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Penalties, recordkeeping and prior disclosure

Counts toward CBP's Broker Compliance category. 17 of the 480 released past questions are on this topic.

Where to look: 19 CFR Parts 162, 163, 171, 172.

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Practice questions

  1. Which section of 19 CFR is titled "Notice of seizure"?

    1. § 162.12
    2. § 162.5
    3. § 162.63
    4. § 162.92
    Answer

    D. § 162.92 in Part 162 (inspection, search, and seizure) is titled "Notice of seizure".

    19 CFR › Part 162 › § 162.92

  2. Which section of 19 CFR is titled "Prepenalty notice for violations of section 592, Tariff Act of 1930, as amended"?

    1. § 162.45
    2. § 162.50
    3. § 162.52
    4. § 162.77
    Answer

    D. § 162.77 in Part 162 (inspection, search, and seizure) is titled "Prepenalty notice for violations of section 592, Tariff Act of 1930, as amended".

    19 CFR › Part 162 › § 162.77

  3. Which part of 19 CFR is titled "Fines, penalties, and forfeitures"?

    1. Part 111
    2. Part 149
    3. Part 171
    4. Part 361
    Answer

    C. 19 CFR Part 171 is titled "Fines, penalties, and forfeitures".

    19 CFR › Part 171

  4. When must a person disclose the circumstances of a section 592 violation for the disclosure to count as a prior disclosure?

    1. Before liquidation of the entry becomes final
    2. Before, or without knowledge of, the commencement of a formal investigation of the violation
    3. Within 30 days after the entry is liquidated
    4. Before the entry summary is rejected by CBP
    Answer

    B. Section 162.74(a)(1) requires disclosure before, or without knowledge of, the start of a formal investigation, plus a tender of actual loss.

    19 CFR 162.74(a)(1)

  5. When is a formal investigation of a violation considered commenced with regard to the disclosing party?

    1. On the date the entry liquidated
    2. On the date the entry summary was filed
    3. On the date recorded in writing as the date CBP discovered facts or received information suggesting a possible violation
    4. On the date a penalty notice is issued
    Answer

    C. Section 162.74(g) ties commencement to the date CBP recorded in writing.

    19 CFR 162.74(g)

  6. How does 19 CFR 162.71 define "clerical error"?

    1. An error in the construction of a law
    2. A belief that the material facts are other than they really are
    3. An error where a person intends to do one thing but does something else
    4. An error caused by neglect of a legal duty
    Answer

    C. Section 162.71(e) defines clerical error by the gap between intent and action, unlike mistake of fact in 162.71(f).

    19 CFR 162.71(e)

  7. An importer made a prior disclosure of a section 592 violation. May the merchandise be seized under 19 U.S.C. 1592?

    1. No; under no circumstances
    2. Yes, if the loss exceeds $100,000
    3. Yes, if the importer is insolvent
    4. Yes, with the approval of the Fines, Penalties, and Forfeitures Officer
    Answer

    A. Section 162.75(b) bars a section 1592 seizure after a prior disclosure, without limiting other authorities.

    19 CFR 162.75(b)

  8. For how long must a record relating to an entry generally be kept under 19 CFR 163.4?

    1. 2 years from the date of entry
    2. 3 years from the date of entry
    3. 5 years from the date of entry
    4. 7 years from the date of entry
    Answer

    C. Section 163.4(a) sets 5 years from the date of entry for entry-related records.

    19 CFR 163.4(a)

Past exam questions on this topic