WORLD TRADE
ORGANIZATIONG/LIC/N/3/USA/3
9 November 2000
(00-4755)
Committee on Import Licensing Original:  English
REPLIES TO QUESTIONNAIRE ON IMPORT LICENSING PROCEDURES1
Notification under Article 7.3 of the Agreement on Import Licensing Procedures
UNITED STATES
The following notification, dated 6 November 2000, has been received from the Permanent
Mission of the United States.
_____________
                                                     
1 See G/LIC/3, Annex, for the Questionnaire.G/LIC/N/3/USA/3
Page 2
Table of Contents
Page
Department of Agriculture
1. Plants and plant products 3
2. Animals and animal products 4
3. Sugar 6
4. Certain dairy products 10
Department of Energy
5. Natural gas 13
Department of Interior
6. Fish and wildlife (including endangered species) 16
Department of Justice
7. Controlled substances 20
Department of the Treasury
Bureau of Alcohol, Tobacco and Firearms
8. Distilled spirits (beverages); wine and malt beverages 23
9. Distilled spirits for industrial use (including alcohol for fuel use) 25
10. Firearms and ammunition 26
11. Firearms, ammunition and implements of war 28
12. Explosives 29
13. Tobacco Products 31
Nuclear Regulatory Commission
14. Nuclear facilities and materials 33G/LIC/N/3/USA/3
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Department of Agriculture
1. Plants and plant products
Outline of system
1. Import permits are required for the importation of most plants and some plant products, to
protect against the introduction of pests and diseases.  Permits are also required for the import, export
or re-export of terrestrial plants that are on the endangered species list.  Permits are only issued to a
firm or individual resident in the United States.
Purposes and coverage of licensing
2. Permits are required for:
- plants and plant products for or capable of propagation;
- fruits and vegetables;
-g r a i n s ;
- certain cut flowers (roses, gardenia, lilac, camellia, rhododendron and azalea);
- cotton and cotton covers;
- sugar cane bagasse;- broom corn and straw;
- certain rice products;
- bags, bagging, brassware;
- logs, lumber, other manufactured wood products;
- soil and quarry products;- plants and plant products in transit through the United States.
3. The permit system applies to products coming from all countries with exceptions.4. The permit system is to protect against the entry of plant pests and diseases, and to protect
endangered plant species.
5. The permit system for most products covered is a statutory  requirement of Section 412 of the
Plant Protection Act, 7 U.S.C. 7712.  The Endangered Species Act, which implements provisions of
the Convention on International Trade in Endangered  Species (CITES) establishes a permit system for
certain plants on the endangered species list.
Procedures
6. Not applicable.
7. Permit applications are effected by one office, U.S. Department of Agriculture, Permit Section,
Unit 136, 4700 River Road, Riverdale, Maryland 20782-1236.  Most applications are not passed on to
other offices for visas, note or approval, and the importer does not have to approach more than one
administrative organ.  The exception to this are the permit applications for soil and for plants required
to be grown in post-entry quarantine.
8. There are no circumstances other than failure to meet standard criteria under which a permit may
be refused.  Reasons for refusal are given to the applicant.  No appeal procedures are specified in the
legislation.G/LIC/N/3/USA/3
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Eligibility of importers to apply for licence
9. All persons, firms and institutions resident in th e United States are eligible to apply for licences.
There is no registration fee.  There is no published list of authorized importers.  There is a US$70.00
fee for plants and plant products regulated by CITES.
Documentational and other requirements for application for licence
10. The information required in applications is set forth in the PPQ Form 587 (for plants and plant
products), 588 (application for prohibited material), and PPQ 621 for endangered plants.  Plants and
plant products in transit through the United States require a PPQ Form 586.  Applications to import
soil are contained in PPQ Form 525.
11. For all plants and some plant products, a phytosanitary certificate must accompany the shipment.
Endangered species have special documentation requirements.
12. There is no licensing fee or administrative charge for permits other than the US$70.00 fee per
permit for commercial trade in endangered plants.
13. No deposit or advance payment is required in connection with the issue of permits.Conditions of licensing
14. Permits are valid for specified periods of time, and they can be extended by re-application.  The
permit for endangered or threatened plants is valid for two years.
15. There is no penalty for non-utilization of a permit.16. Permits are not transferable between importers.17. There are no other conditions attached to the issu ance of a permit other than for plants requiring
post-entry growing.
Other procedural requirements
18. There are no other administrative procedures required prior to importation.19. Not applicable.
Department of Agriculture
2. Animals and animal products
Outline of  system
1. Import permits are required for the importation of certain animals and animal products,
organisms and vectors, and veterinary biological products, to protect U.S. livestock and poultry
against the introduction of diseases that do not exist in the United States.
Purposes and coverage of licensing
2. Permits are required for:G/LIC/N/3/USA/3
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- domestic farm livestock and other species that may carry diseases that could affect
U.S. livestock and poultry;
- certain animal (livestock) derived products for any reason, commercial or research
uses;
- poultry and hatching eggs and other avian species;- animal and avian specimens, tissues or blood products;
- materials that have been exposed to animal products capable of contamination with
disease agents;
- samples of dairy products, hay, straw, grasses etc. for scientific uses from countries
considered to be affected with diseases such as foot-and-mouth disease (FMD);
- germplasm - semen and embryos (livestock);
- organisms that affect livestock and avian species and various vectors of such
organisms;  and
- veterinary biological products including seeds and substrates.
3. The permit system applies to animals coming from all countries (except for Canada and
Mexico) with some variation resulting from the species and country of origin's disease status.  Permitsfor products apply to all countries depending on disease status and type of product.
4. The permit system is not used to restrict the quantity or value of imports, but only to protect
domestic agriculture from the introduction or entry of animal diseases or disease vectors.
5. The permit system is not a statutory requirement except for veterinary biological products
permits.  The pertinent regulations are contained in Title 9 C.F.R., Parts 92, 94.7, 94.16, 95.4, 95.18,
95.19, 95.20 through 98, 104 and 122;  and in the following laws as codified:  21 U.S.C-102 to 105,
111, 134, 135, 151-159 and 19 U.S.C-1306.
Procedures
6. Not applicable.
7. (a) The amount of time in advance of importation within which a permit must be applied for is
not specified in the regulations.
(b) A permit cannot be granted immediately upon request.  Prior review of the application is
required.
(c) There are no limitations as to the period of the year during which permit applications may be
made.
(d) Permit applications are effected by one office.  The application is not passed on to other offices
for visa, note or approval, and the importer does not have to approach more than one administrative
office.
8. In general, there are no circumstances other than failure to meet ordinary criteria under which a
permit may be refused.  In the case of live animals or animal products, poultry, or birds, a permit for a
particular time period could be refused if space at a Quarantine Station is not available.  An outbreak
of a particular disease in the exporting country could be a cause to revoke a permit which was issued
prior to the disease outbreak;  for example, African Horse Sickness in Spain, Hog Cholera in Europeand Bovine Spongiform Encephalopathy (BSE) in Europe.  Reasons for refusal are given to the
applicant.  No appeal procedures are specified in the legislation or regulations.G/LIC/N/3/USA/3
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Eligibility of importers to apply for licence
9. All persons, firms and institutions in the United States are eligible to apply for permits.  There is
no published list of authorized importers.
Documentational and other requirements for application for licence
10. The information required in applications is set forth in VS forms 16-3 and 16-7, 17-129, 17-128
and APHIS form 2005.
11. In the case of live animals and birds, the original and copies of the import permits must
accompany the shipment as well as a health certificate issued by the national veterinary services of thecountry of origin.  Copies of the import permit s hould also accompany animal products and organism
and vector shipments, and shipments of veterinary biological products.
12. There are import-related user fees associated with permit application review, inspections
required for imports, testing and quarantines.  Facilities manufacturing veterinary biologicals forimportation are inspected under cooperative service agreements.
13. Reservation fees for quarantine space are required for live animals and birds.  The amount of the
fee varies according to the animal and the bird.
Conditions of licensing
14. Permits for animal products and organisms and vectors vary in length of their validity, but are
generally for about one year.  Permits for live animals and birds are valid for seven to 60 days,
depending on the species.  Permits for veterinary biological products for importation for distributionand sale do not have expiration dates.
15. There is no penalty for non-utilization of a permit.  Application user fees and quarantine
reservation fees are not refundable.
16. Permits are not transferable between importers.
17. There are no conditions attached to the issuance of a permit.  The applicant must comply with
the terms of the permit.  The importer certifies that the information on the application is accurate.
Other procedural requirements
18. There are no other administrative procedures required prior to importation.19. Not applicable.
Department of Agriculture
3. Sugar
Outline of system
1. Additional U.S. note 5 to Chapter 17 of the Harmonized Tariff Schedule of the United States
(HTS) established by Presidential Proclamation 6763 of December 1994 authorizes the Secretary of
Agriculture to establish for each fiscal year the quantity of sugars and syrups that may be entered at
the lower tariff rates of tariff-rate quotas.  The tariff-rate quotas cover sugars and syrups described inG/LIC/N/3/USA/3
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HTS subheadings 1701.11, 1701.12, 1701.91, 1701.99, 1702.90 and 2106.90.  This authority was
proclaimed to implement the results of the Ur uguay Round of multilateral trade negotiations as
reflected in the provisions of Schedule XX (Uni ted States), annexed to the Agreement Establishing
the World Trade Organization.
Under the raw cane sugar tariff-rate quota (TRQ) administration, the Secretary of Agriculture
establishes the TRQ quantity that can be entered at the lower tier of import duty rates, and the United
States Trade Representative (USTR) allocates this quantity among the 40 eligible sugar-exporting
countries.  The quantities allocated to beneficiary countries under the Generalized System of
Preferences (GSP), the Caribbean Basin Initiative (CBI), and Andean Trade Initiative receive
duty-free treatment.  Certificates of Quota Eligibil ity (CQE) are issued to the exporting countries and
must be executed and returned with the shipment of  sugar in order to receive in-quota tariff treatment.
Regulations governing the Certificate of Quota Eligibility program are published in Title 15, Part
2011 of the Code of Federal Regulations.
Purposes and coverage of licensing
2. The products covered by the CQE are sugars, syrups and molasses described in HTS 1701.11.10.
Speciality sugar certificates are issued for those sugars defined in 15 CFR 2011 with a polarity greater
than 99.5 degrees in HTS 1701.12.10, 1701.91.10, 1701.99.10, 1702.90.10 and 2106.90.44.  Licences
are also issued to refiners allowing them to import raw sugars to be further processed under HTS
1701.11.20 which are:  (1) re-exported in refined form, (2) re-exported in refined form insugar-containing products, or (3) used for the production, other than by distillation, of polyhydric
alcohol except that used as a substitute for sugar in human food.
3. The CQE system applies to those countries from which sugar is imported under the TRQ.
Certificates for imports of speciality sugars apply to imports from all countries.  Licences to importsugar for refining and re-export (Refined Sugar Re-export Program) or for the production of
polyhydric alcohol apply to imports from all countries.
4. The purpose of the CQE is to provide exporters access to the U.S. domestic market at the
low-tier tariff.  The purpose of the certificate for sp eciality sugar is to allow entry of certain refined
sugars not widely available in the United States, which are used in niche markets, such as the ethnic,
organic and gourmet markets.  Licences for quota-exempt sugar are intended to increase theutilization of excess domestic refining capacity and improve employment in refining and related
industries.
5. The CQE’s are issued under 15 CFR 2011, Sub-part A.  Certificates for speciality sugar are
issued pursuant to 15 CFR 2011, Sub-part B.  The regulations governing licences for the importationof sugar exempt from quota are under 7 CFR 1530.  Authority exists to suspend each of these systems
whenever it is determined that such action is appropriate.  Notice of such suspension shall be
published in the Federal Register.
Procedures
6. I. The United States Trade Representative and the United States Department of
Agriculture use the Federal Register, press releases, official reports, and government
Internet web sites to provide information about the allocation of TRQ quantities, the
issuance of CQE’s, and the formalities for filing import licence applications.
II. The sugar TRQ for raw and refined sugar (including speciality sugar) is determined
annually by the Secretary of Agriculture and announced before the fiscal year for
which the TRQ will be in effect.  CQE’s are issued by the Secretary of Agriculture toG/LIC/N/3/USA/3
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countries to coincide with the applicable TRQ year.  Certificates for importing
speciality sugars are likewise issued to importers to coincide with the TRQ year.
Licences issued to allow quota-exempt sugar to be imported, refined and re-exported
or used in producing polyhydric alcohol are not subject to the TRQ year limitations.
III. Governments of countries participating in the CQE system in turn execute and issue
these certificates to a shipper or consignee of a cargo of sugar destined for the United
States.  Sugar is allowed entry into the United States at the low-tier tariff rate only if a
valid and properly executed CQE is presented at time of entry to the appropriate
customs official.
The United States Department of Agriculture, Foreign Agricultural Service issues
certificates for importing speciality sugar to importers, who make application each
year and provide sufficient evidence that the sugar they intend to import fits the
definition of speciality sugar.  The certificate is presented to the appropriate customs
official at the time of entry.
The Department of Agriculture issues licences to U.S. sugar refiners to import
quota-exempt sugar.  A summary of transactions form (balance sheet showing
charges and credits under the licence) must be presented to the appropriate customs
official at the time of entry along with a licence.
IV-VI. Not applicable.
VII. The United States Department of Agriculture administers the licensing and certificate
systems.
VIII. The certifying authority designated by the participating country issues CQE’s to the
shipper or consignee of sugar.  The maxi mum quantity of sugar to be shipped with
each certificate shall not exceed 10,000 short tonnes.  Speciality sugar certificates are
issued to importers who satisfy the requirements of 15 CFR 2011, Sub-part  B.  The
certificate may cover more than one type of refined speciality sugar.  Issuance of a
certificate does not guarantee entry at the low-tier rate if the speciality sugar TRQ is
already filled.  However, an unlimited number of shipments may enter until the TRQis fully subscribed.
IX-X. Not applicable.XI Under the provisions of the Refined Sugar Re-Export Program licensed refiners may
enter raw sugar unrestricted by the quantitative limit established for the raw sugar
TRQ or the requirements of CQE’s, as long as they export an equivalent quantity of
refined sugar or transfer the sugar to a manufacturer licensed to use the sugar in
products for export.
7. Not applicable.
8. There are no provisions for refusing to issue CQE’s, certificates for importing speciality sugars,
or licences for importing quota-exempt sugar other than failure to meet the ordinary criteria.G/LIC/N/3/USA/3
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Eligibility of importers to apply for licence
9. All importers are eligible to apply for certificates for speciality sugars.  Only United States
refiners and United States manufacturers of polyhydric alcohol can apply for licences to import
quota-exempt sugar.  There is no published list of authorized importers.
Documentational and other requirements for application for licence
10. Each CQE must be numbered and identified by the foreign country and must provide the
following information:  (1) quantity eligible to be en tered;  (2) name of shipper;  (3) name of vessel;
and  (4) port of loading.  The following informat ion may also be included (if known):  the name and
address of consignee; expected date of departure; expected date of arrival in the United States;  andexpected port(s) of arrival in the United States.
Applications for certificates to import speciality sugar(s) must be in writing and must provide the
following information:  (1) name and address of ap plicant; (2) anticipated quantity of imports;  (3) the
appropriate six-digit HTS number;  (4) a description of the speciality sugar(s) expected to be importedduring the period of the certificate, including the manufacturers' or exporters' usual trade name or
designation and use of such speciality sugar;  (5) sufficient evidence that it is a speciality sugar(s); (6)
anticipated consumers (if known) at time of application;  and (7) anticipated date of entry (if known).
Persons wishing to apply for licences to import sugar for re-export must submit the following in
writing to the Licensing Authority: (1) the name and address of the applicant; (2) the address at which
the applicant will maintain the required records; and (3) the address(es) of the applicant’s processing
plant(s).  In the case of refined sugar re-exports, the applicant must provide the polarity of the product
including the formula for calculating the refined sugar in the product.  All applicants must enter into a
documentation agreement with the Licensing Authority.
11. TRQ sugar entered from countries that participate in the certificate system must be accompanied
by a CQE which has been signed by the certifying authority in the country of origin and affixed with a
seal or form of authentication.
A certificate issued from the Department of Agriculture authorizing the importation of speciality
sugar(s) must be presented to the appropriate customs official at the time of entry.
Licences issued by the Department of Agriculture  for entry of sugar exempt from quota for re-
export in refined form or for the production of polyhydric alcohol must be presented to the
appropriate customs official at the time of entry.
12. No.
13. A licensee operating under the Refined Sugar Re-export Program may establish a bond or a letter
of credit in favour of the U.S. Department of Agriculture to charge program sugar in anticipation of
the export or transfer of refined sugar, the export of sugar in sugar containing products, or theproduction of certain polyhydric alcohols.  The bond or letter of credit may cover entries made either
during the period of time specified in the bond (a term bond) or for a specified entry (a single entry
bond).  The amount of the bond or letter of credit shall be equal to 20 cents per pound of sugar to be
entered under the licence.  If a licensee fails to qualify for credit to a licence within the specified time
period of the date of export or use of corresponding sugar in an amount sufficient to offset the chargeto the licence for that corresponding sugar, payment shall be made to the U.S. Treasury.  The payment
shall be equal to the difference between the Number 11 contract price and the Number 14 contract
price (New York Coffee, Sugar and Cocoa Exchange) in effect on the last market day before the date
of entry of the sugar or the last market day before the end of the period during which export or useG/LIC/N/3/USA/3
Page 10
was required, whichever difference is greater.   The difference shall be multiplied by the quantity of
refined sugar, converted to raw value, that should have been exported in compliance with this part.
A bond or letter of credit is not necessary if export credits exceed the import charge.
Conditions of licensing
14. The CQE’s are valid only for the quota period for which they are issued.  A certificate for
speciality sugar is valid only for the TRQ year in which it is used.  Under the Refined Sugar
Re-export Program, the licences may be revoked upon written notice to the licence holders by the
Licensing Authority.
15. There is no penalty for non-utilization.
16. Licences issued under the Refined Sugar Re-export Program and Specialty Sugar Import
Certificates are not transferable between importers.
17. There are no other conditions attached to issuing certificates.
Other procedural requirements
18. No other procedures are required.19. Not applicable.
Department of Agriculture
4. Certain dairy products
Outline of system
1. Presidential Proclamation 6763 of 23 December 1994 modified the Harmonized Tariff Schedule
of the United States (HTS) in various ways that affected the import system for certain dairy products.
The Proclamation terminated quantitative restrictions that had been imposed pursuant to section 22 ofthe Agricultural Adjustment Act of 1933, as amended (U.S.C. 624);  proclaimed tariff-rate quotas
(TRQs) for such articles pursuant to P.L. 103-465;  and specified which imports of dairy articles may
require import licences issued in accordance with the terms and conditions in regulations issued by the
Secretary of Agriculture.
Purposes and coverage of licensing
2. The licensing system covers the following dairy commodities as defined in the Additional U.S.
notes to Chapter 4 of the HTS:  butter and fresh or sour cream containing over 45 per cent by weight
of butterfat (note 6);  dried skim milk (note 7);  dried whole milk (note 8);  dried buttermilk and whey(note 12);  butter substitutes (note 14);  other ch eese, NSPF (note 16);  blue-mold cheese (note 17);
Cheddar cheese (note 18);  American cheese other than Cheddar (note 19);  Edam and Gouda cheese
(note 20);  Italian-type cheese (note 21);  Gruyere-process cheese (note 22);  low-fat cheese (note 23);
and Swiss/Emmenthaler cheese (note 25).
3. The licensing system applies to dairy products coming from all supplying countries.
4. The licensing system is an administrative tool which governs the importation of certain dairy
products which are subject to TRQs resulting from entry into force of the Uruguay Round Agreement.G/LIC/N/3/USA/3
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Under the TRQ system, the in-quota quantity of imports enters at the low-tier tariff rate, and the over-
quota quantity enters at the high-tier tariff rate.  Dairy articles subject to licensing cannot enter at the
in-quota rate unless such imports are accompanied by a licence.  An article may be entered only in the
name of the licensee, or the licensee's agent acting in the licensee's name under the power of attorney,
and the quantity entered must be owned by the licensee on the date of entry, and must be chargedagainst the licence in effect.  The licensing system was originally implemented as a requirement of
Presidential Proclamation 3019 for the purpose of providing for an equitable distribution of trade in
dairy products covered by Section 22 quotas among importers, users, and supplying countries.  Under
a TRQ system, licensing serves the same trade-stabilizing and equity purposes.
5. The licensing system is not a statutory requirement.  The authority to make such allocations was
delegated to the Secretary of Agriculture by Presidential Proclamation 3019 of 8 June 1953.
Procedures
6. I. The procedures for submitting licence applications, eligibility criteria, licence use
requirements and other provisions of the regulation are codified in 7 CFR 6.20-6.36.The application forms, which are readily available from the Department, provide
complete information on the TRQs and allocations by supplying country.  Limitations
on the size of individual licences are in the regulation.  An Advanced Notice of
Proposed Rule making was published in the Federal Register on 2 June 1994 seeking
comments on methods for allocating Uruguay Round TRQs through the year 2000,and comments on updating or improving the existing regulation.  On 6 January 1995
and 2 May 1995, notices were published in the Federal Register amending the Import
Regulation to implement those U.S. Uruguay Round commitments for 1995.  The
Department published the final rule on dairy tariff-rate quota licensing in the Federal
Register on 9 October 1996.
II. Under the Uruguay Round Agreement, the in-quota TRQ quantities will be increased
annually from 1995 to 2000 as a result of the Uruguay Round market access
negotiations and the implementation schedule is included in GATT Schedule XX -
United States of America.  Licence applications must be submitted annually during
the application period specified in the Import Regulation.  Licences are issued on 1
January of each year and are valid for 12 months.  For those countries which did notbegin to implement their Uruguay Round commitments until 1 July 1995, the United
States did not issue licences for the 1995 Uruguay Round increments until 1 July.
III. Licences are allocated to importers of dairy products regardless of whether they are
producers of like products.  Unused allocations may not be added to the allocation ofthe succeeding year.  The Import Regulation requires that licensees must utilize a
specified percentage of licences issued and must voluntarily surrender unused
amounts which are then reallocated to other eligible licensees through an application
process.  A list of names of licenced importers is mailed to all licensees each year.
The list is available upon request.
IV. When a new quota for a dairy product is announced, the applicants have at least
30 days after the announcement of application procedures to submit applications and
supporting documentation.
V. Applications are processed as quickly as possible after they are received to determine
if the eligibility criteria in the Import Regulations are met.  In general, over 300
applications are reviewed and the application process is completed within five weeks.G/LIC/N/3/USA/3
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VI. Licences are issued for use beginning 1 January and generally issued in the last two
weeks of December.
VII. Only the Import Licensing Group, Foreign Agricultural Service, United States
Department of Agriculture, considers licence applications on dairy products.
VIII. If demand for licences exceeds licence availability, licences are issued to:
- historical licensees each year for the same volume of imports from the same
supplying countries provided applications are submitted, and the eligibility
criteria, licence use provisions, and other requirements of the Import
Regulation are met;
- designated licences are issued annually for certain cheese articles to eligible
applicants who are designated by the government of the country of origin as
preferred importers.  Any quantities available for designation which are not
designated will be transferred to the non-historical (lottery) licence pool;
- non-historical (lottery) licences are issued annually through a random lottery
system.  Licences received for a specific cheese or non-cheese dairy product
are not renewable in the following year.  Eligible applicants may apply
annually for a licence.
IX. Export permits from foreign countries are not required.X. Same as above.
XI. Pursuant to General Note 15 of the HTS, in-quota quantities of TRQ imports may be
imported which will not enter the commerce of the United States which are imported
as samples for taking orders, for exhibition, display or sampling at a trade fair, for
research, for use by embassies of foreign governments or for testing of equipment,
provided that written approval of the Se cretary of Agriculture or his designated
representative is presented at the time of entry.  The Licensing Authority issues
ex-quota permits for these entries after careful review of applications and
documentation as requested.
7. At the over-TRQ rates, no dairy import licences are required and there are no limitations
regarding quantity.
8. The circumstances under which an application for a licence may be refused other than failure to
meet the ordinary criteria is failure to complete the application form and submit the full
documentation requested within the application deadline period.  Reasons for refusal to accept an
application may be given to applicants upon request.  There are no rights of appeal.
Eligibility of importers to apply for licence
9. Importers or manufacturers of dairy products are eligible to apply for import licences if they
meet the performance criteria set forth in the Import Regulation with respect to the quantity of imports
entered in a previous 12-month period (1 September-31 August), and for manufacturers the specifiedlevel of dairy production in a previous 12-month pe riod.  In addition, manufacturers must be listed in
USDA's "Dairy Plants Surveyed".  For the 1995 quota year, exporters of dairy products were eligible
to apply for non-historical (lottery) licences for non-cheese dairy products provided that
documentation was provided that exports of dairy products exceeded specified quantities in a previousG/LIC/N/3/USA/3
Page 13
12-month period.  The required documentation providing proof of importation must be submitted with
application forms.  Historical licence eligibility is established primarily on the basis of proof of
importation of the item, for which application for licence is made, during a specified representative
period.
Documentational and other requirements for application for licence
10. The information required in applications is set forth in the Dairy Tariff-Rate Quota Import
Licensing Regulation.  FAS forms  923, 923A and 923B and required to be submitted including
copies of entry and/or export summaries or in the case of manufacturers on being listed in the Dairy
Plants Approved Bulletin.
11. At the time of the actual importation, a licence number and control number, which corresponds
to the importer’s IRS number, a through bill of lading and an invoice must be presented to the Port
Director of Customs at the port where entry is made.
12-13. As of 1 January 1986, a fee has been charged for or associated with the issuance of licences.
For 1999, a fee of US$158.00 is being charged.
14. Licences are valid from 1 January through 31 December.  Licence validity cannot be extended
into the next quota year.
15. Licensees who anticipate not meeting the 85 per cent utilization requirement may voluntarily
surrender unused amounts by 1 October or  that li cence will be cancelled the following year.  For
historical licences, less than 85 percent utilization will result in permanent loss of that licence, the
resulting TRQ quantity being moved to the lottery pool. Licence quantities which are surrendered are
reissued to other licensees who apply for unused  licence shares following an announcement by the
Licensing Authority.  Such licences are issued through a random lottery process.  Historical licence
TRQ quantities can also be reduced if the licensee surrenders his import licence for three consecutive
years.  Revocation of any licence may be appealed within 30 days of the notification of revocation.
16. Licences are not transferable between importers.17.  No other conditions are attached to the issuance of a licence.Other procedural requirements
18. All food imports are subject to the requirements of the Food, Drug and Cosmetic Act and the
Fair Packaging and Labelling Act, including sanitation and labelling requirements, and milk productsare subject as well to the Federal Import Milk Act.  These requirements are administered by the Food
and Drug Administration (FDA).  The importation of certain dairy products is regulated by both FDA
and the Animal and Plant Health Inspection Service (APHIS).  Importers should contact FDA in
regard to FDA requirements and APHIS in regard to APHIS requirements.
19. Not applicable.
Department of EnergyG/LIC/N/3/USA/3
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5. Natural gas
Outline of system
1. Imports of natural gas, whether by pipeline or as liquefied natural gas (LNG), are regulated
under Section 3 of the Natural Gas Act (NGA) (15 U.S.C. 717b), which provides that "no person
shall ... import any natural gas from a foreign country without first having secured an order ...
authorizing it to do so".  Section 3 also provides  that such orders shall be issued unless, after
opportunity for hearing, it is found that the proposed importation will not be consistent with the public
interest.  Authority over imports of natural gas rests with the Secretary of Energy.  The Secretary has
delegated the authority to "authorize" the import to the Assistant Secretary of Fossil Energy (FE)
(Delegation Orders Nos. 0204-111 (49 FR 6690, 22 February 1984) and 0204-127 (54 FR 11436, 20March 1989)).
In addition, the Secretary has delegated authority to the Federal Energy Regulatory
Commission (FERC) to regulate the imported natural gas within the domestic gas system (Delegation
Order No. 0204-112 (49 FR 6690, 22 February 1984)).  FERC responsibility includes the functions of
approval or disapproval of the cons truction and operation of particular facilities, the site at which such
facilities shall be located, and, with respect to natural gas that involves the construction of new
domestic facilities, the place of entry.
On 24 October 1992, the Energy Policy Act of 1992 (EPACT) was enacted.  Section 201 of
EPACT amends Section 3 of the NGA by eliminating the Department of Energy's (DOE) need to
make a public interest finding for natural gas imports from "a nation with which there is in effect a
free trade agreement requiring national treatment for trade in natural gas", and for imports of liquefied
natural gas (LNG).  Therefore, natural gas (and LNG) imports between the United States and other
countries with which the United States has a free trade agreement are "deemed to be consistent withthe public interest, and applications for such importation shall be granted without modification or
delay".
Currently, virtually all natural gas import applications filed with DOE are reviewed under
EPACT standards.  DOE is not required to evaluate  these applications to determine whether they are
"in the public interest".  Because DOE's discreti onary authority has been eliminated by EPACT in
these cases, there is no longer a need to initiate public proceedings or to solicit public comments.Rather, after these import applications are reviewed for completeness and legal sufficiency, DOE
prepares and issues authorizations as requested.  Orders granting authorizations are required in these
cases, but applications take less time to process than cases which do not fall under EPACT.
Purposes and coverage of licensing
2. The products covered are natural gas and liquefied natural gas (LNG).3. The system applies to goods originating from any country, but predominately Canada, Mexico,
Trinidad & Tobago, and Algeria.
4. The licensing is not intended to restrict the quantity or value of natural gas imports.5. See response to Question 1.
Procedures
6. Not applicable.G/LIC/N/3/USA/3
Page 15
7.(a) DOE regulations (10 C.F.R. Part 590) specify that an applicant for a natural gas import
authorization should apply 90 days prior to the anticipated date for start-up of the import.  However,
the issuance of an import authorization normally takes less than two weeks if reviewed under EPACT
standards.
(b) An authorization to import natural gas can be granted as soon as an applicant has filed a legally
sufficient application, and as soon as that application is reviewed and processed.
(c) There are no limitations as to the period of the year during which an application for authorization
to import natural gas may be made.
(d) Licensing applications are considered by a single administrative organ, the Office of Fossil
Energy, U.S. Department of Energy, the Fore stal Building, 1,000 Independence Avenue, S.W.,
Washington D.C. 20585.
8. There are no circumstances under which an import authorization can be refused, as long as an
applicant has submitted a legally sufficient application.  Information which must be contained in theapplication is specified in 10 C.F.R. 590.
Eligibility of importers to apply for licence
9. All persons, firms and institutions are eligible to apply for authorization to import natural gas.
Traditionally, entities applying for such authorizations have been natural gas pipeline companies,
natural gas producers, natural gas marketers and utility companies.
Documentational and other requirements for application for licence
10. Import authorization proceedings are initiated by the filing of an application.  The application is
not a standard form but rather an individual do cument incorporating basic information about the
proposed import arrangement, and exhibits required by the rules covering such applications set forth
in DOE regulation (10 C.F.R. Part 590).  EPACT has necessitated creation of a bifurcated process in
the manner in which DOE reviews applications to im port natural gas.  Applications which involve gas
imports with nations with which the United States has a free trade agreement must be granted by DOE
"without modification or delay".  As a result, DOE's  action of issuing such import authorizations is
ministerial in nature.
However, for applications involving gas imports with nations with which the United States does
not have a free trade agreement requiring national treatment for trade in natural gas, DOE must
determine whether the import proposal is "in the public interest".  Those applications are subject to
the administrative procedures specified in 10 C.F.R. Part 590.
Import applications not affected by EPACT - Natural gas import applications not affected by EPACT,
that is, those cases which involve imports from a nation with which the United States does not have a
free trade agreement requiring national treatment for trade in natural gas, are subject to procedural
requirements found in 10 C.F.R. Part 590.  After receipt of an application, DOE provides public
notice of the filing in the Federal Register and solicits comments on the proposed import.  Depending
upon the response to the notice and intervention by interested parties, DOE may act on the application
immediately, or may institute further proceedings.  An opportunity to request these additional
proceedings must be provided to the parties before an application can be denied.
DOE's review of these import applications is guided by Delegation Order No. 0204-111 and
certain natural gas import policy guidelines issued in February 1984 by the Secretary of Energy.  theG/LIC/N/3/USA/3
Page 16
Delegation Order specifies that the regulation of imports shall be based on matters appropriate to each
particular case, including:
(1) the competitiveness of the import;
(2) the need for the gas;  and(3) security of the supply.
With respect to the competitiveness of a propos ed import, the applicant must demonstrate that
the provisions of the arrangement are flexible enough to ensure continued competitiveness over the
duration of the import, including flexibility to meet changing market conditions.  If the import
arrangement is considered competitive, a presumption is made that there is a need for  this supply in
the proposed market area.  With regard to security  of the supply, the policy guidelines provide that
reference will be made to the historical reliability of the supplier as a source of natural gas for the
United States.
11. There is no application form.  The application takes the form of a written petition which must
contain the information specified in the regulation (10 C.F.R. Part 590).
12. A filing fee of US$50.00 is charged for each application.13. There is no deposit or advance payment requirement associated with the issuance of an order to
import natural gas.
Conditions of licensing
14. The duration of a natural gas import authorization usually is specified in the Opinion and Order
issued by DOE, and depends upon the particular circumstances of the import arrangement.  An importauthorization can be extended upon application to DOE.
15. There is no penalty for non-utilization of an order to import natural gas.16. Authorizations to import natural gas are not transferable between importers.17. No.Other procedural requirements
18. Each import authorization order requires natural gas importers to report sales information
quarterly to DOE.  Information reported includes volume, price, names of sellers and buyers, andother details of the import transactions.
19. Not applicable.
Department of Interior
6. Fish and wildlife (including endangered species)
Outline of system
1. On 25 August 1980, the Service published final rules revising 50 CFR Part 14 (Importation,
Exportation, and Transportation of Wildlife) to impl ement provisions of a number of wildlife laws
enforced by the Service.  As part of that rulemaking and under authority of the Endangered Species
Act of 1973 (ESA), an import/export licence requir ement was imposed on any person who engages inG/LIC/N/3/USA/3
Page 17
business as an importer or exporter of fish or wildlife unless that person imports or exports certain
excepted wildlife or falls within one of the categories of persons excepted from the requirement by the
rules.  The licensing provision was promulgated under section 9(d) of the ESA [16 U.S.C. 1538(d)]
which provides that it is illegal for any person to en gage in business as an importer or exporter of fish
or wildlife (other than certain shellfish or fishery products) without first having obtained permissionfrom the Secretary of the Interior.
The licence requirement is found at 50 CFR 14.91-93.  Licensees must:
(1) pay US$50 per year;
(2) pay an inspection fee of US$25 for each shipment, prior to the inspection;
(3) importers or exporters of wildlife will pay fees for actual costs of inspections
conducted at special times or locations at the shipper's request;
(4) keep certain records and retain them for five years;
(5) allow Service inspection of records and inventories of imported wildlife;  and
(6) file any reports requested by the Service..
Exceptions to the licence requirement are found at 50 CFR 14.92.  Certain persons excepted
from the licence requirement by 50 CFR 14.92(b) must still comply with the requirements of section
9(d) of the ESA, which are to:
(1) keep records which fully and correctly disclose each importation or exportation of
wildlife by them;
(2) keep records which fully and correctly disclose the subsequent disposition by them of
the imported or exported wildlife;  and
(3) allow Service inspection of records and inventories of imported wildlife.
Purposes and coverage of licensing
2. The licensing system covers all "wildlife" which by regulation means the same as "fish or
wildlife", which is defined by 50 CFR 10.12 as follows:
The term "fish or wildlife" means any wild animal, whether alive or dead, including without
limitation any wild mammal, bird, reptile, amphibian, fish, mollusc, crustacean, arthropod,coelenterate, or other invertebrate, whether or not bred, hatched, or born in captivity, and
including any part, product, egg, or offspring thereof.
3. The licensing system applies to any person who "engages in business as an importer or exporter
of wildlife".  That phrase means for a person to devote time, attention, labour or effort to any activityfor gain or profit that involves the importation or exportation of wildlife whether or not such person is
an importer or exporter within the meaning of the customs laws of the United States.
Persons excepted from the licence requirement by 50 CFR 14.92(b) include:
(1) common carriers, when engaged as a transporter not as an importer or exporter;
(2) customs house brokers;
(3) public museums, or other public, scientific or educational institutions, importing or
exporting wildlife for research or educational purposes and not for resale;
(4) Federal, State, or municipal agencies; and(5) circuses importing or exporting wildlife for exhibition purposes only and not for
purchase, sale, or transfer of such wildlife.G/LIC/N/3/USA/3
Page 18
4. The licensing system is not intended to restrict the quantity or value of imports.  The purposes of
the licence requirement are to:  identify large commercial importers and exporters of wildlife, require
records which fully and correctly disclose each importation or exportation of wildlife and the
subsequent disposition of the wildlife by the importer or exporter, allow the Service to inspect records
required to be kept and inventories of imported wi ldlife, remove repeat wildlife law violators from
commercial wildlife trade, improve communications between the Service and commercial wildlife
importers and exporters, and assist the Service in its effort to conserve endangered and threatened
species and identify species which may be threatened or endangered.
5. Section 9(d) of the Endangered Species Act of  1973 [16 U.S.C. 1538(d)] makes it unlawful "for
any person to engage in business as an importer or exporter of fish or wildlife...without first having
obtained permission from the Secretary [of the Interior]".  By regulation the term "permission" wastreated as a grant of authority to require a licence, but the licence is not statutorily required.
Exceptions to the licence requirement can be created by regulation.  Further, the coverage of the
licence can be broadened or narrowed by changing the definition of either "fish or wildlife" or the
phrase "engage in business as an importer or exporter of fish or wildlife".
Procedures
6. Not applicable.
7.(a) No time-limit is set for receiving an applicat ion in advance of importation, however the Service
has 60 days to process a licence application which must be issued prior to an importation or
exportation.  Title 50 CFR 14.91(a) states it is unlawful, for any person to engage in business as an
importer or exporter of wildlife without first having obtained a valid import/export licence from the
Director (of the Service).  It is required that applications for licence renewals be received by the
issuing office at least 30 days before the current licence expires.
(b) Yes.(c) No.(d) Applications are submitted to and processed by Service law enforcement regional offices.  The
Assistant Regional Director - Law Enforcement of each office has been delegated authority to issuelicences.
8. Applications must meet the provisions of  50 CFR 13.11 and 13.12.  Under 50 CFR 13.21(b) a
licence may be refused if:
(1) the applicant has been assessed a civil penalty, has been convicted of any civil or
criminal provision of any statute or regulation relating to the activity for which the
application is filed, if such assessment or conviction evidences a lack of
responsibility;
(2) the applicant has failed to disclose material information required, or has made false
statements as to any material fact, in connection with his application;
(3) the applicant has failed to demonstrate a valid justification for the permit and a
showing of responsibility;
(4) the authorization requested potentially threatens a wildlife or plant population;  or
(5) the Director finds through further inquiry or investigation, or otherwise, that the
applicant is not qualified.
An applicant must be notified in writing if the application is denied and given reasons for the
denial.  If authorized in the notice of denial, the applicant may submit further information, or reasonsG/LIC/N/3/USA/3
Page 19
why the licence should be granted. The final action by the Director is considered the final
administrative decision of the Department of the Interior.
Eligibility of importers to apply for licence
9. All persons, firms, and institutions are eligible to apply for a licence.Documentational and other requirements for application for licence
10. The following information is required:
(1) applicant's name, mailing address, and phone number;
(2) where the applicant is an individual, his date of birth, height, weight, colour of hair,
colour of eyes, and sex;  and business or institutional affiliation, if any, having to do
with the wildlife to be covered by the licence;
(3) where the applicant is a corporation, firm, partnership, institution, or agency, either
private or public, the name and address of the President, all partners and principalofficers, and of the registered agent for the service of process;
(4) location where the permitted activity is to be conducted;
(5) certification in the following language:
“I hereby certify that I have read and am familiar with the regulations contained in
Title 50, Part 13, of the Code of Federal Regulations and the other applicable parts inSub-chapter B of Chapter I of Title 50, and I further certify that the information
submitted in this application for a permit is complete and accurate to the best of my
knowledge and belief.  I understand that any false statement herein may subject me to
the suspension or revocation of this permit and to the criminal penalties of 18 U.S.C.
1001”;
(6) desired effective date of the licence;
(7) date;
(8) signature of the applicant;
(9) a brief description of the nature of the applicant's business as it relates to the
importation or exportation of wildlife, e.g., "live animal dealer", "fur broker",
"taxidermist", "retail department store", and "pet shop";
(10) a statement of where books or records concerning wildlife imports or exports will be
kept;
(11) a statement of where inventories of wildlife will be stored;
(12) name, address, and telephone number of the officer, manager, or other person
authorized to make records or wildlife inventories available for examination by
Service officials;  and
(13) the anticipated dollar amount of wildlife to be imported or exported during a calendar
year.  A copy of the application has been attached.
2
11. An import/export licence is only permission to engage in business as an importer or exporter of
wildlife.  Such a licence is in addition to, and does not supersede, any other requirementestablished by law for the importation or exportation of wildlife.
12. The licence fee is US$50.00.13. Applications must be accompanied by the licence fee.
                                                     
2 Available for consultation in the Secretariat (Market Access Division).G/LIC/N/3/USA/3
Page 20
Conditions of licensing
14. Licences are valid for one year.  The licensee must apply for renewal to the issuing office at least
30 days before the current licence expires.
15. If a licensee discontinues engaging in business as an importer or exporter of wildlife, the licensee
must within 30 days mail the licence and a re quest for cancellation to the issuing officer.
16. Licences are not transferable between importers.  Agents under the direct control of, employed
by, or under contract to the licensee may carry out the activities authorized by the licence.
17. (a) Not applicable.
(b) In addition to the general conditions found in 50 CFR Part 13, under 50 CFR 14.93(c)
licensees are subject to the following special conditions:
 (1) the licensee shall, from the effective date of the licence, keep such records as will
fully and correctly disclose each importation or exportation of wildlife made by the
licensee and the subsequent disposition made by the licensee with respect to such
wildlife.  The records must include a general description of the form of the wildlife,
such as "live", "raw hides", or "fur garments"; the quantity of wildlife, in numbers,
weight, or other appropriate measure; the common and scientific names; the countryor place of origin of the wildlife, if known; the date and place of import or export; the
date of the subsequent disposition of the wildlife; the manner of disposition, whether
by sale, barter, consignment, loan, delivery, destruction, or other means; and the name
and address of the person who received the wildlife pursuant to such disposition, if
applicable;
(2) licensees shall include and retain in their records copies of all permits required by the
laws and regulations of the United States and any country of export or origin;
(3) licensees shall maintain such books and records for a period of five years;
(4) subject to applicable limitations of law, duly authorized Service officers at all
reasonable times shall, upon notice, be afforded access to the licensee's places of
business, an opportunity to examine the licensee's inventory of imported wildlife and
the records required to be kept and an opportunity to copy such records;
(5) licensees shall, upon written request by the Director, submit within 30 days of such
request a report containing the information required to be maintained in the records of
the licensee.
Other procedural requirements
18. A licence must comply with the requirements of 50 CFR Part 14 which apply to the importation,
exportation, or transportation of wildlife generally.  Further, a licensee importing or exporting a
particular species may have to comply with other requirements found in 50 CFR Parts 10-23 and other
State or Federal laws.
19. Not applicable.
Department of Justice
7. Controlled substancesG/LIC/N/3/USA/3
Page 21
Outline of system
1. The system of import permits, declarations and quotas is designed to restrict the importation of
controlled substances to that quantity necessary to meet the medical, scientific or other legitimate
needs of the United States, and to monitor the handlers of such substances.  The system alsoestablishes a method by which the United States can meet its international treaty obligations under the
1961 Single Convention Treaty on Narcotic Drugs and the Convention on Psychotropic Substances,
1971.
Purposes and coverage of licensing
2. In order to import any controlled substance, the importer must apply to the Drug Enforcement
Administration (DEA) for registration as an importer.  The registration application must be approved
by the DEA and is issued annually.  Upon registration approval, prior to importation, the registered
importer must:
(a) apply for and receive a permit to import any Schedule I or Schedule II, or any narcotic controlled
substance in Schedules III,  IV, or V or any non-narcotic controlled substance in Schedule III which
the Administrator has specifically designated by regulation in Title 21, Code of Federal Regulations,
Section 1312.30 or any non-narcotic controlled substance in Schedule IV or V which is also listed in
Schedule I or II of the Convention on Psychotropic Substances;  or
(b) submit a specific import declaration per shipment for all non-narcotic controlled substances in
Schedules III, IV or V.  The list of basic classes of controlled substances covered under the authority
of the Controlled Substances Act is listed in Title 21, Code of Federal Regulations, Part 1308.
Other than opium, poppy straw, concentrate of poppy straw or coca leaf, no Schedule I or II
substance, or narcotic substance in Schedule III, IV or V may be imported unless the Attorney
General finds (a) an emergency exists in which domestic supplies are inadequate; (b) competition
among domestic manufacturers is inadequate and will not be rendered adequate by the registration of
additional manufacturers; or  (c) in any case in which the Attorney Gneral finds that such controlled
substance is in limited quantities exclusively for scientific, analytical, or research uses.
3. In general, the import restrictions apply to all controlled substances, regardless of the country of
origin.  However, Title 21, Code of Federal Regulations, Section 1312.13 poses additional limitations
on the imports of narcotic raw materials.  In effect, the importation of approved narcotic raw materials
(opium, poppy straw and concentrate of poppy straw) into the United States shall have as its source:
(a) Turkey,
(b) India,
(c) Yugoslavia,
(d) France,
(e) Poland,
(f) Hungary, and(g) Australia.
And, at least 80 per cent of the narcotic raw material imported into the United States shall have
as its source Turkey and India.  Except under conditions of insufficient supplies of narcotic raw
materials, not more than 20 per cent of the narcotic materials imported annually shall originate inYugoslavia, France, Poland, Hungary and Australia.  This policy has been in effect since
17 September 1981.G/LIC/N/3/USA/3
Page 22
4. The system is designed to restrict the quantity of imports of controlled substances (not monetary
value) and to maintain a monitoring system.  Previous systems were used prior to the import
requirements of the Controlled Substances Act (effective 1 May 1971).  However, the current system
is mandated by United States law and is based upon two international treaties (The Single Convention
on Narcotic Drugs, 1961 and the Convention on Psychotropic Substances, 1971).
5. The system of registration of importers and the sy stem of quotas (for Schedule I and II drugs) are
statutory requirements established in the Comprehensive Drug Abuse Prevention and Control Act of
1970, Part C (Sections 301, 302, 303, 306) and the import requirements established in the Controlled
Substances Import and Export Act (Sections 1002, 1007 and 1008) (21 United States Code, Sections
822, 823, 826, 953, 957 and 958) and implementing regulations.  The Controlled Substances Act
statutorily establishes criteria by which drugs are controlled in one of five schedules subject to importrequirements.  The system required by statute cannot be abolished without legislative approval.
Procedures
6.  I. Annual notice of publications of aggregate production quotas designed to account for
the total needs of the United States (either through domestic manufacture or
importation) for all Schedule I and II controlled substances is published in the Federal
Register on or about 1 July of the year prior to that to which the quota applies.  No
quota is established for Sche dules III, IV or V controlle d substances.  Additional
notice of regulations is published in Title 21, Code of Federal Regulations, Part 1300to End.
II. Quotas for legitimate need are determined on an annual basis, but determinations
regarding importations are made at the time of individual applications.
III. Import permits are issued only on application by registered importers who have
demonstrated the legitimate need for the imported substance.  Declarations are
submitted as an advanced notice of import only for monitoring purposes by DEA.
IV. Not applicable;  individual determinations are made.V-VI. Applications to import are reviewed upon receipt by DEAVII. DEA considers and approves all applications for importation of controlled substances.
Copies of import permits are provided to the U.S. Customs Service for monitoring
and certification purposes.
VIII. Registration is based, in part, on security, records, history of violations, and State
approval.  Import permits are based upon available supply and legitimate need for the
substance in the United States.
IX-X. Not applicable.XI. Controlled substances on permits may only be imported for legitimate needs of the
United States.
7. Schedules III, IV, and V non-narcotic controlled substances are subject to import declarations,
and importers are subject to registration.G/LIC/N/3/USA/3
Page 23
(a) Importation may be made only by approved, registered importers.  An import declaration must
be filed 15 days in advance of the proposed date of import.  In special circumstances, the 15 days may
be waived administratively.
(b-c) Not applicable.(d) Yes.  DEA.8. A registered importer can be refused an importation if the importer cannot demonstrate the need
in the United States, in line with the above criteria.
Eligibility of importers to apply for licence
9. Imports are only approved for registered importe rs who must be inspected for adequate records,
security, State approval, etc., prior to registration.  The registration fee is US$438.00.  Researchers are
also allowed to import those substances for which they are registered to conduct research.  Their
registration fee is US$70.00 annually.  Chemical analysis registrants may import controlledsubstances for analytical or instructional activities. Their registration fee is US$70.00 annually.
Documentational and other requirements for application for licence
10. The information required for an import permit is set forth in Title 21, Code of Federal
Regulations, Section 1312.12 and include (a) name, address of consignor, (b) foreign port of export,
(c) United States port of entry, (d) dates of shipment, (e) name of carrier, (f) amount and (g) importer's
allotment for the year.
11. Import permit.12. No fee is levied per import permit.13. No.Conditions of licensing
14. Registration is annual.  Permits are valid for six months.15. Importation not pursuant to a permit or declaration is subject to seizure, civil and criminal
penalties.
16-17. No.
Other procedural requirements
18. No.19. Not applicable.G/LIC/N/3/USA/3
Page 24
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms (ATF)
8. Distilled spirits (beverages); wine and malt beverages
Outline of system
1. Producers, bottlers, wholesalers and importers of distilled spirits for non-industrial use (see
section 9 for industrial use), wine and malt beverages are required to have permits, issued under the
Federal Alcohol Administration Act, to engage in their respective businesses.  Primary purposes of
this requirement are to protect the consumer by oversight of labelling, advertising and other practicesof the Federal Alcohol Administration Act and to enforce all other Federal laws relating to spirits,
wine and malt beverages, including taxes.  Persons who are not engaged in such businesses are not
required to obtain permits.
Purposes and coverage of licensing
2. An importer's  permit under the Federal Alcohol Administration Act is one of several different
permits controlling the distilled spirits for non-industrial use, wine and malt beverage industries.
3. The permit system applies to goods originating in and coming from all countries.4. No.  Intent of permitting is to ensure that commodities are packaged, marked, branded and
labelled in conformity with the Federal Alcohol Administration Act.  No, alternative methods have
not been considered.
5. The permit system is a statutory requirement of the Federal Alcohol Administration Act,27 U.S.C. 201 et seq., 27 CFR Part 1, et seq.  Yes, li censing is a statutory requirement and may not be
abolished without legislative approval. Designatio n of products is not subject to administrative
discretion.
Procedures
6. Not applicable.7. (a) Permits are issued usually within four to six weeks after an application has been filed.
Under certain circumstances a permit can be obtained within a shorter time frame.
(b) An application must be filed by the person before engaging in the business.  After
filing an application, a permit may be issued.  See answer to 7(a) above.
(c) No.(d) Yes, consideration of permit applications is effected by a single administrative organ.
The importer need approach only one administrative organ.
8. There are no additional circumstances for denying an application for a permit other than what is
stated in 27 U.S.C.§204. The reasons for any refusal are given to the applicant in writing.  In the event
of refusal to issue a permit, administrative appeals may be made through Director, ATF to the UnitedStates Court of Appeals.
Eligibility of importers to apply for licenceG/LIC/N/3/USA/3
Page 25
9. (b) Any person, firm or institution may apply for a licence.  There are no registration
fees; however, importers who sell spirits, wine or beer may be liable for a special occupational tax as
a wholesaler ($500 per year) or retailer ($250 per year).  A list of authorized importers may be
obtained from the ATF Disclosure Branch.
Documentational and other requirements for application for licence
10.  Refer to ATF Form 5110.24.
11.  For ATF purposes,  Certificate of Age and Origin (if issued by country of origin) and certificate
of Label Approval (ATF Form 5100.31).
12-13.  See answer to 9 above.
Conditions of licensing
14. Continuing, unless revoked or surrendered.15. If inactive for more than two years, the permit may be revoked.16-17. No.
Other procedural requirements
18. No but refer to item 11 above.
19. Not applicable.
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms
9. Distilled spirits or alcohol for industrial use
(Including alcohol for fuel use)
Outline of system
1. The Internal Revenue Code requires that producers of distilled spirits or alcohol for industrial
purposes have permits.  If distributors or users want to obtain industrial spirits or alcohol withoutpaying the excise tax under 26 U.S.C. 5001, then they must apply for a permit.  Industrial alcohol is
exempt from taxation if used as authorized by law.  The permit system is a means to control these
authorized uses.
Purposes and coverage of licensing
2. A permit, as such, for the importation of alcohol for industrial use is not required.  Alcohol or
distilled spirits as defined in 26 U.S.C. 5002(a) includes alcohol which may have denaturants present.
Such alcohol cannot be received into this country except by a distilled spirits plant with a permit and a
bond under the Internal Revenue Code unless it is tax-paid upon importation.
3. All countries.4. See reply to question 1. No alternative methods have been considered.G/LIC/N/3/USA/3
Page 26
5. 26 U.S.C. 5171, 5181, 27 CFR Part 19.  The licensing system was created by statute and may not
be abolished without legislative action.  The designation of products is not subject to administrative
discretion.
Procedures
6. Not applicable.
7. (a) Permits under the Internal Revenue Code are usually issued within four to six weeks after the
application has been filed.  Under certain circumstances, a permit can be obtained within a shorter
time frame.
(b) An application must be filed by the person before engaging in the business.  After filing an
application, a permit may be issued.  See answer to 7(a) above.
(c) No.(d) Yes.8. There are no additional circumstances for denying an application for a permit other than what is
stated in 26 U.S.C. 5271. The reasons for any refusal are given to the applicant in writing.  In theevent of refusal to issue a permit, administrative appeals may be made through Director, ATF to the
United States Court of Appeals.
Eligibility of importers to apply for licence (permit)
9. (b) Any person, firm or institution may apply for a licence.  There are no registration
fees; however, persons who have applied for a permit may be liable for a special occupational tax as a
permittee ($250 to $1000 depending on permit).  In general, lists are not available to the public unless
a permittee has agreed to such disclosure. Contact the ATF Disclosure Branch for list of permittees.
Documentational and other requirements for application for licence
10. Industrial Alcohol for other than fuel use - ATF Form 5110.25; Alcohol for fuel use - ATF Form
5110.74, as appropriate, along with such supporting documentation as required.
11. Ordinary commercial papers.
12-13. See answer to 9 above.
Conditions of licensing
14. Continuing, unless revoked or surrendered.15. Permits are subject to revocation if not used for more than two years.16-17. No.
Other procedural requirements
18. No.G/LIC/N/3/USA/3
Page 27
19. Not applicable.
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms
10. Firearms and ammunition
Outline of system
1. Under the Gun Control Act of 1968, the United States maintains a system of licences and
permits controlling the manufacturing, importing and dealing in firearms and ammunition.  TheBureau of Alcohol, Tobacco and Firearms (ATF) administers the import controls along with the
import controls established by the Arms Export Control Act of 1976 through a system of import
permits.  Under 26 U.S.C. Chapter 53, a system of registration of machine guns, silencers, destructive
devices and similar weapons is maintained.
Purposes and coverage of licensing
2. See reply to question 1.  Firearm means (a) any weapon (including a starter gun) which will or is
designed to or may readily be converted to expel a projectile by the action of an explosive;  (b) the
frame or receiver of any such weapon;  (c) any muffler or silencer; or  (d) any destructive device.Antique firearms are exempt.
3. All countries except those proscribed by the Department of State from which imports are denied
entry into the United States.  Refer to 27 CFR 47.52 for currently proscribed countries and articles.
4. No.  Generally, the purpose of the licensing system is to prevent the granting of licences to
persons falling within statutorily determined prohibited categories.  A specific purpose of the import
requirements, in addition to the above, is to ensure that semi-automatic assault rifles, machine guns,
destructive devices, surplus military firearms, and other like firearms are not imported except for the
use of governmental agencies.  No alternative methods have been considered.
5. 18 U.S.C., Chapter 44 and 27 CFR Part 178.  Licensing is statutorily mandated and cannot be
abolished without legislative action.  Designati on of products is not subject to administrative
discretion.
Procedures
6. Not applicable.7. (a) A Federal Firearms Licence is issued within 60 days after receipt of a properly
completed application.  Permit application is approved within 45 days if proposed goods are legally
importable.
(b) Permit can be approved immediately if licence has been previously issued .
(c) No.
(d) Yes, the application is considered by a single administrative organ.G/LIC/N/3/USA/3
Page 28
8. No additional circumstances apply. The reasons for any refusal are given to the applicant in
writing.  In the event of refusal to issue a licence, administrative appeal may be made to Director,
ATF, further to United States District Court if desired.
Eligibility of importers to apply for licence
9. All persons, firms and institutions are eligible to apply for licences.Documentational and other requirements for application for licence
10. Applications:  (Forms 7 and 6).  Applications and Permit for Importation of Firearms,
Ammunition and Implements of War (ATF Form 6, Part I). Release and Receipt of ImportedFirearms, Ammunition and Implements of War (ATF Form 6A).
11. Proof to the United States Customs of licensed  status furnished by the importer of his agent.
12. Yes.  US$150.00 for importers of firearms or ammunition other than destructive devices or
ammunition.  US$3,000.00 for importers of destructive devices or ammunition.  These licences are
renewed every three years.
13. No.
Conditions of licensing
14. A Federal Firearms Licence is valid for three years from date of issuance unless revoked.
Import Permit: one year from date of issue.  The validity of a licence can be extended by renewalapplication for licence and new application for import permit.
15-17. No.Other procedural requirements
18. No.19. Not applicable.
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms
11. Firearms, ammunition and implements of war
Outline of system
1. The United States maintains a system of registrations and permits to control the importation of
arms, ammunition and implements of war.  The law and regulations of these imports are administered
by ATF in conjunction with the Gun Control Act of 1968.  The Department of State maintains a
similar system of controls relative to exports.G/LIC/N/3/USA/3
Page 29
Purposes and coverage of licensing
2. Persons engaged in the business of importing articles on the United States Munitions Import List
must be registered.  Actual importation is authorized by use of Form 6.  Articles on the import list are
articles that have significant military applicability.
3. All countries.  Goods from certain countries (primarily centrally-planned economies) as
determined by State Department are denied entry into the United States.
4. Primary purpose is to suppress international trafficking in arms. No alternative methods have
been considered.
5. Arms Export Control Act of 1976;  22 U.S.C.  2778 27 CFR Part 47;  and Executive Order 11432
(33 F.R. 15701).  Licensing is statutorily mandated and cannot be abolished without legislative action.
Designation of products is not subject to administrative discretion.
Procedures
6. Not applicable.7. (a) Approximately ten working days in advance.
(b) Yes.
(c) No.(d) Yes, consideration of licence applications is effected by a single administrative organ.
8. No additional circumstances apply.  The reasons for refusal are provided to the applicant.   In the
event of refusal to issue a licence, administrative appeals may be made through Director, ATF to
United States District Court.
Eligibility of importers to apply for licence
9. All persons, firms and institutions are eligible to apply for licences.Documentational and other requirements for application for licence
10. ATF Form 4587 and Form 6.  No supporting documentation is required.11.  ATF Forms 6 and 6A.
12. A fee for registration is charged, but not for the permit.
Amount of fee:
One year:
Two years:
Three years:Four years:
Five years:US$250
US$500
US$700US$850
US$1,000G/LIC/N/3/USA/3
Page 30
13. No.
Conditions of licensing
14. Registration:  one to five years.   Permit:  one year from date of issue.15-17. No.Other procedural requirements
18. No.19. Not applicable.
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms
12. Explosives
Outline of system
1. Manufacturers, dealers and importers of explosive materials are required by Law to be licensed
to engage in their respective businesses.  The primary purpose of this licensing system is to keep
explosives out of the hands of persons prohibited by the Law from receiving, or possessing explosives
and to ensure the safe and secure storage of explosives.
Purposes and coverage of licensing
2. Explosive materials are explosives, blasting agents and detonators.  Permits are required of users
who wish to buy in inter-State or foreign commerce.  Licences are required as stated in reply to
question 1.
3. All countries.
4. No.  Purposes are to protect against the misuse and unsafe insecure storage of explosive
materials.  See also reply to question 1.  No alternative methods have been considered.
5. 18 USC Chapter 40 - 27 CFR Part 55.  Licensing is statutorily required and cannot be abolished
without legislative approval.  Designation of products is not subject to administrative discretion.
Procedures
6. Not applicable.7. (a) An application must be approved or denied within 45 days after receipt.  Usual turn-around
time from receipt of application to issuance of licence is 30 days.
(b) No, not usually.  However, it could be done under extreme circumstances.
(c) No.G/LIC/N/3/USA/3
Page 31
(d) Yes, consideration of applications is effected by a single administrative organ.
8. No additional circumstances apply. The reasons for any refusal are given to the applicant in
writing. In the event of refusal to issue a licence, administrative appeals may be made through
Director, ATF.  Then, right of appeal to United States Court of Appeals.
Eligibility of importers to apply for licence
9. All persons, firms and institutions are eligible to apply for licences.Documentational and other requirements for application for licence
10. Application ATF Forms 6 and 6A.  No additional documentation is required.11. Proof to the United States Customs of licensed or permitted status furnished by importer or his
agent.  Explosives must be classified and marked per United States Department of Transportation
standards.
12. Yes.US$50.00 per year for licence for one year;
US$25.00 for renewal for three years;US$20.00 permit fee per year;  and
US$10.00 permit renewal for three years.
13. No.
Conditions of licensing
14. Licences are valid for three years [regulation effective 22 December 1998].  Previously, licences
were valid for one year.
15-16. No.
17. No additional conditions apply.
Other procedural requirements
18. No.19. Not applicable.
Department of Treasury
Bureau of Alcohol, Tobacco and Firearms
13. Tobacco Products
Outline of system
1. The Internal Revenue Code (Title 26 U.S.C.) requires that manufacturers, export warehouse
proprietors and importers of tobacco products apply for, and receive, permits before engaging inG/LIC/N/3/USA/3
Page 32
business.  The primary purpose of these permits is to ensure that proper revenue collection from
tobacco products.
Purposes and coverage of licensing
2. Persons who engage in the business of receiving tobacco products on which the Federal excise tax
has not been determined or paid must apply for, and receive a permit.  Tobacco products are
cigarettes, cigars, smokeless tobacco (for example, snuff or chewing tobacco), pipe tobacco and
roll-your-own tobacco.  Tobacco products do not in clude raw leaf tobacco that is not processed
for use by consumer.
3. All countries.4. The permit system does not restrict the quantity or value of imported tobacco products.  No
alternative methods have been considered.
5. 26 U.S.C. 5713 requires permits.  There is no discretion for the government to change the
products (26 U.S.C. 5702) subject to the permit requirements or to abolish the permit system
without legislative approval.
Procedures
6. Not applicable.7. (a)  Permits are usually issued within four to six weeks after an application has been filed.
Under certain circumstances a permit can be obtained within a shorter time frame.
(b)  An application must be filed by the person before engaging in the business.  After filing an
application, a permit may be issued.  See answer to 7(a) above.
(c)  No.(d)  ATF is the only agency with whom an importer of tobacco products must deal to secure this
permit.
8. There are no additional circumstances for denying an application for a permit other than what is
stated in 27 U.S.C. 5712.  The reasons for any refusal are given to the applicant in writing.  An
applicant may appeal the denial of a permit to the Director, ATF, and then to the United States
Court of Appeals.
Eligibility of importers to apply for licence
9. (b) Any person, firm or institution may apply for a licence.  There are no registration fees. In
general, lists are not available to the public unless a permittee has agreed to such disclosure.Contact the ATF Disclosure Branch for list of permittees.
Documentational and other requirements for application for licence
10. Refer to ATF Form 5230.4.11. Customary and ordinary business records.12-13.   Not applicable.G/LIC/N/3/USA/3
Page 33
Conditions of licensing
14. Permits other than temporary permits are valid for a period of three years from the effective date
on the permit. Temporary permits are issued to applicants who were engaged in the business
prior to January 1, 2000, and who have filed an application prior to that date.
15. There is no prescribed penalty for not using the permit.16. Permits are not transferable to another person.17. There are no restrictions associated with a permit regarding the quantity or the products.Other procedural requirements
18. ATF has no other administrative procedures, apart from permit requirements, required prior to
importation.
19. Not applicable.G/LIC/N/3/USA/3
Page 34
Nuclear Regulatory Commission
14. Nuclear facilities and materials
Outline of system
1. The Nuclear Regulatory Commission (NRC) regulations governing the import of nuclear
materials are published in 10 CFR Part 110 pursua nt to the Atomic Energy Act of 1954, as amended,
and the Energy Reorganization Act of 19743, as amended.  These regulations apply to all persons in
the United States with certain exemptions for the U.S. Department of Ener gy and the U.S. Department
of Defense.
The list of nuclear equipment and material subject to NRC import licensing authority covers
production and utilization facilities, special nuclear material, source material,  by-product material and
radioactive waste as defined in 10 CFR 110.2.
These items are subject to the NRC import licensing authority, under a general or specific
licence. Under the general licensing provisions, any person may import by-product, source, or special
nuclear material, other than 100 kilogrammes or more of irradiated fuel or radioactive waste, if the
consignee is authorized to possess the material, w ithout the requirement for a specific import licence.
The general licence in 10 CFR 110.27 requires the importer of special nuclear material to provide to
the NRC advance notification of certain imports, where required according to 10 CFR 110.27.
Specific import licences are required for the import of production or utilization facilities, over
100 kilogrammes of irradiated fuel (spent special nuclear material), and radioactive waste except for
radioactive waste being returned to the U.S. Go vernment or a U.S. military facility which is
authorized to possess the material.
Purposes and coverage of licensing
2. The list of items under NRC import licensing authority is found in the 10 CFR 110.9a.3. The licensing requirements apply to goods originating in and coming from all countries.
4. The licensing is not intended to restrict quantity or value of imports.  The primary purposes for
licensing of imports are related to health and safety matters, controls over possession, use,
distribution, and transport, and to considerations related to the defense and security of the United
States.
Alternative methods of accomplishing the purposes of import licensing are considered and
NRC's import licensing regulations take these into account, as appropriate.
5. As mentioned in reply 1, the NRC regulations in 10 CFR 110 are issued pursuant to the Atomic
Energy Act of 1954, as amended and the Energy Reorganization Act of 1974, as amended.  The
Nuclear Non-Proliferation Act of 1978 does not directly affect import licensing requirements.  The
legislation defines the categories of products and facilities subject to licensing controls with minimum
discretion in definitions left to administrative determination.
Procedures
                                                     
3  A copy of 10 CFR Part 110 containing the Nuclear Regulatory Commission Regulations governing
the Export and Import of Nuclear Equipment and Material  is available for consultation in the Secretariat
(Market Access Division).G/LIC/N/3/USA/3
Page 35
6.  Products are not restricted as to quantity or value of imports.
7.(a) There is no fixed period for submission of a specific licence application in advance of
importation, other than the instances prescribed in 10 CFR 110 required to notify the public  of receiptof the application and to provide an opportunity to intervene (see 10 CFR 110.70 and 110.82).  The
Commission does have the prerogative for granting specific exemptions from the regulations in 10
CFR 110 under certain conditions (10 CFR 110.10) and this prerogative has been exercised on
occasions to grant licences within a short period of time.
(b) A specific licence would generally not be granted immediately upon request.  The applicant
should anticipate a review period of three weeks to  three months from the date of application
depending on the specific commodity (e.g. a specific licence for the import of radioactive waste
requires several months’ review).
(c) There are no limitations as to the period of the year during which the specific licence application
or importation may be made.  NOTE: Specific import licences have expiration dates.
(d) For materials and production and utilization facilities, subject to the NRC licensing authority, the
NRC is the only agency with which the importer must  correspond, except that imports of mixed waste
(waste that consists of hazardous waste and radioactive waste), are also subject to the requirements of
the Environmental Protection Agency applicable to the hazardous component of the waste.  Forcertain specific import licence applications, the NRC may consult with and/or seek concurrences from
other federal agencies (usually the Departments of State and Energy), although the final licensing
responsibility remains with the NRC.
8. No import licence has been refused to date. Reasons for any refusal to issue a licence would be
made known to an applicant and there would be rights of appeal.  The avenues open to the applicant
are given in Subparts H, I, J and K of 10 CFR 110.
Eligibility of importers to apply for a specific licence
9. All persons, firms and institutions that have an office in the United States where papers may be
served and where records required by the Commissi on will be maintained are eligible to apply for
licences.
Documentational and other requirements for application for a specific licence
10. Information required in a licence application is set out in 10 CFR 110.31 and 110.32.  There is
no prescribed form.  The usual submission is in letter form.  The importer may support his/her
application with other documents of his/her choosing.  NRC may request additional information, if
necessary to conduct the licensing review required by the applicable statutes.
11. The NRC does not require any documentation for importation, other than the licence itself.
Also, the customary forms required by other government agencies for import will be necessary
(Customs Service and the Department of Commerce documents, for example).  In addition, certain
reporting requirements are necessary when the transfer of nuclear material is involved, but these are
not related to the licence authorization.
12. Fees are charged for processing licence applications in accordance with the fee schedule in
10 CFR 170.21 and 170.31 of this Title (e.g. for fiscal year 2001, the fees for import applications
range from US$210 to US$9,300).G/LIC/N/3/USA/3
Page 36
13. The appropriate fees must accompany all applications for specific licences in order for them to
be processed.
Conditions of licensing
14. An import licence is usually valid for a period of three to five years from the date of issuance but
can be longer if the applicant so requests and the NRC agrees.
15. Failure to use a licence could result in a penalty.16. A specific licence may be transferred or assigned to another person only with the approval of the
Commission.
17. Conditions are often placed on the specific licence with respect to transportation requirements,
security provisions and notification requirements.
Other procedural requirements
18. Because many of the materials which can be imported under both specific or general NRC
import licences are considered hazardous and may be of strategic significance, additional
arrangements may be necessary in conjunction with their transportation.  These arrangements may
involve such things as physical protection, special handling procedures for health and safety purposes,or advance notice of pending receipt and are not part of the licence itself.  These are general
requirements placed on persons in the United States who transfer or receive specific types of
materials, whether the shipment is domestic or from abroad.
19. Not applicable.
__________