§ 111.15 Issuance of license.
If the Assistant Commissioner finds
that the applicant is qualified and has
paid all applicable fees prescribed in
§ 111.96(a), he will issue a license. A license for an individual who is a member of a partnership or an officer of an
association or corporation will be
issued in the name of the individual licensee and not in his capacity as a
member or officer of the organization
with which he is connected. The license
will be forwarded to the port director,
who will deliver it to the licensee.

(a) Referral of application for investigation. The port director will immediately refer an application for an individual, partnership, association, or corporation license to the special agent in
charge or other entity designated by
Headquarters for investigation and report.

§ 111.16 Denial of license.
(a) Notice of denial. If the Assistant
Commissioner determines that the application for a license should be denied
for any reason, notice of denial will be
given by him to the applicant and to
the director of the port at which the

[T.D. 00–17, 65 FR 13891, Mar. 15, 2000, as
amended by T.D. 03–23, 68 FR 31977, May 29,
2003]

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