United States v. Rotek, Inc.

22 Ct. Int'l Trade 503
CourtUnited States Court of International Trade
DecidedJune 9, 1998
DocketCourt No. 97-08-01311
StatusPublished

This text of 22 Ct. Int'l Trade 503 (United States v. Rotek, Inc.) is published on Counsel Stack Legal Research, covering United States Court of International Trade primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Rotek, Inc., 22 Ct. Int'l Trade 503 (cit 1998).

Opinion

Opinion

Restani, Judge:

This action is before the court on defendant Rotek Inc.’s motion to dismiss for lack of jurisdiction and failure to state a claim pursuant to USCIT Rules 12(b)(1) and 12(b)(5) respectively. Specifically, defendant, an importer of ball bearing slewing rings, slewing bearings, and turntable bearings or slewing rings for bearing production, argues that the court lacks subject matter jurisdiction over its 19 U.S.C. § 1592 (1994) claim against Rotek, because Customs failed to exhaust its administrative remedies and thereby denied defendant an adequate opportunity to be heard. Rotek also argues the complaint fails to state a claim upon which relief maybe granted. Defendant’s motion is denied.

Factual Background

A. Pre-Penalty Notice

On March 14, 1997, Customs issued a Pre-Penalty Notice alleging that Rotek violated 19 U.S.C. §§ 1481,1484 and 1592 (1994) by fraudu[504]*504lently misdescribing and misclassifying 162 entries between April 24, 1991 and February 22,1996. Pre-Penalty Notice from Customs to Rotek (Mar. 14,1997), at Ex. A, 1, Def.’s App., Ex. 2, at 3 (“Pre-PenaltyNotice”). Customs further alleged that Rotek had misclassified 80 items imported between December 27,1993 and February 16,1996. Id. Customs noted that “ [t]he continued misclassification of the subject commodities is material because it affected the liability for duty. ” Id. Customs listed its tentative determination as fraud, however,

[i]nasmuch as the Government may plead in the alternative in any de novo proceeding before the Court of International Trade, Customs alternatively alleges that the violations in question occurred as a result of gross negligence or negligence.

Id.

Customs attached to the Pre-Penalty Notice an appraisal worksheet containing an entry-by-entry listing, including the date of entry, the entry number, the value of each entry, the duty paid, the manufacturer part number, the quantity of each entry, the duty rate, the duty due, the potential loss of duty for unliquidated entries, the actual loss of duty for liquidated entries, the liquidation date, and the description of the merchandise contained in the invoice. Id. at 3-13, Def.’s App., Ex. 2, at 5-15. Customs alleged $153,707.29 in potential revenue loss and $270,764.46 in actual losses, totaling $424,471.75. Id. at 4. The proposed monetary penalty was $3,395,774.00. Id.

Based upon the impending expiration of a previous one-year waiver of the statute of limitations,1 Customs claimed that defendant could assert the statute of limitations defense for some of the entries as of April 24, 1997. Id. at 1. Pursuant to 19 C.F.R. §§ 162.77 and 162.78 (1997) which authorize Customs to shorten response times when less than one year remains before the statute of limitations can be raised as a defense, Customs required a written response within seven business days. Customs also stated that if it received a waiver of the statute of limitations within the 7 day period, Rotek would have thirty days to respond to the Pre-Penalty Notice. Id.

On March 24,1997, defendant timely filed a response to the Pre-Pen-alty Notice objecting to Customs’ allegations. Response to Pre-Penalty Notice from Rotek to Customs (Mar. 24,1997), at 1, Def.’s App., Ex. 3.

B. Penalty Notice

On April 25,1997, Customs at the Port of Baltimore issued a Penalty Notice and Demand for Payment. Penalty Notice from Customs to Rotek (Apr. 25,1997), at 1, Def.’s App., Ex. 4, at 1 (“Penalty Notice”). The Penalty Notice stated a claim for alleged violations of 19 U.S.C. §§ 1481, 1484 and 1592. Id. at 3. The first sentence of the Notice of Penalty and [505]*505Demand for Payment identifies a change from the Pre-Penalty Notice, stating:

Noted on the attached EXHIBIT A is a change in the information and facts set forth in our prepenalty notice dated March 14,1997. EXHIBIT A sets forth the entries, dates of entry, loss of revenue, description of merchandise, a statement of the laws or regulations violated, the material facts establishing the violation, and the tentative determination of culpability.

Id. (emphasis added).

The Penalty Notice alleged that “Rotek filed or caused to be filed 162 entries of ‘bearings,’ ‘slewing rings,’ and ‘unfinished rings’ at various ports between April 24, 1991 through February 22. 1996 which were knowingly misdescribed as ‘conveyor turntables’ or-parts of conveyor systems.’” Id. at Ex. A, at 1, Def.’s App., Ex. 4, at 3 (emphasis added). The Penalty Notice claimed that “the description for the ‘unfinished rings’ and ‘bearings’ failed to comply with the special invoicing requirements of 19 CFR § 141.89. The misdescription was material in that it affected or had the potential to affect the classification of the imported merchandise and the liability for duty.” Id. Of the 162 misdescribed entries, 41 were also alleged to be “knowingly misclassified subsequent to Rotek’s receipt of written classification advice from Customs * * * resulting in an actual and potential loss of revenue. ” Id. Fifty eight entries (41 of which were identified above) were claimed to be “knowingly misclassified from April 14,1995 through February 16,1996.” Id. Customs noted that:

Rotek continued to file entries utilizing tariff classifications contrary to those it was instructed to use by Customs subsequent to its receipt of written classification advice from Customs via Customs Forms 29, which instructed Rotek to change the classifications from HTSUSA Number 8431.3900.10 to HTSUSA Number 8483.4090.00.

Id. The “continued misclassification” of the entries was material as it affected the liability for duty. Id. An appraisal worksheet attached to the Penalty Notice contains the facts of the alleged violations. Id. at Ex. A, at 3-14, Def.’s App., Ex. 4, at 5-16. Customs listed its tentative determination of culpability as-gross negligence or alternatively, negligence. Id. at Ex. A, at 2, Def.’s App., Ex. 4, at 4.

The Penalty Notice alleged $83,177.47 in potential revenue loss and $7,918.06 in actual revenue loss, for a total of $91,095.53. Id. The proposed monetary penalty was $2,018,944.90. Id. Pursuant to 19 U.S.C.

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Bluebook (online)
22 Ct. Int'l Trade 503, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-rotek-inc-cit-1998.