RR:IT:VA 546092 KCC

Port Director
U.S. Customs Service
127 North Water Street
Ogdensburg, New York 13669

RE: Application for Further Review of Protest No. 0712-94-102153; Yak 52 aircraft; country of origin; Ashdown; Belcrest Linens; HRL 951072; HRL 732258; C.S.D.s 80-111, 89-110, 89-129 and 90-15; Agreement on Trade in Civil Aircraft; General Note 3(c)(iv); 19 CFR 10.183; not sold for exportation to the U.S.; J.L. Wood; 402(c); 402(h)(4); 402(f); transaction value of similar merchandise reasonably adjusted

Dear Port Director:

This is in regard to the Application for Further Review of Protest No. 0712-94-102153 concerning the country of origin, applicability of the Agreement on Trade in Civil Aircraft and appraisement of a Yak 52 aircraft pursuant to 402(c) of the Tariff Act of 1930, as amended by the Trade Agreements Act of 1979 (TAA), codified at 19 U.S.C. 1401a(c). Additional information submitted on May 13, 1996, was taken into consideration in rendering this decision.

FACTS:

The protestant, Gesoco Industries, states that a single engine Yak 52 Model aircraft ("Yak 52 aircraft") was purchased in November 1992 in an arms length transaction from a party in Lithuania. Protestant contends that the uncontroverted documents show that the price paid for the Yak 52 aircraft is $12,000 with a $1,000 disassembly charge. However, no documents, such as a sales contract or proof of purchase, were submitted. The Yak 52 aircraft was originally entered temporarily under bond into the U.S. on January 5, 1993. This Temporary Importation under Bond ("TIB") entry indicated that the invoice value of the Yak 52 was $12,000 and Romania was listed as the country of origin. You indicate that the aircraft was shipped unassembled into the U.S. where it was reassembled, refurbished, and exported to Canada for sale in August 1993. However, the sale was not finalized and the Yak 52 aircraft was returned to the U.S. on August 23, 1993.

The Yak 52 aircraft was entered for consumption on August 31, 1993. Protestant stated that the country of origin was now Russia and classified the aircraft under subheading 8802.20.00, Harmonized Tariff Schedule of the United States (HTSUS), which provides for "Other aircraft (for example, helicopters, airplanes); spacecraft (including satellites) and spacecraft launch vehicles...Airplanes and other aircraft, of an unladen weight not exceeding 2,000 kg...." The protestant indicated that the invoice value of the aircraft was $12,000.

You liquidated the consumption entry on August 12, 1994, under subheading 8802.30.00, HTSUS, which provides for "Other aircraft (for example, helicopters, airplanes); spacecraft (including satellites) and spacecraft launch vehicles...Airplanes and other aircraft, of an unladen weight exceeding 2,000 kg but not exceeding 15,000 kg...." You determined that the country of origin for the Yak 52 aircraft was Romania and, therefore, applied the column 2 duty rate of 30%. We note that Romania was granted nondiscriminatory duty treatment effective November 8, 1993. Thus, Romanian products or merchandise entered into the U.S. before November 8, 1993, were subject to column 2 duty rates. See, 58 Fed. Reg. 60226 (Nov. 15, 1993). You appraised the Yak 52 aircraft pursuant to 402(c) of the TAA under transaction value of similar merchandise at $40,255 using the previously accepted transaction values of $40,255, $40,543 and $40,800 of three Yak 52 aircraft which were exported to the U.S. at or about the same time as the Yak 52 aircraft at issue, i.e., May 27, 1993, June 16, 1993, and July 7, 1993, and whose country of origin was designated as Romania. Additionally, you determined that transaction value under 402(b) of the TAA was inapplicable because there was no evidence of a sale for export to the U.S.

The protestant contends that the country of origin of the Yak 52 aircraft is Russia and, therefore, the column 1 rates of duty are applicable. Moreover, protestant states that the Yak 52 aircraft is eligible for duty free treatment pursuant to the Agreement on Trade in Civil Aircraft ("ATCA"). We note that the claim for treatment under the ATCA was not made when entered for consumption, but was first made in the protest. Additionally, the protestant states that the Yak 52 aircraft should be appraised pursuant to transaction value under 402(b) of the TAA at $13,000. Protestant contends that this value reflects the $13,000 ($12,000 for aircraft and $1,000 for disassembly charge) price paid by protestant to the seller of the Yak 52 aircraft in November 1992. We note that this value is higher than the $12,000 value indicated on the January 5, 1993, TIB entry and the August 31, 1993, "Consumption" entry.

If Customs determines transaction value is still unacceptable, the protestant states that $40,255 value is overstated. The protestant contends that the similar merchandise used to appraise the Yak 52 aircraft is a new aircraft, whereas the Yak 52 aircraft is a rebuilt and used aircraft with over 1,000 hours of flight time. The protestant has submitted a prior accepted Customs entry of a Yak 52 aircraft which it claims is similar to the Yak 52 aircraft at issue. The similar Yak 52 aircraft was exported to the U.S. on August 28, 1994. It was entered by the protestant who indicated that the invoice value was $12,000 and listed Russia as the country of origin.

The protestant has supplied documentation to Customs establishing the fact that the aircraft was originally produced from all Russian parts that were shipped to Romania where the aircraft was actually constructed. The completed aircraft was originally used in Russia as a trainer with an air club outside of Moscow. Subsequently, the Yak 52 aircraft was used for aerobatics until it was discovered that the wings would separate from the aircraft because of structural deficiencies. While in Russia, the entire aircraft was disassembled and vital components of the aircraft were replaced in order to render the aircraft suitable for performing aerobatic acts. In particular, the protestant notes that the aircraft's spar was replaced with a new and heavier spar. In addition, a new engine and propeller were fitted as part of the modification of the aircraft. See, letter from ABC Ltd., dated February 8, 1994. As modified, the newly designed aircraft is capable of being used with up to nine positive and seven negative gravitational forces. According to the protestant, the aircraft was also equipped with two large annunciator panels to be used in aerobatic instruction.

ISSUE:

1. Whether the Yak 52 aircraft, after its complete disassembly and reassembly in Russia, is a product "imported directly or indirectly" from Romania or a product of Russia.

2. Is the Yak 52 aircraft eligible for duty free treatment pursuant to the Agreement on Trade in Civil Aircraft?

3. Whether the Yak 52 aircraft was properly appraised under the TAA?

LAW AND ANALYSIS:

1. Product of Romania or Russia:

The issue of which country is considered the country of origin for used imported articles which were not originally intended to be exported to the U.S. has been considered by both the Court of International Trade and by Customs. In a case involving the proper rate of duty to be assessed by Customs with regard to a used imported printing press originally manufactured in East Germany, the Court held in Ashdown, U.S.A. v. United States, 12 C.I.T. 808, 696 F.Supp. 661 (CIT 1988), that the printing press, which was continually used in West Germany for nine years and which was not intended at the time of original sale to be exported to the U.S., became a bona fide part of the commerce of West Germany and was therefore, not an import from a Communist country.

The "divestiture test" of origin that Ashdown addresses is not applicable in this case which involves substantial further processing in the non-column two country. In Belcrest Linens v. United States, 6 C.I.T. 204, 573 F. Supp. 1149 (1983), aff'd, 2 Fed. Cir. 105, 741 F.2d 1368 (1984), the Court determined that the country of origin of imported pillowcases from Hong Kong which were finished in Hong Kong from bolts of Chinese cotton which had been pre-stenciled and marked in China was Hong Kong. The trial and appellate courts confronted the issue of what standard should be applied to determine the article's origin when the Communist article was further processed in the intermediate country before export to the U.S. Although the trial court stated that decisions construing the marking statute are not controlling in this case, it nevertheless found that the processes performed in Hong Kong qualified as a substantial transformation as the processing in Hong Kong of the fabric into pillowcases caused a change in the character, appearance, identity, and use from the bolt of cloth. Id. In discussing the appropriate test to be used, the appellate court stated that

[T]his test, that an article is the "growth, produce or manufacture" of an intermediary country if as a result of processes performed in that country a new article emerges with a new name, use or identity, is essentially the test used by the courts in determining whether an article is a manufacture of a given country under other areas of customs law.

Id. 2 Fed. Cir. at 109.

The Belcrest Linens appellate court went on to expressly decline "to advance a definition of this term [substantial transformation] for all purposes particularly because the implementing regulations under various tariff provisions define the term differently." Id. Nonetheless, the court also noted the difficulty in detecting "the difference between this test and that used by the trial court, that there was a change in the appearance, character, identity and use of the involved merchandise." Id. At 110.

Accordingly, the Court held that the imported pillowcases were products of Hong Kong to be assessed at the column one duty rate. Our interpretation of Belcrest Linens is that if a column two-origin article undergoes a change in name, character, and use (a substantial transformation) in a column-one country, then that article will qualify under the "growth, produce, or manufacture" and new name, use, or identity standard that was articulated therein.

In HRL 951072, dated May 22, 1992, Customs determined that a Russian-built MIG 21U that was disassembled and exported to Egypt where it was reassembled and then used in the Egyptian Air Force for sixteen years and then stored for several years was regarded as a product of Egypt for tariff purposes. Customs cited Ashdown in support for the conclusion that the connection to the column two country (Russia) was effectively broken due to the extended period of time that the aircraft was in use in Egypt so that it no longer could be regarded as an import from Russia.

In Headquarters Ruling Letter (HRL) 951072, the operation consisted of the reassembly of the identical column two-origin airplane in a column one country. No substantial change in name, character, or use was made to the airplane. The airplane that was reassembled in the column one country was exactly the same airplane that was built and then disassembled in the column two country. On the other hand, in this case, the Yak 52 aircraft was disassembled and vital components of the aircraft were replaced in order to render the aircraft suitable for performing aerobatic acts. In particular, the aircraft was completely disassembled in order to replace the aircraft's spar with a new and heavier spar. A spar is one of the main longitudinal supports of the wings of an aircraft. In addition, a new engine and propeller were fitted as part of the modification of the aircraft. The newly designed aircraft is now capable of being used with up to nine positive and seven negative gravitational forces. According to the protestant, the aircraft was also equipped with two large annunciator panels to be used in aerobatic instruction.

In HRL 732258, dated March 28, 1990, Customs addressed the country of origin marking requirements for used articles. In that case, automotive alternators, taken out of used cars that were scrapped in the U.S., were exported to Mexico for repair. The importer was unsure of the countries in which the alternators were originally made. It was determined that the rebuilt alternators did not have a new name, character or use; rather, the alternators were rebuilt so that they could function for their originally intended use. Therefore, since the rebuilding of the alternators in Mexico was not a substantial transformation, pursuant to 19 CFR 134.1(b), Mexico was not the country of origin of these articles. Rather, the country of origin of the rebuilt alternators was the country where the alternators were originally built.

The operations performed on the Yak 52 aircraft are far more involved than the rebuilding of alternators at issue in HRL 732258 or the reassembly of the airplane in HRL 951072. The purpose of the disassembly and reassembly of the Yak 52 aircraft was not to restore the aircraft to be used in the manner for which it was originally built. Rather, the work described above transformed the Yak 52 aircraft from a trainer plane into a plane capable of aerobatic flight. In addition, the reassembly was very substantial, involving, most notably, a completely new spar, engine, and propeller.

We, therefore, find that the disassembly and reassembly, as described above, resulted in a substantial transformation of the Yak 52 aircraft into a product of Russia. Customs has determined that assembly operations which are minimal or simple, as opposed to complex or meaningful, will generally not result in a substantial transformation. See, C.S.D.s 80-111, 89-110, 89-129, 90-51. The reassembly of the entire aircraft in this case, incorporating a completely new engine, propeller and spar, and adding two large annunciator panels to be used in aerobatic instruction, is a complex assembly. The aircraft that emerged from this processing is now capable of aerobatic flight and able to withstand up to nine positive and seven negative gravitational forces.

Accordingly, we find that the Yak 52 aircraft is a product of Russia and subject to the applicable column one duty rate.

2. Agreement on Trade in Civil Aircraft

Civil aircraft classified under subheading 8802.30.00, HTSUS, which provides for "Other aircraft (for example, helicopters, airplanes); spacecraft (including satellites) and spacecraft launch vehicles...Airplanes and other aircraft, of an unladen weight exceeding 2,000 kg but not exceeding 15,000 kg...." and subject to the column one duty rate are eligible for duty free treatment pursuant to the Agreement on Trade in Civil Aircraft ("ATCA"). General Note 3(c)(iv), HTSUS, (now General Note 6, HTSUS), 19 U.S.C. 1202, which sets out the legislation (Title VI of the Trade Agreements Act of 1979, 601 of P.L. 96-39 (1979)), enacting the ATCA provides: that to receive duty free treatment:

Articles Eligible for Duty-Free Treatment Pursuant to the Agreement on Trade in Civil Aircraft. Whenever a product is entered under a provision for which the rate of duty "Free(C)" appears in the "Special" subcolumn, the importer shall file a written statement, accompanied by such supporting documentation as the Secretary of the Treasury may require, with the appropriate customs officer stating that the imported article is a civil aircraft or has been imported for use in civil aircraft, that it will be so used and that such article has been approved for such use by the Administrator of the Federal Aviation Administration (FAA) or by the airworthiness authority in the country of exportation, if such approval is recognized by the FAA as an acceptable substitute for FAA certification, or that an application for approval for such use had been submitted to, and accepted by, the Administrator of the FAA. For purposes of the tariff schedule, the term "civil aircraft" means all aircraft other than aircraft purchased for use by the Department of Defense or the United States Coast Guard.

Pursuant to this statutory provision, it is clear that in order to obtain duty free treatment under the ATCA, the importer must file a written statement (known as the certification) that (1) the imported article has been imported for use in civil aircraft, (2) that it will be so used, and (3) that the article has been approved for such use by the Administrator of the FAA, or other acceptable authorities.

10.183, Customs Regulations (19 CFR 10.183), provides that civil aircraft certified for use in accordance with the provisions of General Note 3(c)(iv), HTSUS, may be admitted free of duty upon compliance with the provisions of this section. 19 CFR 10.183(c)(1) states that:

Each entry summary for civil aircraft...shall be filed with a copy of the written order, contract, or any additional documentation Customs shall require, to verify the claim for admission free of duty....

General Note 3(c)(iv), HTSUS, and 19 CFR 10.183(c)(1) provide for the filing at the time of entry as an absolute condition of entry. It is Customs position that a claim made for duty-free treatment pursuant to the ATCA must take place at the time of entry, not in the protest process after the aircraft has been entered. In this case, the claim for duty-free treatment pursuant to the ATCA was made during the protest process. No documentation was submitted at the time of entry to indicate that the protestant intended the entry to be duty free under the ATCA. The entry documents for the Yak 52 aircraft did not contain the necessary certification statement, nor designate a claim for ATCA eligibility, i.e., a "C" before the subheading number as instructed by Customs Directive #099 3550-061 dated September 18, 1992. Thus, the Yak 52 is not eligible for duty-free treatment pursuant to the ATCA.

3. Appraisement

The preferred method of appraising merchandise imported into the United States is transaction value pursuant to 402(b) of the Tariff Act of 1930, as amended by the Trade Agreements Act of 1979 (TAA), codified at 19 U.S.C. 1401a. 402 (b)(1) of the TAA provides, in pertinent part, that the transaction value of imported merchandise is the "price actually paid or payable for the merchandise when sold for exportation to the United States" plus amounts for certain enumerated additions.

Customs recognized the term "sale," as articulated in the case of J.L. Wood v. United States, 62 CCPA 25, 33; C.A.D. 1139, 505 F.2d 1400, 1406 (1974), to be defined as: the transfer of property from one party to another for consideration. In this case, the Yak 52 aircraft was purchased in Lithuania in November 1992 by the protestant and entered temporarily under bond into the U.S. on January 5, 1993. It was then exported for sale to Canada. However, the Canadian sale was not finalized and the Yak 52 aircraft was returned to the U.S. and entered for consumption on August 31, 1993. Thus, when entered for consumption on August 31, 1993, the Yak 52 aircraft was not sold for exportation to the U.S. No sale occurred for the protested merchandise because there was no transfer of property from one party to another for consideration. Therefore, transaction value is inapplicable.

When imported merchandise cannot be appraised on the basis of transaction value, it is appraised in accordance with the remaining methods of valuation, applied in sequential order. See, 402(a)(1) of the TAA. The alternative bases of appraisement, in order of precedence, are: the transaction value of identical or similar merchandise (402(c) of the TAA); deductive value (402(d) of the TAA); computed value (402(e) of the TAA); and the "fallback" method (402(f)).

402(c) of the TAA states that the transaction value of identical or similar merchandise is based on sales at the same commercial level and in substantially the same quantity, of merchandise exported to the United States at or about the same time as the merchandise being appraised. You appraised the Yak 52 aircraft at $40,255 pursuant to 402(c) of the TAA under transaction value of similar merchandise. 402(h)(4) of the TAA defines "similar merchandise" as:

(A) merchandise that-- (i) was produced in the same country and by the same person as the merchandise being appraised, (ii) is like the merchandise being appraised in characteristics and component material, and (iii) is commercially interchangeable with the merchandise being appraised; or

(B) if merchandise meeting the requirements under subparagraph (A) cannot be found (or for purposes of applying subsection (b) (2) (B) (i) of this section, regardless of whether merchandise meeting such requirements can be found), merchandise that-- (i) was produced in the same country as, but not produced by the same person as, the merchandise being appraised, and (ii) meets the requirement set forth in subparagraph (A) (ii) and (iii).

Additionally, you determined that the country of origin for the Yak 52 aircraft was Romania. Thus, the similar merchandise you used to appraise the Yak 52 aircraft are three Yak 52 aircraft exported to the U.S. at or about the same time as the Yak 52 aircraft at issue, i.e., May 27, 1993, June 16, 1993, and July 7, 1993. The appraised values for the three similar Yak 52 aircraft were $40,255, $40,543 and $40,800 and the country of origin for these three aircraft was listed as Romania.

For purposes of applying the transaction value of similar merchandise, it is the country in which the article was produced which is controlling. In this case, we have determined that the Yak 52 aircraft is considered a product of Russia, not Romania. Moreover, it appears that the Yak 52 aircraft used as the similar merchandise are not like the Yak 52 aircraft at issue in characteristics and component material. The evidence submitted indicates that the similar Yak 52 aircraft were purchased from a manufacturing factory in Romania as part of the 1993 series of Yak 52 aircraft. Whereas, the Yak 52 aircraft at issue was produced in 1984, used in Russia and underwent various modifications as described above. To use the transaction value of similar merchandise, the imported merchandise must be produced in the same country as the country of the similar merchandise and be like the merchandise being appraised in characteristics and component materials. This is not the situation at hand.

Additionally, for purposes of establishing transaction value of similar merchandise we can not use protestant's submitted value of $12,000 based on another entry of a Yak 52 aircraft. Even though the entry summary listed the country of origin of that Yak 52 aircraft as Russia, it was exported to the U.S. on August 28, 1994. Whereas, the Yak 52 aircraft at issue was exported to the U.S. on August 22, 1993. We do not find that the proposed similar Yak 52 aircraft was exported to the United States at or about the time that the Yak 52 aircraft at issue was exported to the United States. The proposed similar Yak 52 aircraft was exported to the U.S. over a year after the Yak 52 aircraft at issue. Therefore, based on the evidence available the Yak 52 aircraft cannot be appraised on the basis of the transaction value of similar merchandise.

As transaction value of identical or similar merchandise is not available, appraisement under deductive value is appropriate provided the statutory requirements of 402(d) of the TAA are met and that the necessary documentation and information is obtainable. Deductive value requires a value at which the merchandise is sold in the U.S. In this case, deductive value is not an available method of appraisement as there is no evidence to indicate when or at what price the Yak 52 aircraft was sold in the U.S.

Likewise, computed value cannot be used to appraise the merchandise. Under computed value the following items are added together: (1) the cost or value of the materials and the fabrication employed in the product; (2) the profit and general expenses equal to that usually reflected in sales of merchandise of the same class as the imported merchandise; (3) the value of any assists and (4) the packing costs. In the present case, there is no evidence that establishes any of these amounts.

Therefore, the only method left for appraising the merchandise is 402(f) of the TAA. 402(f) of the TAA provides that if the value of imported merchandise cannot be determined under subsections (b) through (e):

...the merchandise shall be appraised for the purposes of this Act on the basis of a value that is derived from the methods set forth in such subsections, with such methods being reasonably adjusted to the extent necessary to arrive at a value.

We note that values which are determined pursuant to 402(f) of the TAA will be based, to the greatest extent possible, on previously determined values. See, Statement of Administrative Action, H.R. Doc. No. 153, Pt II, 96th Cong., 1st Sess. (1979), reprinted in Department of the Treasury, Customs Valuation under the Trade agreements Act of 1979 (October 1981), at 63-64. 152.107, Customs Regulations (19 CFR 152.107), sets forth examples of acceptable appraisements using 402(f) of the TAA. 19 CFR 152.107(a) directs Customs to appraise merchandise based upon a previously accepted value, reasonably adjusted to the extent necessary to arrive at a value. For example, in this case the merchandise could be appraised on the basis of 402(c) using merchandise produced in a country other than Russia or using a flexible interpretation of the "at or about the same time of exportation" provision. See, 19 CFR 152.107(b).

It is our position that the Yak 52 aircraft can be appraised pursuant to 402(f) of the TAA using the transaction value of similar merchandise for the Yak 52 aircraft exported to the U.S. on August 28, 1994, which was imported by protestant. The entry summary indicated that the country of origin for that Yak 52 aircraft was Romania and its value was stated as $12,000. This value is a previously accepted transaction value. Pursuant to 19 CFR 152.107(b), under 402(f) of the TAA, the transaction value of similar merchandise can be adjusted using a flexible interpretation of "at or about the same time of exportation." Although the similar Yak 52 aircraft was exported over one year after the Yak 52 at issue, under 402(f) this time frame can be adjusted.

We note that pursuant to 19 CFR 152.107(b), an adjustment can be made for the country of production for the three other Yak 52 aircraft which you determined to be similar merchandise. However, the evidence submitted with regard to those three aircraft appears to indicate that they are new Yak 52 aircraft invoiced from the Romanian factory as part of the 1993 series of Yak 52 aircraft. Whereas, the Yak 52 aircraft at issue was produced in 1984, used in Russia and underwent various modifications as described above. Thus, the previously accepted values for the three aircraft do not meet the definition of similar merchandise pursuant to 402(h)(4) of the TAA, as they are not like the Yak 52 aircraft at issue in characteristics and component material. Accordingly, they cannot be reasonably adjusted pursuant to 402(f) of the TAA and 19 CFR 152.107(b).

Even if we were to determine that the $40,255 value of the other Yak 52 aircraft was an acceptable transaction value of similar merchandise adjusted for the country of production under 402(f), it would not be the appropriate appraised value under 402(f) of the TAA. 152.108, Customs Regulations (19 CFR 152.108), states that imported merchandise may not be appraised on the basis of:

(b) A system that provides for the appraisement of imported merchandise at the higher of two alternative values....

In this type of situation, we would have two acceptable appraisements pursuant to 402(f) of the TAA, the $12,000 transaction value of similar merchandise adjusted for time of export and the $40,255 transaction value of similar merchandise adjusted for country of production. Pursuant to 19 CFR 152.108(b), it would be necessary to choose the lower value alternative, $12,000.

HOLDING:

The Yak 52 aircraft is a product of Russia and subject to the applicable column one duty rate. The consumption entry documents for the Yak 52 aircraft do not claim eligibility under the Agreement on Trade in Civil Aircraft, and, therefore, it is not eligible for duty-free treatment pursuant to the Agreement on Trade in Civil Aircraft.

Transaction value under 402(b) of the TAA does not exist where there is no sale for exportation to the United States. Based on the evidence available, the Yak 52 aircraft cannot be appraised on the basis of transaction value of identical or similar merchandise pursuant to 402(c) of the TAA, deductive value pursuant to 402(d) of the TAA, or computed value pursuant to 402(e) of the TAA. Accordingly, you are directed to appraise the merchandise at $12,000 in accordance with 402(f) of the TAA based on the transaction value of similar merchandise adjusted for the country of production, as set forth above.

The Protest is GRANTED in part and DENIED in part as described above. In accordance with Section 3A(11)(b) of Customs Directive 099 3550-065 dated August 4, 1993, Subject: Revised Protest Directive, this decision, together with the Customs Form 19, should be mailed by your office to the protestant no later than 60 days from the date of this letter. Any reliquidation of the entry in accordance with the decision must be accomplished prior to mailing the decision. Sixty days from the date of the decision the Office of Regulations and Rulings will take steps to make the decision available to customs personnel via the Customs Rulings Module in ACS and the public via the Diskette Subscription Service, Freedom of Information Act and other public access channels.

Sincerely,


Acting Director
International Trade Compliance
Division