Locks of Base Metal

Published CBP guidance; operative status and applicability must be assessed from the retained publisher edition.

What Every Member of the
Trade Community Should Know About:
Locks of Base Metal

AN INFORMED COMPLIANCE PUBLICATION
JANUARY 2010

Locks of Base Metal
January 2010

NOTICE:

This publication is intended to provide guidance and information to the trade community.
It reflects the position on or interpretation of the applicable laws or regulations by U.S.
Customs and Border Protection (CBP) as of the date of publication, which is shown on
the front cover. It does not in any way replace or supersede those laws or regulations.
Only the latest official version of the laws or regulations is authoritative.

Publication History

First Published: February 2009
Reviewed with no Changes January 2010

PRINTING NOTE:

This publication was designed for electronic distribution via the CBP website
(http://www.cbp.gov)
and is being distributed in a variety of formats. It was originally set
up in Microsoft Word 2003
®
. Pagination and margins in downloaded versions may vary
depending upon which word processor or printer you use. If you wish to maintain the
original settings, you may wish to download the .pdf version, which can then be printed
using the freely available Adobe Acrobat Reader
®
.

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PREFACE

On December 8, 1993, Title VI of the North American Free Trade Agreement Implementation
Act (Pub. L. 103-182, 107 Stat. 2057), also known as the Customs Modernization or “Mod” Act,
became effective. These provisions amended many sections of the Tariff Act of 1930 and
related laws.

Two new concepts that emerge from the Mod Act are “informed compliance” and “shared
responsibility,” which are premised on the idea that in order to maximize voluntary compliance
with laws and regulations of U.S. Customs and Border Protection, the trade community needs to
be clearly and completely informed of its legal obligations. Accordingly, the Mod Act imposes a
greater obligation on CBP to provide the public with improved information concerning the trade
community's rights and responsibilities under customs regulations and related laws. In addition,
both the trade and U.S. Customs and Border Protection share responsibility for carrying out
these requirements. For example, under Section 484 of the Tariff Act, as amended (19 U.S.C.
1484), the importer of record is responsible for using reasonable care to enter, classify and
determine the value of imported merchandise and to provide any other information necessary to
enable U.S. Customs and Border Protection to properly assess duties, collect accurate
statistics, and determine whether other applicable legal requirements, if any, have been met.
CBP is then responsible for fixing the final classification and value of the merchandise. An
importer of record’s failure to exercise reasonable care could delay release of the merchandise
and, in some cases, could result in the imposition of penalties.

Regulations and Rulings (RR) of the Office of International Trade has been given a major role in
meeting the informed compliance responsibilities of U.S. Customs and Border Protection. In
order to provide information to the public, CBP has issued a series of informed compliance
publications on new or revised requirements, regulations or procedures, and a variety of
classification and valuation issues.

This publication, prepared by the National Commodity Specialist Division of Regulations and
Rulings is entitled "Locks of Base Metal”. It provides guidance regarding the classification of
these items. We sincerely hope that this material, together with seminars and increased access
to rulings of U.S. Customs and Border Protection, will help the trade community to improve
voluntary compliance with customs laws and to understand the relevant administrative
processes.

The material in this publication is provided for general information purposes only. Because
many complicated factors can be involved in customs issues, an importer may wish to obtain a
ruling under Regulations of U.S. Customs and Border Protection, 19 C.F.R. Part 177, or to
obtain advice from an expert who specializes in customs matters, for example, a licensed
customs broker, attorney or consultant.

Comments and suggestions are welcomed and should be addressed to U.S. Customs and
Border Protection, Office of International Trade, Executive Director, Regulations and Rulings,
799 9
th
Street N.W. 7
th
floor, Washington, D.C. 20229-1177.

Sandra L. Bell
Executive Director, Regulations and Rulings
Office of International Trade

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LOCKS OF BASE METAL.......................................................................... 7
INTRODUCTION.......................................................................................................... 7
FUNDAMENTALS OF CLASSIFICATION REGARDING HEADING 8301.7
GENERAL RULES OF INTERPRETATION (GRI)....................................................... 7
EXPLANATORY NOTES (EN)..................................................................................... 8
PARTS OF GENERAL USE......................................................................................... 9
ADDITIONAL U.S. RULES OF INTERPRETATION................................................... 10
DEFINITION OF A BASE METAL............................................................. 10
THE SUBHEADINGS................................................................................ 11
PADLOCKS................................................................................................................ 11
LOCKS OF A KIND USED ON MOTOR VEHICLES.................................................. 15
LOCKS OF A KIND USED FOR FURNITURE........................................................... 16
OTHER LOCKS.......................................................................................................... 17
Clasps and frames with clasps, INCORPORATING LOCKS...................................... 19
Parts........................................................................................................................... 19
Keys presented separately......................................................................................... 21
COMPOSITE GOODS............................................................................... 21
ADDITIONAL INFORMATION................................................................... 24
The Internet................................................................................................................ 24
Customs Regulations................................................................................................. 24
Customs Bulletin........................................................................................................ 24
Importing into the United States................................................................................. 25
Informed Compliance Publications............................................................................. 25
Value Publications...................................................................................................... 26
“Your Comments are Important”................................................................................. 27

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LOCKS OF BASE METAL

INTRODUCTION

A lock is a mechanical fastening device that functions to restrict access to an enclosed
area or to secure a possession. Since the beginning of history, people have
endeavored to secure their belongings. In ancient times, however, only the wealthy
owned possessions valuable enough to secure. Evidence of the earliest known lock
was found in the ruins of the ancient Egyptian city of Nineveh. It was made of wood and
is considered the forerunner of the modern pin tumbler lock.

This Informed Compliance Publication seeks to clarify the tariff classification of base
metal locks, parts thereof and keys. It also identifies the country of origin marking
requirements applicable to keys.

Locks of base metal are classified in Section XV, Harmonized Tariff Schedule of the
United States (HTSUS), Chapter 83, Heading 8301, which reads as follows:

PADLOCKS AND LOCKS (KEY, COMBINATION OR ELECTRICALLY
OPERATED), OF BASE METAL; CLASPS AND FRAMES WITH
CLASPS, INCORPORATING LOCKS, OF BASE METAL; KEYS AND
PARTS OF ANY OF THE FOREGOING ARTICLES, OF BASE METAL:

Heading 8301 covers base metal fastening devices including locks operated by key,
combination, or electronically. Electronically operated locks may be operated by radio
wave signal, insertion of a magnetic card, or by entering combination data on an
electronic keypad. Also included are locks that utilize biometric technology to scan and
recognize fingerprints, eyes, faces, voices, etc. This heading also covers base metal
locking clasps, frames with clasps that incorporate locks, keys of base metal (including
blanks), and base metal parts of all the above.

Please note that this publication relies heavily on prior Customs and Border Protection
(CBP) rulings to illustrate classification practices and decisions. All rulings quoted in
this paper have been extracted, condensed, or summarized. We do not recommend
relying on the extract without reading the entire ruling. Additionally, the rulings cited are
intended to illustrate CBP’s position on various classification issues; they represent only
a portion of the rulings published in relation to articles of this heading.

FUNDAMENTALS OF CLASSIFICATION REGARDING HEADING 8301

GENERAL RULES OF INTERPRETATION (GRI)

Classification of merchandise under the HTSUS is governed by the principles of the
General Rules of Interpretation (GRI). The systematic detail of the HTSUS is such that
most goods are classified by application of GRI 1, that is, according to the terms of the
headings of the tariff schedule and any relative section or chapter notes. “In the event that

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the goods cannot be classified solely on the basis of GRI 1, and if the headings and legal
notes do not otherwise require, the remaining GRI may then be applied.” See
Headquarters Ruling Letter (HQ) 963610, dated April 8, 2002. When goods cannot be
classified on the basis of GRI 1, the remaining GRIs must be applied in sequential order.

EXPLANATORY NOTES (EN)

The Explanatory Notes (EN) to the Harmonized Commodity Description and Coding
System represent the official interpretation of the tariff at the international level and
facilitate classification under the HTSUS by offering guidance in understanding the
scope of the headings and GRI. (HQ 963610) CBP refers to the EN for direction and
guidance when interpreting the headings and subheadings of the HTSUS. Although not
legally binding nor dispositive, the EN provide an explanation of the scope of each
heading and generally indicate the appropriate interpretation of these headings. It is
CBP’s practice to follow, whenever possible, the terms of the EN when interpreting the
HTSUS. See T.D. 89-90, 54 Fed. Reg. 35127, 35128 (August 12, 1989). [HQ 964945,
et al.]

The EN for heading 8301 list the items covered in this heading as follows:

(A) Padlocks of all types for doors, trunks, chests, bags, cycles, etc.,
including key-operated locking hasps.
(B) Locks for doors or gates, letter boxes, safes, boxes or caskets,
furniture, pianos, trunks, suit-cases, handbags, dispatch-cases, etc.,
for automobiles, railway-rolling-stock, tramcars, etc., for lifts, shutters,
sliding doors, etc.
(C) Clasps and frames with clasps, incorporating locks.

The heading also covers:

(1) Base metal parts of the articles mentioned above clearly
recognizable as such (e.g., cases, bolts, striking plates and sockets,
thread escutcheons, face-plates, wards, mechanisms and cylinder
barrels).
(2) Base metal keys for the articles mentioned above, finished or not
(including roughly cast, forged or stamped blanks).

The heading also includes special railway coach compartment keys,
skeleton keys, etc.

The following articles are not
covered in heading 8301:

• Simple latches and bolts of heading 8302, such as a privacy lock for a
bedroom or bathroom door. These usually lock from the inside with
the press of a button or turn of a thumb knob. They are not key,
combination or electronically operated.

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• Simple fasteners and clasps for handbags, purses, briefcases, etc.,
which are not key or combination operated. These are classified in
heading 8308.

PARTS OF GENERAL USE

In order to classify merchandise in heading 8301, one must understand the term, “parts
of general use,” as defined in the HTSUS. Section XV, Note 2 defines the expression
“parts of general use.” It states:

Throughout the tariff schedule, the expression “parts of general use
”
means:

(A) Articles of heading 7307, 7312, 7315, 7317, or 7318 and similar
articles of other base metals;
(B) Springs and leaves for springs, of base metal, other than clock or
watch springs (heading 9114); and
(C) Articles of heading 8301, 8302, 8308, or 8310 and frames and
mirrors, of base metal, of heading 8306. (Emphasis added)

In chapters 73 to 76 and 78 to 82 (but not in heading 7315) references to
parts of goods do not include references to parts of general use as defined
above.

Subject to the preceding paragraph and to note 1 to chapter 83, the
articles of chapter 82 or 83 are excluded from chapters 72 to 76 and 78 to
81.

EN (C) to Section XV states, in relevant part, that:

“In general, identifiable parts of articles are classified as such parts in their
appropriate headings in the Nomenclature”.

“However, parts of general use (as defined in Note 2 to this Section)
presented separately are not considered as parts of articles, but are
classified in the headings of this Section appropriate to them...."

Accordingly, articles of heading 8301 are parts of general use. As such, a good that
falls within heading 8301 will be classified in this heading, regardless of whether it may
also be covered by another heading in the tariff. Some examples: a car door handle
incorporating a lock is classified in heading 8301, not in Chapter 87 as a part of a car; a
key operated lock for a desk drawer is classified in heading 8301, not in Chapter 94 as
a part of furniture.

Additionally, Section XVI, Section XVII, and numerous chapters in the HTSUS include
notes explicitly excluding parts of general use from classification within their provisions.

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See Section XVI, Note 1(g); Section XVII, Note 2(b); Chapter 90, Note 1(f); Chapter 92,
Note 1(a); Chapter 93, Note 1(b); Chapter 94, Note 1(d); Chapter 95, Note 1(k); and
Chapter 96, Note 1(d).

ADDITIONAL U.S. RULES OF INTERPRETATION

Several of the subheadings within heading 8301 are controlled by use, such as
8301.20.00, locks of a kind used on motor vehicles and 8301.30.00, locks of a kind
used for furniture. When classifying these articles one must turn to Additional U.S.
Rules of Interpretation 1(a), which states that, “a tariff classification controlled by use
(other than actual use) is to be determined in accordance with the use in the United
States at, or immediately prior to, the date of importation, of goods of that class or kind
to which the imported goods belong, and the controlling use is the principal use.”

HQ 967263, dated August 1, 2005, noted the following regarding the concepts of
“principal use” and “class or kind”:

Although the introduction of the HTSUS changed the concept of use from
chief use to principal use, it is still informative to see how courts
interpreted the former statute since the wording regarding class or kind is
nearly identical. In United States v. Colibri Lighters (USA), Inc.
, 47 CCPA
106, CAD 739 (1960), discussing the concept of chief use, the Appeals
Court stated that in addition to the characteristics of the merchandise
itself, classification should be based on the chief use of the articles of that
class generally and not on the basis to which the individual articles should
be put. In Group Italglass U.S.A., Inc. v. United States
, 17 CIT 1177, 839
F. Supp. 866 (1993), the Court found that it is the principal use of the class
or kind or goods to which the imports belong at or immediately prior to the
date of importation and not the principal use of the specific imports that is
controlling. Moreover, in Primal Lite, Inc. v. United States
, 182 F. 3d 1362
(Fed. Ct. App. 1999), the Court stated that principal use under Additional
U.S. Rule of Interpretation 1(a) limits the “class or kind” language to those
goods that are “commercially fungible” with the imported goods.

DEFINITION OF A BASE METAL

Section XV, Note 3 defines base metals under the HTSUS. It reads:

Throughout the Nomenclature, the expression “base metals” means: iron
and steel, copper, nickel, aluminum, lead, zinc, tin, tungsten (wolfram),
molybdenum, tantalum, magnesium, cobalt, bismuth, cadmium, titanium,
zirconium, antimony, manganese, beryllium, chromium, germanium,
vanadium, gallium, hafnium, indium, niobium (columbium), rhenium and
thallium.

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This definition applies throughout the entire HTSUS and supersedes any other scientific
or commercial definition. It is important to note that the definition includes semi-metals,
such as antimony, and excludes other elements sometimes considered metals, such as
arsenic.

In contrast, Section XIV, Chapter 71, Note 4 indicates that “precious metal” means
silver, gold and platinum (platinum, iridium, osmium, palladium, rhodium and
ruthenium). Section XIV, Chapter 71, Note 5 states that an alloy containing precious
metal is classified as an alloy of that precious metal if it constitutes 2% or more of the
weight.

Heading 8301 makes no distinction between different types of base metals.
Accordingly, locks are classified in this heading regardless of the base metal of which
they are composed.

THE SUBHEADINGS

This heading covers the following subheadings:

8301.10 Padlocks
8301.20 Locks of a kind used on motor vehicles
8301.30 Locks of a kind used for furniture
8301.40 Other Locks
8301.50 Clasps and frames with clasps, incorporating locks
8301.60 Parts
8301.70 Keys presented separately

PADLOCKS

8301.10 Padlocks:

Not of cylinder or pin tumbler construction:

8301.10.2000 Not over 3.8 cm in width
8301.10.4000 Over 3.8 cm but not over 6.4 cm in width
8301.10.5000 Over 6.4 cm in width

Of cylinder or pin tumbler construction:

8301.10.6000 Not over 3.8 cm in width
8301.10.8000 Over 3.8 cm but not over 6.4 cm in width
8301.10.9000 Over 6.4 cm in width

The term “padlock” is not defined in either the HTSUS or the EN. When tariff terms are not
defined in the tariff or the EN they will be construed in accordance with their common and
commercial meaning. See Nippon Kogasku (USA), Inc. v. United States
, 69 CCPA 89,

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673 F.2d 380 (1982). The common and commercial meaning of a tariff term, such as
“padlock,” may be determined by consulting reliable resources, these include dictionaries,
lexicons, scientific authorities, encyclopedias, etc. See C.J. Tower & Sons v. United
States, 69 CCPA 128, 673 F.2d 1268 (1982).

The Oxford English Dictionary
defines a padlock as follows:

A detachable lock, having a movable hook or shackle that may be passed
through a staple, ring, etc., on the object to be fastened, before being
fitted into a socket.

Padlocks have a wide variety of uses. They are commonly used to secure lockers,
bicycles, and luggage. They are also frequently used as part of the security measures
on commercial and industrial sites. Padlocks of flimsy construction that do not appear
to be capable of serious use as a locking device are not classified in this heading. See
HQ 091741, dated April 8, 1970.

A padlock is a detachable, portable lock. Portable locks having a chain or cable,
instead of a solid shackle, are considered to be padlocks for tariff purposes. CBP has
ruled that a portable lock without an external shackle is also classified as a padlock (see
discussion of NY B85123 and HQ 960786 below).

Padlocks are subdivided into two major groupings within the HTSUS: those that are not
made of cylinder or pin tumbler construction (subheadings 8301.10.20, 8301.10.40,
8301.10.50) and those that are made of cylinder or pin tumbler construction
(subheadings 8301.10.60, 8301.10.80, 8301.10.90).

A cylinder lock is a type of lock consisting of a locking mechanism contained inside a
cylinder barrel. The cylinder must rotate in order to open the lock. Locks of cylinder
construction are always key operated. Cylinder locks include locks constructed of
various types of locking mechanisms, including pin tumbler construction and disc
tumbler or wafer construction.

A pin tumbler lock is a type of cylinder lock consisting of a cylinder that contains a series
of small pins of varying lengths. The pins are divided into pairs. Each pair of pins rests
in a shaft that runs through the central cylinder plug and also into the housing around
the plug. A spring at the top of each shaft keeps the pin pair in position within the plug.
When no key is inserted, one pin of each pair is completely inside the plug, while the
other pin is halfway in the plug and halfway in the housing. This position of the pins
keeps the plug from turning by binding the plug to the housing and, therefore, holding it
in the locked position. When a key is inserted, the series of notches in the key push the
pin pairs up to different levels. The correct key will push each pin pair into position so
that the upper and lower pin meet at the same point where the cylinder and the housing
meet. This point is called the shear line. In other words, the correct key will push the
pins up so that all the upper pins are inserted completely in the housing, while all the
lower pins rest completely in the plug. Without any pins binding it to the housing, the

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plug moves freely and the bolt can be moved in (unlocked position) and out (locked
position).

Disc tumbler locks, also known as wafer locks, are cylinder locks that utilize a set of flat
discs or wafers to prevent the lock from opening unless the correct key is inserted.
Each disc/wafer has a rectangular hole cut into its center and a spring located at its
side. When locked, the springs force the discs/wafers down through the bottom of the
cylinder and into the outer casing of the lock. The correct key will raise each disc/wafer
out of the casing so that it is positioned in the center of the cylinder, which enables the
plug, the discs/wafers and the key to rotate.

Although all cylinder locks are key operated, not every key operated lock is a cylinder
lock. Examples of key operated locks that are not cylinder locks are warded locks and
lever locks.

Padlocks that are not key operated, such as combination padlocks, are “not of cylinder
or pin tumbler construction.” There are several forms of combination locks. The dial
design has a single dial that is manually rotated to match up with specific numbers
located around its edge. The disk combination padlock consists of several small,
numbered, rotating disks that must be positioned in a certain order for the lock to open.
The push button combination padlock contains a series of push buttons. When the
correct numbered buttons are depressed, the lock will open.

The classification of padlocks is further subdivided in the tariff into subheadings of
varying widths. Generally speaking, CBP measures padlocks in accordance with trade
practices. According to industry standards, the width of a padlock is measured at the
widest part of the body of the lock, not including the rubber bumper. CBP discussed
the definition of the width of a padlock in NY B85123, dated May 8, 1997, in which it
stated that, “the classification of padlocks depends on their construction and width. The
width, for CBP purposes, is the dimension perpendicular to the length, measured at its
greatest point.” To determine the length of a padlock, the entire lock (including the
shackle) is measured in its locked position.

NY B86871, dated July 1, 1997, addressed the classification of a lock used to secure an
electrical plug. CBP described the lock as follows:

The merchandise is called the "Power Lock." This item is a padlock used to
secure an electrical plug. It is 4.4 cm long and 2.8 cm wide. It has a plastic
housing with two slots on the end to hold the prongs of an electrical plug.
The housing contains a key-operated lock, of cylinder construction, made of
base metal. After the prongs have been inserted into the Power Lock, the
user turns the key 900 counter clock-wise and removes it. In the opinion of
this office, the essential character of this device is provided by the locking
mechanism of base metal.

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Although the lock in NY B86871 did not have an external shackle, CBP classified it as a
padlock of base metal, of cylinder or pin tumbler construction, not over 3.8 cm in width in
subheading 8301.10.6000, HTSUS. This decision was upheld in HQ 960786, dated May
14, 1998, which considered the applicability of headings 8301 and 8536. Heading 8536
covers electrical apparatus for switching or protecting electrical circuits. Through careful
analysis, CBP determined that the “Power Lock” was described by heading 8301, as a
padlock of cylinder construction and by EN 83.01, as a fastening device operated by a
key. It did not meet the description of articles included in heading 8536, since it did not
make or break a circuit, prevent circuit overload, or connect parts of an electrical circuit. It
also differed from the examples in EN 85.36 because electricity did not flow through it.
Rather, it physically prevented a plug from being inserted into a socket. Additionally, the
"Power Lock" was not fitted with a means of electrical connection, but was used solely as
a protective cover for a plug.

In NY C82068, dated December 22, 1998, CBP classified a combination bicycle lock with
a 7-inch long, PVC covered shackle. The lock was 4.5 cm wide, and was not of cylinder or
pin tumbler construction. The applicable subheading for the bicycle lock was determined
to be 8301.10.4000, HTSUS, which provides for padlocks and locks (key, combination or
electrically operated) of base metal, not of cylinder or pin tumbler construction, over 3.8 cm
but not over 6.4 cm in width.

In NY I80890, dated April 30, 2002, CBP addressed the classification of a base metal
combination padlock, which was mounted inside a resin shape that resembled a golf
ball. The lock, itself, measured approximately 3.4 centimeters in width. CBP determined
that the applicable subheading for this novelty lock was 8301.10.2000, HTSUS, as a
padlock, not of cylinder or pin tumbler construction, not over 3.8 cm in width.

In NY A84508, dated June 19, 1996, CBP considered a zinc coupler lock used on trailers
to prevent unauthorized tow-away. The lock covered the coupler of a trailer with a housing.
A pin tumbler, key-operated lock extended below the housing. The lock measured 8.2 cm
in length at its longest point, and 10 cm wide at its widest point. These locks were
commercially known and sold as padlocks. The locks were determined to be classified in
subheading 8301.10.9000, HTSUS, which provides for padlocks, of base metal, of cylinder
or pin tumbler construction, over 6.4 cm in width.

In NY 801785, dated September 7, 1994, the classification of an article described as a
“GunLok Motion Activated Trigger Alarm” was addressed. It consisted of three parts: the
key, the main housing and the foot. The main housing contained a key-operated padlock
of pin tumbler construction, and a motion activated electronic lock. The shackle of the lock
was intended to pass through the trigger guard of a firearm to prevent it from discharging.
The housing was made of plastic, the lock of base metal. The essential character of this
article was determined to be imparted by the metal lock. The applicable subheading was
determined to be 8301.10.8000, HTSUS, which provides for padlocks, of base metal, of
cylinder or pin tumbler construction, over 3.8 cm but not over 6.4 cm in width.

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NY N008831, dated April 3, 2007, addressed the classification of three padlocks designed
for luggage security. Each lock comprised two separate locking mechanisms; a
combination mechanism consisting of four numerical code dials to be used by the traveler
and a cylinder locking mechanism to be used by a Transportation Security Administration
(TSA) Officer. CBP determined that both the combination and cylinder components were
of equal importance to the padlocks and, therefore, neither component imparted the
essential character. Employing GRI 3(c) and GRI 6, the padlocks were determined to be
classified in subheading 8301.10.6000. HTSUS, which provides for padlocks of base
metal, of cylinder or pin tumbler construction, not over 3.8 cm in width.

LOCKS OF A KIND USED ON MOTOR VEHICLES

8301.20.00 Locks of a kind used on motor vehicles

8301.20.0030 Non-integral steering wheel immobilizer devices

8301.20.0060 Other

In NY B83843, dated April 16, 1997, CBP classified a steering wheel lock in subheading
8301.20.00030, HTSUS. The lock is an anti-theft device that secures around the steering
wheel of the car. The body of the lock physically prevents the steering wheel from turning.

In NY C87963, dated May 20, 1998, CBP considered the classification of an article called
the “Auto Taser.” This device consists of a steel bar that fits around the steering wheel of
a car to prevent theft. It locks with a key and also includes two other anti-theft devices. It
has a motion-activated alarm and a Taser anti-tamper system, which generates a strong
electric shock if tampering occurs. The applicable subheading for the Auto Taser was
determined to be 8301.20.0030, HTSUS.

In NY B86334, dated June 17, 1999, CBP classified a locking device consisting of a steel
cable attached to a key operated, cylinder lock with a plastic housing and retractable,
plastic teeth. To engage the device, the cable is looped through a vehicle’s steering
wheel, the lock body is inserted into the cassette slot, and the key is turned. When locked,
the teeth inside the lock body are engaged to hold it firmly in the slot, thereby securing the
stereo and immobilizing the steering wheel. CBP classified this device in subheading
8301.20.0060, HTSUS, as locks of a kind used on motor vehicles, other.

In NY K83177, dated March 9, 2004, CBP classified a mechanical lock used in the rear
door of vans. The lock contained a small switch used to give continuity to the car’s ceiling
light. CBP determined that the essential character was imparted by the lock and it was
classified in subheading 8301.20.0060, HTSUS.

In NY J86533, dated July 16, 2003, CBP classified both manual and power door latches
and their strikers. The latches keep the front doors of a vehicle closed while the vehicle
is in motion. When the door is closed, the latch, which is mounted on the door pillar,
contacts the striker. The importer asserted that the latches were classified in heading

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8302, HTSUS, as mountings and fittings, however, the manual latches were key
operated and the power latches were operated by a radio-remote key fob. As such,
they fit the description of locks in heading 8301 and were classified in subheading
8301.20.0060, HTSUS.

In NY J86535, dated July 14, 2003, CBP addressed the classification of a hood latch
and a trunk latch. The hood latch is released via a mechanical cable running from the
passenger compartment to the hood release pawl. It also incorporates a secondary
safety latch that is released by a lever under the vehicle’s hood. It functions to keep the
hood closed while the vehicle is moving. The trunk latch operates several ways: by key,
electrically by a button located in the passenger compartment, and by remote keyless
entry, which sends a signal to a radio control receiver. The trunk latch functions to keep
the trunk closed while the vehicle is in motion.

Since the trunk latch operates by key or remote, CBP determined that it was provided
for in subheading 8301.20.0060, HTSUS. Conversely, the hood latch is a simple latch
not operated by key or remote; as such, it was classified in heading 8302, HTSUS,
which provides in part for base metal mountings, fittings and similar articles.

LOCKS OF A KIND USED FOR FURNITURE

8301.30.00 Locks of a kind used for furniture

8301.30.0060 Cam locks and other locks suitable for use with chests,
drawers and similar items

8301.30.0090 Other

This subheading covers locks used for furniture, including both domestic and office
furniture. These include cam locks, cabinet locks, drawer locks, handle locks, paddle
locks, showcase locks, and more. These locks are designed to be installed onto or into
the furniture and are not detachable. However, when imported separately, they are
parts of general use and classified in heading 8301, HTSUS.

A cam lock is a type of lock that has an attached cam. The cam moves with the turn of
a key and serves as the locking bolt. These locks are often used on furniture and
provide minimal security.

In NY 805502, dated January 19, 1995, CBP addressed the classification of two steel
locks designed to be permanently mounted onto lockers. One was key-operated and the
other was combination. The applicable subheading was determined to be 8301.30.0090,
HTSUS.

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January 2010

In NY B89578, dated September 19, 1997, CBP classified a locking handle for a metal
storage cabinet. It consisted of a lever handle with a built-in, key-operated lock cylinder
and a detachable cam. All parts were made of base metal. The applicable subheading
was determined to be 8301.30.0060, HTSUS.

The classification of a lock designed to block access to the compact disk drive of a
personal computer was addressed in NY C88783, dated June 18, 1998. The article
consisted of two plates. The first plate mounted onto the bottom of the CPU cabinet. The
second plate contained a key-operated cam lock, which fit into the first plate and extended
over the opening of the disk drive. This prevented unauthorized use of the computer.
Although, in this instance, the lock was used on a computer, CBP determined that a cam
lock is a class or kind of lock principally used on cabinets, desks or other furniture. As
such, it was classified in subheading 8301.30.0060, HTSUS.

OTHER LOCKS

8301.40 Other locks:

8301.40.3000 Luggage locks

8301.40.60 Other

8301.40.6030 Door locks, locksets and other locks suitable for use
with interior or exterior doors (except garage,
overhead or sliding doors)

8301.40.6060 Other

Luggage locks are principally used for securing luggage. It is important to note that this
subheading does not include small padlocks designed for use on luggage, since padlocks
are eo nomine provided for in subheading 8301.10, HTSUS.

In NY 872742, dated March 30, 1992, CBP classified a lock cylinder and key intended to
be used on luggage. The applicable subheading was determined to be 8301.40.3000,
HTSUS, which provides for luggage locks.

In NY A82373, dated May 24, 1996, CBP considered the classification of a lock used on a
car rack box. The car rack box is similar to a trunk and is used to transport personal
effects. It is designed to mount onto a vehicle’s roof rack. The integrated key lock restricts
access into the box. CBP determined that the car rack box was classified as a trunk,
suitcase or similar container in heading 4202, HTSUS. If the key lock is imported with the
box, it is classified in the same subheading and dutiable at the same rate as the box. If
imported separately, the lock is a part of general use and is classified in subheading
8301.40.3000, HTSUS, as a luggage lock.

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Locks of Base Metal
January 2010

In NY I85087, dated August 26, 2002, CBP classified a cylinder lock that was of the type
usually used on doors. The applicable subheading was determined to be 8301.40.6030,
HTSUS, which provides for door locks, locksets and other locks suitable for use with
interior or exterior doors (except garage, overhead or sliding doors).

In NY F87060, dated May 23, 2000, CBP considered the classification of an electronic
door lockset, which was designed to monitor and control access via a key card. The
lockset consisted of a mortise lock and handle/escutcheon assemblies with built-in
electronics. The lockset was determined to fall under subheading 8301.40.6030, HTSUS,
which provides for door locks, locksets and other locks suitable for use with interior or
exterior doors (except garage, overhead or sliding doors).

CBP addressed the classification of various locksets and latch sets in NY H85951, dated
December 12, 2001. A double-keyed deadbolt; a keyed, lever entrance lock; and a keyed,
front entrance handle set were all determined to be classified in subheading
8301.40.6030, HTSUS, as locks and locksets suitable for use with interior and exterior
doors. A non-keyed passage latch set and a non-keyed bed and bath privacy latch set
were classified as mounting and fittings suitable for buildings in subheading 8302.41.9045,
HTSUS.

In NY 838266, dated March 17, 1989, CBP classified garage door locksets in subheading
8301.40.6060, HTSUS.

In NY 851456, dated April 30, 1990, CBP considered the classification of a video cassette
recorder (VCR) lock. It is a rectangular shaped device consisting of a plastic casing and a
metal, tumbler lock. It fit into the tape opening of a front-loading VCR to prevent its use by
unauthorized persons. CBP determined that it was classified in subheading 8301.40.6060,
HTSUS.

CBP addressed the classification of two electronic locking mechanisms for in-room hotel
security boxes in NY D88232, dated March, 15, 1999. The units are battery operated,
digital locks with electronic keypads. One unit is an automatic digital electronic lock; the
other unit is a semi-automatic electronic lock with a manual locking unit. After
importation, the locks are incorporated into steel safe boxes. CBP determined that both
locking mechanisms are classified in subheading 8301.40.6060, HTSUS.

In NY L83260, CBP considered the classification of a transom saver with an attached
propeller lock, which is used while transporting a boat via trailer. The transom saver
supports the boat’s transom and the lock prevents theft of the propeller. The transom
saver is aluminum with pivoting feet to fit all engine sizes. It has rubber shock-
absorbing cushions and a rubber strap for attachment to the engine. The attached
propeller lock is a hardened steel bar coated in vinyl that telescopes and swivels for an
adjustable fit. It has a zinc lock tumbler with a plastic end cap and two keys. The
applicable subheading for the transom saver with attached propeller lock is
8301.40.6060, HTSUS.

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Locks of Base Metal
January 2010

In HQ 957416, dated June 20, 1995, CBP addressed the classification of an electronic
locking system that used magnetized cards. The system was designed as a security and
billing system for hotels. It included an encoder, door handles, card readers, cables,
programmed operator software, etc. The encoder is connected to the central processing
computer and is the card-issuing unit of the system. The processor chip in the encoder
encrypts magnetic cards with data obtained by the software. The individual cards are
coded with credit and personal information for a limited period of time. The encoder
imparts data on the cards, which when presented to a card reader, executes a logical
sequence to determine whether access to rooms, corridors, swimming pools, parking
garages, etc., is permitted. The card readers consist of printed circuit boards inside metal
lock cases for doors or walls. They read the data from the encoded cards and unlock
when access is permitted.

CBP determined that, since providing hotel security and billing are not defined by either of
these headings, classification of the security system in headings 8543 and 8471 was
precluded. CBP then determined that the system was not a set for tariff purposes since its
components were entered in bulk and not put up in a manner suitable for sale directly to
the user. As a result, the components of the security system were classified separately.

The card readers in HQ 957416 were ultimately classified in subheading 8301.40.60,
HTSUS, as other electrically operated locks. All other components, including the encoder,
software, cables, fasteners, etc., were broken out and classified under separate headings
in the tariff.

Clasps and frames with clasps, INCORPORATING LOCKS

8301.50.0000

This subheading covers clasps and frames with clasps that incorporate locks. They are
often used on purses, briefcases, luggage, books and watches. Clasps and frames with
clasps that do not incorporate locks are classified in heading 8308, HTSUS.

Parts

8301.60.0000

CBP addressed the classification of lock parts in HQ 956832, dated August 10, 1994. The
merchandise consisted of components for keyed locks used in residential exterior doors.
At issue was the classification of a grip handle, a thumb piece and a lock cylinder trim ring.
Neither the lock nor the bolts were included. CBP determined that these components did
not impart the essential character of a door lock since the lock itself was not present.
Consequently, they were not classified as an unfinished door lock.

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Locks of Base Metal
January 2010

The importer informed CBP that 97% of these components were dedicated for use in door
lock assemblies; 3% would be used in “dummy trim” products that did not lock. In
determining whether the components were classified as parts of a lock, CBP noted the
following:

Whether an article is part of another article depends on the nature of the so-
called “part” and its usefulness, function and purpose in relation to the article
in which it is designed to serve. Kores Manufacturing Inc.v. U.S., 3 CIT 178,
179 (1982), aff'd appeal No. 82-83 (C.A.F.C.1983).

CBP decided that the grip handle, thumb piece, and lock cylinder trim ring were all
necessary to the operation of a door lock. They provided structure and stability and the
lock could not function effectively without these components. CBP then turned to the
principal use of the merchandise. CBP was satisfied that since 97% were dedicated for
use in keyed door lock assemblies, the subject components were principally used with the
locks of heading 8301, HTSUS. Accordingly, in HQ 956832, CBP classified the grip
handle, thumb piece, and lock cylinder trim ring in subheading 8301.60.00, HTSUS, as
parts of a door lock.

In NY L85570, dated June 14, 2005, CBP classified a steel latch, a steel striker, a
plastic lock handle and a plastic spacer, which were designed to be assembled on a
skid steer loader. The handle, spacer and latch attach to the door; the striker bolt
attaches to the doorframe. The spacer fits under the handle and provides room for the
operator’s gloved hand. When the handle is locked with a key, the push button on the
handle cannot move. When the handle is unlocked, the button pushes the lever on the
latch. This releases the latch rotors from the striker bolt, thus enabling the door to open.
When the door is shut, the latch rotors close around the striker bolt, thus holding the
door closed. Each item would be imported, stocked in the U.S. and shipped to the
ultimate purchaser as needed.

The importer believed the applicable subheading for these items was 8431.49.9040,
HTSUS, as parts suitable for use solely or principally with the machinery of headings
8425 to 8430. However, CBP noted that Note 1(g) to Section XVI excludes parts of
general use of base metal and similar goods of plastics. Additionally, Note 2 to Section
XV defines the expression, “parts of general use” as articles of heading 8301, 8302,
8308 or 8310 and frames and mirrors, of base metal, of heading 8306. Since metal
locks and parts of locks are provided for in heading 8301, HTSUS, they are included in
the definition of “parts of general use,” and along with plastic locks and lock parts, are
precluded from classification in chapter 84.

CBP determined in NY L85570 that the latch possessed the essential character of a
lock and was classified in subheading 8301.40.6060, HTSUS, which provides for
padlocks and locks...of base metal...other locks, other, other. The striker was classified
in subheading 8301.60.0000, HTSUS, which provides for padlocks and locks...of base
metal...parts. The plastic lock handle was classified in subheading 3926.90.2500,
HTSUS, which provides for other articles of plastics and articles of other materials of

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Locks of Base Metal
January 2010

headings 3901 to 3914, other, handles and knobs, not elsewhere specified or included,
of plastics. The plastic lock spacer was classified in subheading 3926.90.9880,
HTSUS, which provides for other articles of plastics and articles of other materials of
headings 3901 to 3914, other, other, other.

Keys presented separately

8301.70.0000

This subheading includes keys, both cut and uncut, imported without locks. Keys imported
separately are generally uncut. Uncut keys are known as blanks. It is important to note
that upon importation all keys, including blanks, must be marked with the country of origin.
In NY F84142, dated March 30, 2000, CBP addressed the classification of a key that
functions as a combination vehicle ignition/door key and also a disabler for an engine
immobilizer. The key is imported blank and consists of a metal key with a plastic key
head. Inside the key head is a passive microchip, which disables an engine immobilizer.
The applicable subheading for this key was determined to be 8301.70.0000, HTSUS,
which provides for keys presented separately.

In HQ 734062, dated April 22, 1991, CBP addressed the country of origin marking
requirements for key blanks. The imported key blanks were imported in bulk and were
destined for residential and auto use. Once imported, they were redistributed to U.S.
locksmiths and hardware stores, who further processed them by using special cutting
machines that cut teeth into the blanks according to customer specifications. CBP
determined that a key blank has the appearance of an unfinished key and that grinding the
teeth does not alter the basic character of the key and does not determine its essential
character. Additionally, a store employee can perform the process of grinding the teeth
into a key easily and quickly. CBP determined that the ultimate purchaser of the key
blanks is the retail purchaser, therefore, each blank must be individually marked to reflect
its country of origin.

COMPOSITE GOODS

Many of the rulings discussed in this publication involve articles that are composite goods.
GRI 3(b) describes a composite good as an article that is made up of different components
or materials. The components may be attached to each other to form a practically
inseparable whole or they may be separate components, provided they are adapted to
each other, are mutually complementary, and form a whole that is not normally sold in
separate parts. The following CBP rulings give some insight into factors that must be
considered when classifying locks that are composite goods.

In HQ 089970, dated December 2, 1991, CBP addressed the classification of two steering
wheel locks. Both models consist of a 21.5 inch steel bar. One end of the bar fits around
the steering wheel of an automobile and is secured by a key lock. The length of the locked
bar prevents the steering wheel from turning. The electronic model of this lock also
includes a flashlight, a motion sensor and an alarm.

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Locks of Base Metal
January 2010

The basic model of the steering wheel lock was determined by CBP to be classified
according to GRI 1 in subheading 8301.20.00, HTSUS, which provides for locks of a kind
used on motor vehicles. The electronic model was determined to be a composite good
because it incorporated a lock and several electronic devices. As such, it was classified
according to GRI 3(b), which states that classification is determined by the component that
imparts the essential character of the good. EN to GRI 3(b) states that, “the factor which
determines essential character will vary between different kinds of goods. It may, for
example, be determined by the nature of the material or component, its bulk, quantity,
weight or value, or by the role of a constituent material in relation to the use of the goods."

Although the value of the electronic components was far greater than the value of the
locking mechanism, CBP determined that the most significant factor for determining
essential character in this instance was the role of each component in relation to the use of
the good. CBP reasoned that without the lock, the vehicle could be stolen. Regardless of
the alarm or flashing light, the steering wheel could be turned and the vehicle stolen
without the locking bar. Although the alarm and flashlight were a theft deterrent, this did
not outweigh the article’s function as a lock. As a result, CBP determined that the
essential character of the electronic steering wheel lock was imparted by the lock. As
such, it was classified in subheading 8301.20.00, HTSUS, which provides for locks of a
kind used on motor vehicles.

In NY F84142, dated March 30, 2000, CBP addressed the classification of an article,
which was a combination electronic radio wave transmitter control and metal key. The
transmitter portion arms/disarms a vehicle, locks/unlocks the doors, opens the windows,
and shuts off the headlights. The key portion opens and closes the doors, turns on the
ignition, and includes a microchip that disables the engine immobilizer.

CBP determined that this article could not be classified in accordance with GRI 1 since it
contained two components that if imported separately would be classified under different
tariff headings: the metal key in 8301.70.0000, HTSUS, which provides for keys presented
separately and the transmitter in 8526.92.0000, HTSUS, which provides for radio remote
control apparatus. Since no one subheading fully described the article, CBP referred to
GRI 3. GRI 3 (a) provides that a composite article is to be classified in the heading that
provides the most specific description. Since in this instance the description of the various
components were regarded as equally specific, the article could not be classified under
GRI 3 (a). Accordingly, CBP next considered the classification of the item under GRI 3 (b).

In considering the factors set forth in the EN to GRI 3(b), CBP concluded that the key
and the remote control transmitter both play equally important roles and are equally
essential to the item’s functional performance. Accordingly, CBP referred to GRI 3 (c),
which provides that when goods cannot be classified by reference to GRI 3 (a) or (b),
they are classified in the heading that occurs last in numerical order among those that
equally merit consideration in determining their classification.

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January 2010

Accordingly, by virtue of GRI 3 (c), the combination remote control radio frequency
transmitter and key was classified in the heading that occurred last in the tariff. The
applicable subheading for the composite good was determined to be 8526.92.0000,
HTSUS.

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Locks of Base Metal
January 2010

ADDITIONAL INFORMATION

The Internet

The home page of U.S. Customs and Border Protection on the Internet’s World Wide
Web, provides the trade community with current, relevant information regarding CBP
operations and items of special interest. The site posts information -- which includes
proposed regulations, news releases, publications and notices, etc. -- that can be
searched, read on-line, printed or downloaded to your personal computer. The web site
was established as a trade-friendly mechanism to assist the importing and exporting
community. The web site also links to the home pages of many other agencies whose
importing or exporting regulations that U.S. Customs and Border Protection helps to
enforce. The web site also contains a wealth of information of interest to a broader
public than the trade community. For instance, the “Know Before You Go” publication
and traveler awareness campaign is designed to help educate international travelers.

The web address of U.S. Customs and Border Protection is http://www.cbp.gov

Customs Regulations

The current edition of Customs and Border Protection Regulations of the United States
is a loose-leaf, subscription publication available from the Superintendent of
Documents, U.S. Government Printing Office, Washington, DC 20402; telephone (202)
512-1800. A bound edition of Title 19, Code of Federal Regulations is also available for
sale from the same address. All proposed and final regulations are published in the
Federal Register, which is published daily by the Office of the Federal Register, National
Archives and Records Administration, and distributed by the Superintendent of
Documents. Information about on-line access to the Federal Register may be obtained
by calling (202) 512-1530 between 7 a.m. and 5 p.m. Eastern time. These notices are
also published in the weekly Customs Bulletin described below.

Customs Bulletin

The Customs Bulletin and Decisions (“Customs Bulletin”) is a weekly publication that
contains decisions, rulings, regulatory proposals, notices and other information of
interest to the trade community. It also contains decisions issued by the U.S. Court of
International Trade, as well as customs-related decisions of the U.S. Court of Appeals
for the Federal Circuit. Each year, the Government Printing Office publishes bound
volumes of the Customs Bulletin. Subscriptions may be purchased from the
Superintendent of Documents at the address and phone number listed above.

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Locks of Base Metal
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Importing into the United States

This publication provides an overview of the importing process and contains general
information about import requirements. The current edition of Importing Into the United
States contains much new and revised material brought about pursuant to the Customs
Modernization Act (“Mod Act”). The Mod Act has fundamentally altered the relationship
between importers and U.S. Customs and Border Protection by shifting to the importer
the legal responsibility for declaring the value, classification, and rate of duty applicable
to entered merchandise.

The current edition contains a section entitled "Informed Compliance." A key component
of informed compliance is the shared responsibility between U.S. Customs and Border
Protection and the import community, wherein CBP communicates its requirements to
the importer, and the importer, in turn, uses reasonable care to assure that CBP is
provided accurate and timely data pertaining to his or her importation.

Single copies may be obtained from local offices of U.S. Customs and Border
Protection, or from the Office of Public Affairs, U.S. Customs and Border Protection,
1300 Pennsylvania Avenue NW, Washington, DC 20229. An on-line version is
available at the CBP web site. Importing into the United States is also available for
sale, in single copies or bulk orders, from the Superintendent of Documents by calling
(202) 512-1800, or by mail from the Superintendent of Documents, Government Printing
Office, P.O. Box 371954, Pittsburgh, PA 15250-7054.

Informed Compliance Publications

U.S. Customs and Border Protection has prepared a number of Informed Compliance
publications in the “What Every Member of the Trade Community Should Know
About:...” series. Check the Internet web site http://www.cbp.gov
for current
publications.

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Locks of Base Metal
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Value Publications

Customs Valuation under the Trade Agreements Act of 1979 is a 96-page book
containing a detailed narrative description of the customs valuation system, the customs
valuation title of the Trade Agreements Act (§402 of the Tariff Act of 1930, as amended
by the Trade Agreements Act of 1979 (19 U.S.C. §1401a)), the Statement of
Administrative Action which was sent to the U.S. Congress in conjunction with the TAA,
regulations (19 C.F.R. §§152.000-152.108) implementing the valuation system (a few
sections of the regulations have been amended subsequent to the publication of the
book) and questions and answers concerning the valuation system.

Customs Valuation Encyclopedia (with updates) is comprised of relevant statutory
provisions, CBP Regulations implementing the statute, portions of the Customs
Valuation Code, judicial precedent, and administrative rulings involving application of
valuation law. A copy may be purchased for a nominal charge from the Superintendent
of Documents, Government Printing Office, P.O. Box 371954, Pittsburgh, PA 15250-
7054. This publication is also available on the Internet web site of U.S. Customs and
Border Protection.

The information provided in this publication is for general information
purposes only. Recognizing that many complicated factors may be
involved in customs issues, an importer may wish to obtain a ruling under
CBP Regulations, 19 C.F.R. Part 177, or obtain advice from an expert
(such as a licensed Customs Broker, attorney or consultant) who
specializes in customs matters. Reliance solely on the general
information in this pamphlet may not be considered reasonable care.

Additional information may also be obtained from U.S. Customs and Border Protection
ports of entry. Please consult your telephone directory for an office near you. The
listing will be found under U.S. Government, Department of Homeland Security.

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Locks of Base Metal
January 2010

“Your Comments are Important”

The Small Business and Regulatory Enforcement Ombudsman and 10 regional
Fairness Boards were established to receive comments from small businesses about
Federal agency enforcement activities and rate each agency’s responsiveness to small
business. If you wish to comment on the enforcement actions of U.S. Customs and
Border Protection, call 1-888-REG-FAIR (1-888-734-3247).

REPORT SMUGGLING 1-800-BE-ALERT OR 1-800-NO-DROGA

Visit our Internet web site: http://www.cbp.gov

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