G/LIC/N/3/USA/16  
 
28 January 2020  
(20-0661) Page: 1/95 
Committee on Import Licensing  Original: English  
 
REPLIES TO QUESTIONN AIRE ON IMPORT LICEN SING PROCEDURES  
NOTIFICATION UNDER A RTICLE 7.3 OF THE  
AGREEMENT ON I PMPORT LICENSING  (2019)  
UNITED STATES 
The following communication, dated 30 September 2019, is being circulated at the request of the 
delegation of the United States.  
 
_______________  
 
 
1   DEPARTMENT OF AG RICULTURE  ................................ ................................ .................  2 
1.1   Plants and plant products  ................................ ................................ ............................  2 
1.2   Animals and animal products  ................................ ................................ .......................  7 
1.3  Sugar  ................................ ................................ ................................ .....................  13 
1.4   Certain Dairy Products  ................................ ................................ ..............................  20 
2   DEPARTMENT OF CO MMERCE ................................ ................................ ....................  29 
2.1   International Trade Administration  ................................ ................................ ..............  29 
2.1.1    Steel ................................ ................................ ................................ ....................  29 
3   DEPARTMENT OF EN ERGY  ................................ ................................ .........................  33 
3.1   Natural gas  ................................ ................................ ................................ ..............  33 
4   DEPARTMENT OF IN TERIO  ................................ ................................ .......................  38 
4.1   US Fish and Wildlife Service  ................................ ................................ .......................  38 
4.1.1    Fish and Wildlife (including endangered species)  ................................ ........................  38 
5   DEPARTMENT OF JU STICE  ................................ ................................ ........................  45 
5.1   Bureau of Alcohol, Tobacco, Firearms and Explosives  ................................ ....................  45 
5.1.1    Firearms and ammunition  ................................ ................................ .......................  45 
5.1.2   Firearms, ammunition, and defense articles  ................................ ..............................  50 
5.1.3    Explosives ................................ ................................ ................................ .............  57 
5.2   Drug Enforcement Administration  ................................ ................................ ...............  62 
5.2.1    Controlled Substances and Listed Chemicals  ................................ .............................  62 
6   DEPARTMENT OF TR EASURY  ................................ ................................ .....................  70 
6.1   Alcohol and Tobacco Tax and Trade Bureau  ................................ ................................ . 70 
6.1.1    Distilled Spirits (beverages), Wine and Malt Beverages  ................................ ...............  70 
6.1.2    Distilled Spirits or Alcohol for Industrial Use (including alcohol for fuel use) ...................  76 G/LIC/N/3/USA/16  
 
- 2 - 
 
  6.1.3    Tobacco Products  ................................ ................................ ................................ ... 80 
7   NUCLEAR REGULATO RY COMMISSION  ................................ ................................ ...... 88 
7.1   Nuclear Facilities and Materials  ................................ ................................ ...................  88 
 
1  DEPARTMENT OF AGRICU LTURE 
1.1  Plants and plant products  
Basic Information  
1. Outline of the system  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.  
2. Product coverage  Plant Heath Permits are required for:  
Plants and plant products for or capable of propagation 
(including seeds);  
 
Cut flowers with berries attached;  
 
Products associated with the Khapra beetle;  
 
Fruits and Vegetables;  
 
Foreign Cotton and Covers;  
 
Sugarcane Products and by -products;  
 
Indian corn or maize, broo mcorn, and related plants:  
 
Rice and related products;  
 
Timber Products: logs, lumber, other unmanufactured 
wood products;  
  
Plant pests and pathogens and host materials including:  
- Pest and Pathogens  
- Biological control organisms  
- Bees 
- Parasitic plants and noxious weeds  
- Plant Growth enhancers  
- Soil and quarry products  
 
Plants and plant products regulated under Convention on 
International Trade in Endangered Species (CITES)  
 
Plants and plant products in transit through the United 
States.  
 
Nature of Licens ing 
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  G/LIC/N/3/USA/16  
 
- 3 - 
 
  Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  The permit system is to protect against the entry of 
plant pests and diseases, and to protect endangered 
plant species.  Permits are required for the importation, 
transit, domestic movement, including interstate, and 
environmental release of Organisms that impact plants, 
and the importation and transit of Plants and Plant 
Products under auth ority of the  Plant Protection  and 
Honeybee  Acts 
5. Products under restriction as to 
the quantity or value of imports  None.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not Applicable  
7. The system applies to products 
originating from which country?  The permit system applies to products coming from all 
countries with exceptions.  
8. Expected duration of licensing 
procedure  Depends on the product.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  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 CITES, 
establishes a permit system for certain plants on the 
endangered species list.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  The administering authority has regulatory discretion, 
within statutory and international agreement 
parameters, to regulate certain designations of products.  
11. Is it possible for the government 
to abolish the s ystem without 
legislative approval?  No. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  No. 
13. What persons or firms are eligible 
to apply for a license?  Any individual, partnership, corporation, association, joint 
venture, or other legal entity may be eligible to apply for 
licenses.  
14. Is there a registration fee?  There is no registration fee if:  
- the applicant is an individual who is of least 18 
years of age, has and maintains an address in 
the United States that is specified on the permit, 
and is physically present during normal business 
hours at that address during any periods when 
articles are being imported or moved interstate 
under the permit; or  
- if the applicant is a legal entity that maintains an 
address or business office in the United States 
with a designated individual for service of 
process.  
 
15. Is there a published list of 
authorized importers?  There is no published list of authorized importers.  
 G/LIC/N/3/USA/16  
 
- 4 - 
 
  Contact  Point for Information on Eligibility  
16. Ministry/Authority  United States Department of Agriculture  
Animal and Plant Health Inspection Service  
17. Address  1400 Independence Ave, SW, Stop 1021, Washington, 
DC, 20250  
18. Telephone  (301) 851 -2046 
19. Fax  (301) 734 -5786 
20. E-Mail Address  Not applicable.  
21. Website  https://www.aphis.usda.gov/aphis/ourfocus/planthealt
h/import -information  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  United States Department of Agriculture  
Animal and Plant Health Inspection Service  
 
Documentation Requirements  
24. What information is required in 
applications?  The information required in applications is set forth in the 
PPQ Form 587 (for plants and plant products), 588 
(application for prohibited material), 546 for plants 
requiring post -entry quarantine, 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.  
25. What documents is the importer 
required to supply with the 
application?  Specified in the application Forms.  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  Depends on the product. For organism and soil permits, 
approval may take up to 4 -6 months.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No. Submissions must be reviewed.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No. 
30. Which administrative body is 
responsible for approving application 
of licences?  Permit applications are effected by one office, U.S. 
Department of Agriculture, Permit Section, Unit 136, 4700 
River Road, Riverdale, Maryland 20737.  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  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 ar e the permit applications for soil and 
for plants required to be grown in post -entry quarantine.  
32. Are there any other conditions 
attached to the issue of a licence?  There are no other conditions attached to the issuance of 
a permit other than for plant s requiring post entry 
growing.  G/LIC/N/3/USA/16  
 
- 5 - 
 
  Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  There is no licensing fee or administrative charge for 
permits other than the US$ 70.00 fee per permit for 
commercial trade in e ndangered plants.  
34. What is the amount of the fee or 
charge?  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.  
35. Is there any deposit or advance 
payment r equired associated with the 
issue of licences?  No deposit or advance payment is required in connection 
with the issue of permits.  
36. Amount or rate?  Not applicable  
37. Is it refundable?  Not applicable  
38. What is the period of retention?  Not applicable  
39. What is the purpose of this 
requirement?  Not applicable  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  There are no circumstances other than failure to meet 
standard criteria under which a permit may be refused.  
41. Are the reasons for any refusal 
given to applicants?  Reasons for refusal are given to the applicant.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  No appeal procedures are specified in the legislation.  
43. If so, to what bodies and under 
what procedures?  Not applicable  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No. 
45. What documents are required 
upon actual importation?  For all plants and some plant products, a phytosanitary 
certificate must accompany the shipment. Endangered 
species have special documentation requirements.  
46. Are there any other 
administrative proced ures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  There are no other administrative procedures required 
prior to importation.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? C an the validity be 
extended? How?  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.  
48. Is there any penalty for the non-
utilization of a licence or a portion of 
a licence?  There is no penalty for non-utilization  of a permit.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  Permits are not transferable between importers.  
 G/LIC/N/3/USA/16  
 
- 6 - 
 
  Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Fruits and 
Vegetables;  
  Not specific  Fruits and Vegetables Imports 
Requirements Database (FAVIR) 
lists requirements and eligibility or 
products.  
Plants and plant 
products for or 
capable of 
propagation 
(including seeds)    Includes nursery stock, roots, bulbs, 
seeds, and other plant parts. 
Includes rice seed and paddy rice;  
Indian corn or 
maize, broomcorn, 
and related plants    raw or unmanufactured corn seed 
and all other portions of Indian corn 
or maize and related plants , 
including all species of teosinte; raw 
or unmanufactured stalk and all 
other parts of Indian corn or maize, 
broomcorn, sweet sorghums, grain 
sorghums, Sudan grass, Johnson 
grass, sugarcane, pearl millet, 
napier grass, teosinte, and jobs -
tears  
Rice and related 
products    Rice straw and rice hulls  
Sugarcane 
Products and by -
products    sugarcane and its related products, 
including cuttings, canes, leaves 
and bagasse  
Foreign cotton and 
covers    Includes seed cotton; cottonseed; 
cotton lint, linters, and other forms 
of cotton fiber (not including yarn, 
thread, and cloth); cottonseed hulls, 
cake, meal, and other cottonseed 
products, except oil; cotton waste, 
including gin waste and thread 
waste; any other unmanufactured 
parts of cotton plants; second -hand 
burlap and other fabrics, shredded 
or otherwise, that have been used 
or are of the kinds ordinarily used, 
for containing cotton  
Products 
associated with the 
Khapra beetle    Restricted articles include seeds of 
the plant family Cucurbitaceae, 
brassware and wooden screens, 
goatskins, lambskin's, and 
sheepskins, plant gums shipped as 
bulk cargo, used jute or burlap G/LIC/N/3/USA/16  
 
- 7 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
bagging that contains cargo or used 
as a packing material, whole chilies, 
red peppers, and cumin seeds in 
new jute or burlap bags; fro m 
certain origins   
Cut flowers with 
berries attached  
     
Timber Products    Lumber, logs, other 
unmanufactured wood products  
Plant Pests and 
Pathogens    Includes plant feeding insects, 
mites, mollusks, pathogenic 
bacteria, viruses, fungi)  
Parasitic plants and 
noxious weeds    USDA APHIS maintains a list of 
Federal Noxious Weeds and Parasitic 
Plant genera.  
Biological Control 
Organisms    Includes invertebrate herbivores, 
predators and parasites; microbial 
pathogens to control invertebrate 
plant pests or weeds; non -
pathogenic microorganisms to 
control plant pathogens  
Bees    
Plant Growth 
Enhancers    Includes fertilizers, compost, 
sludge, and other materials to 
enhance plant growth that contain 
organic material including 
microorganisms  
Soil and Quarry 
Products   Non-specific  Soil contains organic material, and 
may contain regulated organisms  
Plants and plant 
products regulated 
under CITES    Species regulated by CITES or by 
the Endangered Species Act (ESA). 
A list of speci es covered by ESA is 
maintained by the US Fish and 
Wildlife Services Environmental 
Conservation Online System.  
Plants and plant 
products in transit 
through the United 
States.   Non-specific  Fruits and Vegetables Imports 
Requirements Database (FAVIR) 
lists requirements and eligibility or 
products.  
 
1.2  Animals and animal products  
Basic Information  
1. Outline of the system  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.  
2. Product coverage  Permits are required for:  
Live animal, including:  
- domestic farm livestock and poultry and other species 
that may carry diseases that could affect US livestock and 
poultry;  
-animal semen, ova, embryos  
-hatching eggs  
 G/LIC/N/3/USA/16  
 
- 8 - 
 
  Certain animal (livestock) derived products for any 
reason, commercial or research uses;  
 -animal products: for human consumption (e.g. meat, 
milk, eggs, casings, processed products containing meat)  
-Animal by -products not for human consumption (e.g. 
bones, hides, pet food and animal feed ingredients, skins)  
-related materials that have been exposed to animal 
products capable of cont amination with disease agents 
(e.g. containers, carriers, straw and hay, meat covers)  
 - animal and avian specimens, tissues or blood products;  
 Veterinary Biologics (for research, transit, general 
distribution):  
- Livestock and poultry pathogens (e.g. bacteria, 
viruses, fungi, TSE agents, protozoa)  
- Derivative of livestock and poultry pathogens 
(e.g. recombinants, attenuated)  
- Vectors of livestock or poultry pathogens (e.g. 
arthropods, animal tissues)  
- Vectors and organisms exposed to animals or 
animal pro ducts outside the United States (e.g. 
eggs, fetal bovine serum)  
 
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose   
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  The U.S. Department of Agriculture/APHIS Veterinary 
Services unit implements the import permit system to 
prevent the introduction of animal pests and diseases and 
to protect U.S. livestock from diseases that do not exist in 
the United States. APHIS restric ts some animals and 
animal products from entering the United States because 
of the animal health situation in the region of origin.   
5. Products under restriction as to the 
quantity or value of imports  None.  
6. Questions for products under 
restriction as  to the quantity or value 
of imports  Not applicable.  
7. The system applies to products 
originating from which country?  The permit system applies to animals coming from all 
countries (except Canada and Mexico) with some 
variation resulting from the species  and country of origin's 
disease status. Permits for other products apply to all 
countries depending on disease status and type of 
product.  
8. Expected duration of licensing 
procedure  Depends on the product. Ranges from 7 business days to 
several months for veterinary biologics.  
 
Legal Requirements  
 9. Is the licensing statutorily 
required?  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 . 
10. Does the legislation leave 
designation of products to be subject 
to licensing to administrative 
discretion?  The administering authority has regulatory discretion, 
within statutory parameters, to approve certain 
designations of products.  G/LIC/N/3/USA/16  
 
- 9 - 
 
  11. Is it possible for the government 
to abolish the system without 
legislative approval?  No. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  No. 
13. What persons or firms are eligible 
to apply for a license?  All persons, firms, and institutions in the United States 
are eligible to apply for permits.  
14. Is there a registration fee?  Not applicable.  
15. Is there a published list of 
authorized importers?  There is no published list of authorized importers.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authori ty United States Department of Agriculture  
Animal and Plant Health Inspection Service  
17. Address  1400 Independence Ave, SW, Stop 1021, Washington, 
DC, 20250  
18. Telephone  (301) 851 -3300 
19. Fax  Not applicable.  
20. E-Mail Address  VS-Live.Animals_Import.Permits@aphis.usda.gov  
21. Website  https://www.aphis.usda.gov/aphis/ourfocus/animalhea
lth/animal -and-animal -product -import -information  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Department of Agriculture/Animal and Plant Health 
Inspection Service  
 
Documentation Requirements  
24. What information is required in 
applications?  The information required in applications is set fo rth in VS 
forms 16 3 and 16 7, 17 129, 17 128 and APHIS form 
2005 
25. What documents is the importer 
required to supply with the 
application?  Most application forms are submitted electronically and 
require a user fee to process.  
 
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  The amount of time in advance of importation within 
which a permit must be applied for is not specified in the 
regulations.  
27. Are there any limita tions as to the 
period of the year during which 
application for licence can be made? If 
so, explain  There are no limitations as to the period of the year 
during which permit applications may be made.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  A permit cannot be granted immediately upon request. 
Prior review of the application is required.  
29. Can licences be obtained within a 
shorter time -limit or for goods arriving 
at the port without a licence  The amount of ti me in advance of importation within 
which a permit must be applied for is not specified in the 
regulations.  G/LIC/N/3/USA/16  
 
- 10 - 
 
  30. Which administrative body is 
responsible for approving application 
of licences?  U.S. Department of Agriculture, Animal and Plant Health 
Inspection Service (APHIS)  
31. Must the applications be passed on 
to other organs for visa, note or 
approval?  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 administra tive office.  
32. Are there any other conditions 
attached to the issue of a licence?  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.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  There are import related user fees associated with permit 
application review, inspections required for imports, 
testing, and quarantines. Facilities manufacturing 
veterinary biologicals for importation are inspected 
under cooperative service agreements  
34. What is the amount of the fee or 
charge?  Fees depend on product. A list is available from U.S. 
Department of Agriculture, A nimal and Plant Health 
Inspection Service.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  Reservation fees for quarantine space are required for 
live animals and birds.  
36. Amount or rate?  The amount of the fee varies according to the animal and 
the bird.  
37. Is it refundable?  No fees are refundable  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may an 
application for a licence be refused 
other than failure to meet the ordinary 
criteria?  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 an imals 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 wa s issued prior to the disease outbreak.  
41. Are the reasons for any refusal 
given to applicants?  Yes 
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  No appeal procedures are specified in the legislation or 
regulations. Applicants must bring 
documentations/products into compliance within a 
specified time, after which refusal is final.  
43. If so, to what bodies and under 
what procedures?  Not applicable.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  There are no limitations as to the period of the year 
during which permit applications may be made.  
45. What documents are required 
upon actual importation?  In the case of live animals and birds, the or iginal and 
copies of the import permits must accompany the 
shipment as well as a health certificate issued by the 
national veterinary services of the country of origin.  G/LIC/N/3/USA/16  
 
- 11 - 
 
   Copies of the import permit should also accompany 
animal products and organism and vector shipments, 
and shipments of veterinary biological products.  
46. Are there any other administrative 
procedures, apart from import 
licensing and similar administrative 
procedures, required prior to 
importation?  There are no other adminis trative procedures required 
prior to importation.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be extended? 
How?  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 
distribution and sale do not have expiration dates.  
48. Is there any penalty for the non -
utilization of a licence or a portion of a 
licence?  There is no penalty for non-utilization  of a permit. 
Application user fees and quarantine reservation fees are 
not refundable.  
49. Are licences transferable between 
importers? If so, are any limitations or 
conditions attached to such transfer?  Permits are not transferable between importers.  
 
Foreign E xchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a condition 
to obtaining foreign exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign excha nge? Not applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Domestic farm 
livestock and 
poultry and other 
species that may 
carry diseases that 
could affect US 
livestock and 
poultry;  
   not specific   
Animal semen, ova, 
embryos     
Hatching eggs     
Animal products for 
human 
consumption  Meat, milk, eggs, 
casing, processed 
products containing 
meat   
Animal by -products 
not for human 
consumption  Bones, hides, skins, 
animal -derived pet 
food and animal feed 
ingredients    G/LIC/N/3/USA/16  
 
- 12 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
Animal and avian 
specimens, tissues, 
or blood products     
Materials that have 
been exposed to 
animals or animal 
products capable of 
contamination with 
disease agents     
Livestock and 
Poultry Pathogens 
and Derivatives  USDA/APHIS 
Veterinary Services, 
Organisms and 
Vectors Permitting 
Unit maintains a 
partial list    
Vectors of livestock 
of poultry 
pathogens  Arthropods, cultures 
and specimens of 
animals if likely 
exposed to pathogens    
Animal and avian 
specimens, tissues  
or blood products   not specific   
Certain animal 
(livestock) derived 
products for any 
reason, commercial 
or research uses  Products not on the 
USDA/APHIS 
Veterinary Services 
list of low risk and 
exempted animal 
origin products  Not specific   
Domestic farm 
livestock and other 
species that may 
carry diseases that 
could affect US 
livestock and 
poultry  Live animals other 
than pets  Not Specific   
Germplasm ‑ 
semen and 
embryos 
(livestock)   0511.10, 
0511.99   
Materials that have 
been exposed to 
animal products 
capable of 
contamination with 
disease agents   NOT 
SPECIFIC   
Organisms that 
affect livestock and 
avian species and 
various vectors of 
such organisms  Organisms and 
vectors of pathogenic 
diseases of livestock 
and poultry. 
USDA/APHIS 
Veterinary Services, 
Organisms and 
Vectors (OV) 
permitting Unit 
maintains a list of 
regulated pathogens  NOT 
SPECIFIC   
Poultry and 
hatching eggs and 
other avian species   0105, 0407   G/LIC/N/3/USA/16  
 
- 13 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
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)   NOT 
SPECIFIC   
Veterinary 
biological products 
including seeds and 
substrates  The USDA/APHIS 
Center for Veterinary 
Biologics maintains a 
listing of products.  NOT 
SPECIFIC   
 
1.3  Sugar   
Basic Information  
1. Outline of the system  The provisions of paragraph (a) (i) of the Additional U.S. 
Note 5, Chapter 17 in the Harmonized Tariff Schedule of 
the United States (HTS), established by Presidential 
Proclamation 6763 of December 1994, authorize the 
Secretary of Agriculture to establish for each fiscal year 
the tariff -rate quotas (TRQs) for raw cane sugar and 
refined sugars.  
 
Separately, and not subject to quota limitations, there is 
a licensing system to implement the U.S. sugar re -export 
program under 7  CFR 1530. Licenses are issued to refiners 
allowing them to import raw sugars to be further 
processed and: (1) re -exported in refined form, (2) re -
exported in refined form in sugar -containing products, or 
(3) used for the production, other than by distillation, of 
polyhydric alco hol, except that used as a substitute for 
sugar in human food.  
 
2. Product coverage  The products covered by the raw sugar TRQ are described 
in HTS 1701.13.10 and 1701.14.10, and the refined sugar 
TRQ in HTS 1701.12.10, 1701.91.10, 1701.99.10, 
1702.90.10, and 2106.90.44. Part of the refined sugar 
TRQ is reserved for specialty sugars.  
 
The re -export licensing program covers raw sugars under 
HTS 1701.13.20, 1701.14.20.  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Non-Automatic.   
Under the raw cane sugar 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) currently 
allocates this quantity among countries based on a 
representative base period of U.S. sugar imports during G/LIC/N/3/USA/16  
 
- 14 - 
 
  1975-81. Certificates of Quota Eligibility (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 Co de of Federal Regulations. 
The purpose of the CQE is to provide exporters access to 
the U.S. domestic market at the low -tier tariff.  
 
Under the specialty sugar TRQ administration, importers 
may be licensed to import certain refined sugars that are 
not wide ly available in the United States at the low -tier 
tariff rate.  
 
Under the re -export program administration, refiners may 
be licensed to import quota -exempt sugar.  
5. Products under restriction as to 
the quantity or value of imports  See product coverage.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  See answers 6.1 -6.11 (see below)  
7. The system applies to products 
originating from which country?  The CQE system applies to those 40 countries and areas 
from which sugar is imported under the raw cane sugar 
TRQ. 
 
Certificates for imports of specialty sugars apply to 
imports from all countries.  
 
Licenses to import sugar for refining and re -export 
(Refined Sugar Re -export Program) or for production of 
polyhydric alcohol apply to imports from all countries.  
 
8. Expected duration of licensing 
procedure  Not applicable.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  The raw sugar CQE system, specialty sugar import system, 
and re -export program are not statutorily required.  
The CQEs are issued  under  15 CFR 2011,  Sub-part A. 
Certificates  for specialty  sugar  are issued  pursuant  to 15 
CFR 2011,  Sub-part B.  The regulation  may be found  at:   
http://www.ecfr.gov/cgi -bin/text -
idx?SID&node=pt15.3.2011&rgn=div5 . 
https://www.govinfo.gov/app/details/CFR -2005-title15 -
vol3/CFR -2005-title15 -vol3-part2011  
The regulations governing licenses for the  importation  of 
sugar  exempt  from quota  are under  7 CFR 1530.  The 
regulation  may be found  at: https://www.ecfr.gov/cgi -
bin/text -
idx?SID=6455b5541198c 6b98dfbde6641de588e&mc=tru
e&node=pt7.10.1530&rgn=div5%20.   
https://www.govinfo.gov/content/pkg/CFR -2019-title7-
vol10/pdf/CFR -2019-title7-vol10 -part1530.pdf  
10. Does the legislation leave 
designation of products to be 
subject to licensing to 
administrative discretion?  The designation of products  for the raw sugar CQE system, 
specialty sugar import system, and re -export program are  
not subject to administrative designation. See 15 CFR 2011 
and 7 CFR 1530. However, the definition of specialty sugar 
is discretionary.  G/LIC/N/3/USA/16  
 
- 15 - 
 
  11. Is it possible for the 
government to abolish the system 
without legislative approval?  Legislative approval is not required to abolish the raw 
sugar CQE system, specialty sugar import system, and re -
export program . The certificate system can be suspended 
or reinstated.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  There is no registration system required for the raw sugar 
CQE system, specialty sugar import system, or the re -
export program  
13. What  persons or firms are eligible 
to apply for a license?  There is no application required for a CQE. CQEs are 
required to enter in -quota raw sugar.  CQEs are issued by 
foreign governments to recipients of their choosing.  
 
Anyone in the United States is eligible to apply for a 
specialty sugar import certificate.  There is a list of 
currently authorized specialty sugar importers at: 
http://www.fas.usda.gov/programs/sugar -import -
program/applying -specialty -sugar -certificate .  
 
Only U.S. refiners can apply for licenses to import quota -
exempt sugar.  
14. Is there a registration fee?  No.  
15. Is there a published list of 
authorized importers?  The is no requirement for importers to be authorized to 
import in -quota r aw sugar under the TRQ.  
 
Importers authorized to import specialty sugar are listed 
here: http://www.fas.usda.gov/programs/sugar -import -
program/applyi ng-specialty -sugar -certificate . 
 
Refiners authorized to import quota -exempt sugar for re -
export are listed here:  
https://www.fas.usda.gov/sugars/fassugarshome.aspx  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  USDA Foreign Agricultural Service, Office of Trade 
Programs, Import Policies and Export Reporting Division  
17. Address  1400 Independence Ave, SW, Stop 1021, Washington, 
DC, 20250  
18. Telephone  202-720-2194.  
19. Fax  Not applicable.  
20. E-Mail Address  sugars@usda.gov.  
21. Website  https://www.fas.usda.gov/programs/sugar -import -
program  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  USDA Foreign Agricultural Service, Office of Trade 
Programs, Import Policies and Export Reporting Division  
 
Documentation Requirements  
24. What information is required in 
applications?  For CQEs to enter in -quota raw sugar: no application is 
needed.  
 
For specialty in -quota sugar: description of specialty 
sugar  
 G/LIC/N/3/USA/16  
 
- 16 - 
 
   For re -export program: percentage of refined sugar in a 
product; certification that an applicant is not affiliated 
with another licensee; information on program 
transactions.  
25. What documents is the importer 
required to supply with the 
application?  For CQEs to enter in -quota raw sugar: no application is 
needed.  
 
For specialty sugar in -quota: evidence that such sugars 
are specialty sugars  
 
For re -export program: Certification importer is not 
affiliated  with another licensee; Documentation 
Agreement: document substantiating program 
transactions (e.g. sales invoice, bill of lading, customs 
invoice)  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  For CQEs to enter in -quota raw sugar: no application is 
needed.  
 
For specialty sugar in -quota: there is no timeline for 
application.  
 
For re -export program: there is no timeline for 
application.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  For CQEs to enter in -quota raw sugar: no application is 
needed.  
 
For specialty sugar in -quota: there is no time limitation 
for application.  
 
For re -export program: there is  no time limitation for 
application.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  CQEs are allocated by the exporting country, according to 
the exporting countries’ standards  
 
 Specialty sugar certificate applications and appl ications 
for re -export licenses must be reviewed.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No 
30. Which administrative body is 
responsible for approving application 
of licences?  For CQEs to enter in -quota raw sugar: the foreign 
government.  
 
For specialty sugar in -quota: USDA Foreign Agricultural 
Service, Office of Trade Programs, Import Policies and 
Export Reporting Division.  
 
For re -export program: USDA Foreign Agricultural 
Service, Office of Trade Programs, Import Policies and 
Export Reporting Division  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No. 
32. Are there any other conditions 
attached to the issue of a licence?  For CQEs to enter in-quota raw sugar: the foreign 
government may determine conditions attached to the 
issuance of CQEs.  G/LIC/N/3/USA/16  
 
- 17 - 
 
   For specialty sugar in -quota: No.  
 
For re -export program: license holders must report all 
transactions claimed under the license.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  For CQEs to enter in -quota raw sugar: No.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No.  
34. What is the amount of the fee or 
charge?  Not applicable  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  Not applicable  
36. Amount or rate?  Not applicable  
37. Is it refundable?  Not applicable  
38. What is the period of retention?  Not applicable  
39. What is the purpose of t his 
requirement?  Not applicable  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  For CQEs to enter in -quota raw sugar: the foreign 
government may determine circumstances in which a CQE 
to export in -quota raw sugar may be refused.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No.  
41. Are the reasons for any refusal 
given to applicants?  For CQEs to enter in -quota raw sugar: the foreign 
government may provide reasons for refusing a CQE to 
export in -quota raw sugar.  
 
For specialty sugar in -quota: Yes.  
 
For re -export program: Yes.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  For CQEs to enter in -quota ra w sugar: the foreign 
government may provide an appeal mechanism for 
refusing a CQE to export in -quota raw sugar.  
 
For specialty sugar in -quota: Yes. Applicants can appeal 
denial of a license.  
 
For re -export program: Yes. Applicants can appeal denial 
of a license.  
43. If so, to what bodies and under 
what procedures?  USDA Foreign Agricultural Service, Office of Trade 
Programs, Import Policies and Export Reporting Division  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  For CQEs to enter in -quota raw sugar: No.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No.  
45. What documents are required 
upon actual importation?   G/LIC/N/3/USA/16  
 
- 18 - 
 
   For CQEs to enter in -quota raw sugar: A valid CQE.  
 
For specialty sugar in -quota: A valid specialty sugar 
certificate.  
 
For re -export program: A license number.   
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  For CQEs to enter in -quota raw sugar: No.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  For CQEs to enter in-quota raw sugar: the quota year for 
which it was issued.  
 
For specialty sugar in -quota: the quota year for which it 
was issued.  
 
For re -export program: Continuous and does not expire.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  For CQEs to enter in -quota raw sugar: the foreign 
government may penalize non -utilization of a CQE.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No.  
49. Are licences transferable between 
importers? If so, are any limita tions 
or conditions attached to such 
transfer?  For CQEs to enter in -quota raw sugar: CQEs are not 
issued to importers.  
 
For specialty sugar in -quota: No.  
 
For re -export program: No..  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formali ties must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
The following questions are only for products under restriction as to the quantity or value of imports 
(whether applicable globally or to a limited number of countries or whether established bilaterally or 
unilaterally):  
 
6.1 
Where is information on allocation and 
formalities for licenses published? Is 
the overall amount published? The 
amount allocated to goods from each 
country? The maximum amount 
allocated to each importer? How t o 
request any exceptions or derogations 
from the licensing requirement?  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 
CQEs, and the formalities for filing import license 
applications.  G/LIC/N/3/USA/16  
 
- 19 - 
 
  6.2 
Is the size of the quota determined: 
on yearly, six -monthly or quarterly 
basis? Are there cases wher e the size 
of quota is determined on a yearly 
basis but licenses are issued for 
imports on a six -monthly or quarterly 
basis? In the latter case, is it 
necessary for importers to apply for a 
fresh license on a six -monthly or 
quarterly basis?  For CQEs to ent er in -quota raw sugar: Quotas are 
determined on a yearly basis and licenses are issued on 
a yearly basis.  
 
For specialty sugar in -quota: Quotas are determined on 
a yearly basis and licenses are issued on a yearly basis.  
  
For re -export program: Yearly. No.  NOT APPLICABLE..  
6.3 
Are licenses allocated for certain 
goods partly or only to domestic 
producers of like goods? What steps 
are taken to ensure that licenses 
allocated are actually used for 
imports? Are unused allocations added 
to quotas for a succeeding period? Are 
names of importers to whom licenses 
have been allocated made known to 
governments and export promotion 
bodies of exporting countries upon 
request? If not, for what reason? 
(Indicate products to which replies 
relate)  For CQEs to enter  in-quota raw sugar: 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. The United States may reallocate unused 
shortfalls.  
 
For specialty sugar in -quota: Licenses are available to all 
qualifying applicants and are not associated with a 
specific allocation of the quota. Names of license -holders 
are available publicly and upon request.  
 
For re -export program: Licenses are availab le to all 
qualifying applicants and are not associated with a 
specific allocation of the quota. Names of license -holders 
are available publicly and upon request.  
6.4  
From the time of announcing the 
opening of quotas, as indicated in I 
above, what is the period of time 
allowed for the submission of 
applications for licenses?  Not applicable.  
6.5 
What are the minimum and maximum 
lengths of time for processing 
applications?  Not applicable.  
6.6 
How much time remains, at a 
minimum, between the granting of 
licenses and the date of opening of the 
period of importation?  Not applicable.  
6.7 
Is consideration of license applications 
effected by a single administrative 
organ? Or must the application be 
passed on to other organs for visa, 
note or appro val? If so, which? Does 
the importer have to approach more 
than one administrative organ?  For CQEs to enter in -quota raw sugar: Foreign 
governments issue CQEs.  
 
For specialty sugar in -quota: The United States 
Department of Agriculture administers the licen sing and 
certificate systems.  
 
For re -export program: The United States Department of 
Agriculture administers the licensing and certificate 
systems.  
6.8 
If the demand for licenses cannot be 
fully satisfied, on what basis is the 
allocation to applicants ma de? First 
come, first served? Past performance? 
Is there a maximum amount to be 
allocated per applicant and if so, on 
what basis is it determined? What 
provision is made for new importers?  For CQEs to enter in -quota raw sugar: Foreign 
governments issue CQ Es. 
 
For specialty sugar in -quota: There is no allocation 
associated with specialty sugar certificates. Entry is first 
come, first served.  
 
For re -export program: There is no allocation associated 
with specialty sugar certificates. Entry is limited by the 
refiners’ demand.  G/LIC/N/3/USA/16  
 
- 20 - 
 
  Are applications examined 
simultaneously or on receipt?   
6.9 
In the case of bilateral quotas or 
export restraint arrang ements where 
export permits are issued by exporting 
countries, are import licenses also 
required? If so, are licenses issued 
automatically?  Not applicable.  
6.10 
In cases where imports are allocated 
on the basis of export permits only, 
how is the importing country informed 
of the effect given by the exporting 
countries to the understanding 
between the two countries?  Not applicable.  
6.11 
Are there products for which licenses 
are issued on condition that goods 
should be exported and not sold in the 
domestic market?  For CQEs to enter in -quota raw sugar: No.  
 
For specialty sugar in -quota: No.  
 
For re -export program: Yes.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Raw Sugar (TRQ)   1701.13.10, 
1701.14.10   Raw sugar  
Specialty Sugar 
(TRQ)   1701.12.10, 
1701.91.10, 
1701.99.10, 
1702.90.10, 
2106.90.44   Includes: organic sugar, brown slab 
sugar, pearl sugar, vanilla sugar, 
rock candy, demerara sugar, 
dragees for cooking and baking, 
fondant caster sugar, golden syrup, 
golden granulated sugar, 
muscovado, molasses sugar, sugar 
decorations, sugar cubes, and other 
sugars as determined by USTR  
Refined Sugar 
(TRQ)   1701.12.10, 
1701.91.10, 
1701.99.10, 
1702.90.10, 
2106.90.44  Sugar, syrups, molasses  
Raw Sugar (Re -
export)   1701.13.20, 
1701.14.20  Raw sugar  
 
1.4  Certain Dairy Products  
Basic Information  
1. Outline of the system  Presidential Proclamation 6763 of December 23, 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 h ad been 
imposed pursuant to section 22 of the Agricultural 
Adjustment Act of 1933, as amended (7 U.S.C. 624); 
proclaimed tariff rate quotas (TRQs) for such articles 
pursuant to P.L. 103 465 (the Uruguay Round Agreements 
Act); and specified which imports of  dairy articles may 
require import licenses issued in accordance with the  G/LIC/N/3/USA/16  
 
- 21 - 
 
   terms and conditions in regulations issued by the 
Secretary of Agriculture.  
2. Product coverage  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 m ilk (note 8); 
dried buttermilk and whey (note 12); butter substitutes 
(note 14); other cheese, NSPF (note 16); blue mould  
cheese (note 17); Cheddar cheese (note 18); American 
cheese other than Cheddar (note 19); Edam and Gouda 
cheese (note 20); Italian typ e cheese (note 21); Gruyere 
process cheese (note 22); low fat cheese (note 23); and 
Swiss/Emmenthaler cheese (note 25).  
 
Customs and Border Patrol (CBP) administers an 
unlicensed, first -come -first-serve, import quota for other 
dairy products, as defined in  the Additional U.S. notes to 
Chapter 4 of the HTS.  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime   The licensing system is an administrative tool that 
governs the importation of certain dairy products subject 
to TRQs resulting from entry into force of the Uruguay 
Round Agreement. 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 
license. 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 charged against the license in effect. 
The licensing system was originally im plemented 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 s erves the same trade -stabilizing and 
equity purposes.  
5. Products under restriction as to 
the quantity or value of imports  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 cheese, 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).  
6. Qu estions for products under 
restriction as to the quantity or 
value of imports  See answers 6.1 -6.11 (see below)  G/LIC/N/3/USA/16  
 
- 22 - 
 
  7. The system applies to products 
originating from which country?  The licensing system applies to dairy products coming 
from all supplying countries  
8. Expected duration of licensing 
procedure  Applications for CY quota submitted by mid -October, 
notice of license issued approximately third -quarter of 
December.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  The licensing system is a statutory requirement. The 
authority to make such allocations was delegated to the 
Secretary of Agriculture by Presidential Proclamation 
3019 of June 8, 1953.  
10. Does the legislation leave 
designation of products to be 
subject to li censing to administrative 
discretion?  No. 
11. Is it possible for the government 
to abolish the system without 
legislative approval?  No. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  No, but importers must meet the eligibility requirements 
to import.  
13. What persons or firms are eligible 
to apply for a license?  Importers, Exporters, and manufacturers of dairy 
products are eligible to apply for import licenses 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 specified level of dairy 
production in a previous 12 month p eriod. In addition, 
manufacturers must be listed in USDA's "Dairy Plants 
Surveyed". The required documentation providing proof 
of importation must be submitted with application forms. 
Importer license eligibility is established primarily on the 
basis of pr oof of importation of the item during a specified 
representative period. Applicants can also qualify on the 
basis of exports, in which case licenses will only be issued 
for non -cheese items.  
14. Is there a registration fee?  There is a license fee but not a registration fee.  
15. Is there a published list of 
authorized importers?  Yes, for imports at the in -quota rate. Located at 
USDA/FAS Dairy Import Licensing Program page. Anyone 
may import at the over -quota rate. 
https://www.fas.usda.gov/programs/dairy -import -
licensing -program  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  USDA Foreign Agricultural Service, Office of Trade 
Programs, Import Policies and Export Reporting Division  
17. Address  1400 Independence Ave, SW, Stop 1021, Washington, 
DC, 20250  
18. Telephone  202-720-0638.  
19. Fax  Not applicable.  
20. E-Mail Address  Dairy -ils@fas.usda.gov.  
21. Website  https://www.fas.usda.gov/programs/dairy -import -
licensing -program  
22. Contact Officer  Not applicable.  G/LIC/N/3/USA/16  
 
- 23 - 
 
  Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Import Policies and Export Reporting Division, Office of 
Trade Programs, Foreign Agricultural Service (FAS), 
United States Department of Agriculture (USDA)  
Documentation Requirements  
24. What information is required in 
applications?  The information required in applications is set forth in the 
Dairy Tariff Rate Quota Import Licensing Regulation.  
25. What documents is the importer 
required to supply with the 
application?  For historical licenses, Form FAS 923; for non -historical 
licenses for cheese, Forms FAS 923 and 923A; for non -
historical licenses for non -cheeses, Forms FAS 923 and 
923B; for designated imports, Form FAS 923 and 
supplying country government must notify as designated 
importer. Applicant must include copies of entry and/or 
export summaries or in the case of manufacturers on 
being listed in the  Dairy Plants Approved Bulletin. As a 
part of the 2015 revision to the regulation, the Dairy 
Import Licensing Authority operates exclusively via an 
electronic system over the internet and precludes the use 
of mail and fax. All applications and communicatio ns must 
be done electronically, through the dedicated licensing 
system, which is available to anyone.  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  For products entering at the in-quota rate, individuals 
must apply annually between September 1 and October 
15 of the calendar year preceding importation.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  For p roducts entering at the in -quota rate, individuals 
must apply annually between September 1 and October 
15 of the calendar year preceding importation.  
Issuing the License  
28. Can a licence be granted 
immediately on request?  No. 
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No. However, products entering out -of-quota do not 
require a license and there are no limitations regarding 
quantity.  
30. Which administrative body is 
responsible for  approving application 
of licences?  USDA Foreign Agricultural Service  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No. Applicants have a single point of contact.  
32. Are there any other conditions 
attached to the is sue of a licence?  If licensee determines that it will not enter the entire 
amount permitted under its license, it shall surrender the 
amount it does not intend to enter no later than 1 
October . 
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Yes.  
34. What is the amount of the fee or 
charge?  A fee is charged for or associated with the issuance of 
licenses. For 2018, a fee of US$300.00 is charged. FAS 
publishes the fee for the upcoming year in the Federa l 
Register, usually in August.  G/LIC/N/3/USA/16  
 
- 24 - 
 
  35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  There are no circumstances under which an application for 
an historical license may be refused other than failure to 
meet the ordinary criteria is failure to complete the 
application electronic form and submit the full 
documentation requested within the application dea dline 
period. Allocation of nonhistorical licenses are approved 
on basis of a rank -order lottery system.  
41. Are the reasons for any refusal 
given to applicants?  Reasons for refusal to accept an application may be given 
to applicants upon request.  
42. Ha ve applicants a right of appeal 
in the event of refusal to issue a 
licence?  There are no rights of appeal. Failure to receive a license 
by one applicant does not reduce access to the TRQ 
amounts, since those amounts will be allocated to other 
applicants.  
43. If so, to what bodies and under 
what procedures?  Not applicable.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No. 
45. What documents are required 
upon actual importation?  At the time of the electronic filing for import entry, a 
license number must be presented along with the other 
information required for U.S. Customs import entry. The 
Licensing Authority may request copies of documents 
such as the through bill of lading and the invoice.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  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 products are 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 produ cts 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.  
 
Conditions of Licensing  
47. What is the period of validity of a  
licence? Can the validity be 
extended? How?  Licenses are valid from January 1 through December 31. 
License validity cannot be extended into the next quota 
year. 
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  Licensees who anticipate not meeting the 85 percent 
utilization requirement may voluntarily surrender unused 
amounts by October 1; otherwise that licensee will not be 
eligible the following year for that license. . The 85 
percent rule applies to a ll types of licenses (historical, 
non-historical, and designated). For historical licenses,  G/LIC/N/3/USA/16  
 
- 25 - 
 
   less than 85 percent utilization will result in permanent 
loss of that license, with the resulting TRQ quantity being 
moved to the non -historical category. Licen se quantities 
that are surrendered are reissued to other licensees who 
apply for unused license shares following an 
announcement by the Licensing Authority. Such licenses 
are issued through a random lottery process. Historical 
license TRQ quantities can al so be reduced if the licensee 
surrenders his import license for three consecutive years, 
although the provisions with respect to the reduction of 
historical licenses based on surrenders of unused 
quantities have been suspended until 2022. See Federal 
Regis ter Vol. 80, No. 143, pages 44251 -44258.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  Licenses are not transferable between importers. 
However, USDA may transfer a license, in the event that 
the company holding such license is sold or conveyed to 
another company, under conditions provided for in the 
regulation.  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
The following questions are only for products under restriction as to the quantity or value of imports 
(whether applicable globally or to a limited number of countries or whether established bilaterally or 
unilaterally):  
 
6.1 
Where is information on allocation 
and formalities for licenses 
published? Is the overall amount 
published? The amount allocated to 
goods from each country? The 
maximum amount allocated to each 
importer? How to request any 
exceptions or derogations f rom the 
licensing requirement?  The procedures for submitting license applications, 
eligibility criteria, license use requirements and other 
provisions of the regulation are codified in 7 CFR 6.20 -
6.36. The electronic application forms designated by the 
Licensing Authority, which are readily available from the 
Department, provide complete information on the TRQs 
and allocations by supplying country.  
 
Limitations on the size of individual licenses are in the 
regulation. Further program and allocation information is 
available on the Dairy Import Licensing program website 
(https://www.fas.usda.gov/programs/dairy -import -
licensing -program ) and in Federal Register no tices.  
6.2 
Is the size of the quota determined: 
on yearly, six -monthly or quarterly 
basis? Are there cases where the size 
of quota is determined on a yearly 
basis but licenses are issued for 
imports on a six -monthly or 
quarterly basis? In the latter case,  is 
it necessary for importers to apply 
for a fresh license on a six -monthly 
or quarterly basis?   Licenses are issued on an annual basis.  
 
Licenses are issued to:  
 
- Historical licensees are issued each year for the same 
volume of imports from the same su pplying countries 
provided applications are submitted, and the eligibility 
criteria, license use provisions, and other requirements of 
the Import Regulation are met;  
 
- Designated licenses are issued annually for certain 
cheese articles to eligible applica nts who are designated G/LIC/N/3/USA/16  
 
- 26 - 
 
  by the government of the country of origin as preferred 
importers;  
 
- Non historical (lottery) licenses are issued annually 
through a random lottery system. Licenses received for a 
specific cheese or non -cheese dairy product are not 
renewable in the following year. Eligible applicants may 
apply annually for a license.  
 
-Unused and surrendered portions of licenses can be 
reallocated during the calendar year.  
6.3 
Are licenses allocated for certain 
goods partly or only to domestic 
producers of like goods? What steps 
are taken to ensure that licences 
allocated are actually used for 
imports? Are unused allocations 
added to quotas for a succeeding 
period? Are names of importers to 
whom licences have been allocated 
made known t o governments and 
export promotion bodies of 
exporting countries upon request? If 
not, for what reason? (Indicate 
products to which replies relate)  Licenses are allocated to importers of dairy products 
regardless of whether they are producers of like produ cts. 
Unused allocations may not be added to the allocation of 
the succeeding year. The Import Regulation requires that 
licensees must utilize 85% of the licenses issued and have 
the option to surrender voluntarily unused amounts, which 
are then reallocated , the same year, to other eligible 
licensees through an application process. A list of names 
of licensed importers is published on the FAS website each 
year. The list can be found on the internet at: 
http://www.fas.usda.gov/programs/dairy -import -
licensing -program.  
6.4  
From the time of announcing the 
opening of quotas, as indicated in I 
above, what is the period of time 
allowed for the submission of 
applications for licenses?  Applications are processed to determine if the eligibility 
criteria in the Import  Regulations are met. In general, over 
500 applications are reviewed, and the application process 
is completed within six weeks. Applications for licenses 
must be submitted between September 1 and October 15.  
6.5 
What are the minimum and 
maximum lengths of time for 
processing applications?  Licenses are issued for use beginning 1 January and 
generally issued in the last two weeks of December.  
6.6 
How much time remains, at a 
minimum, between the granting of 
licenses and the date of opening of 
the period of importation?  Licenses are generally issued in the last two weeks of 
December for use beginning 1 January.  
6.7 
Is consideration of license 
applications effected by a single 
administrative organ? Or must the 
application be passed on to other 
organs  for visa, note or approval? If 
so, which? Does the importer have to 
approach more than one 
administrative organ?  Only the Import Policies and Export Reporting Division, 
Office of Trade Programs, Foreign Agricultural Service, 
United States Department of Ag riculture, considers license 
applications on dairy products.  
6.8 
If the demand for licenses cannot be 
fully satisfied, on what basis is the 
allocation to applicants made? First 
come, first served? Past 
performance? Is there a maximum 
amount to be allocate d per applicant 
and if so, on what basis is it 
determined? What provision is made 
for new importers? Are applications 
examined simultaneously or on 
receipt?  Some licenses are issued on a historical basis, and proof 
of importation is required. Non -historica l licenses are 
issued through a rank -ordered lottery system. Maximum 
quantities are specified in 7 CFR Part 46.  G/LIC/N/3/USA/16  
 
- 27 - 
 
  6.9 
In the case of bilateral quotas or 
export restraint arrangements where 
export permits are issued by 
exporting countries, are import 
licenses also required? If so, are 
licenses issued automatically?  Export permits from foreign countries are not required.  
6.10 
In cases where imports are allocated 
on the basis of export permits only, 
how is the importing country 
informed of the effect gi ven by the 
exporting countries to the 
understanding between the two 
countries?  Not applicable.  
6.11 
Are there products for which licences 
are issued on condition that goods 
should be exported and not sold in 
the domestic market?  No.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Butter  
(Additional U.S. 
Note 6)   0401.50.50, 
0403.90.74 
and 
0405.10.10  butter, and fresh or sour cream 
containing over 45 percent by 
weight of butterfat  
Dried Skim Milk  
(Additional U.S. 
Note 7)   0402.10.10 
and 
0402.21.05  dried milk, whether or not 
containing added sugar or other 
sweetening matter  
Dried Whole Milk  
(Additional U.S. 
Note 8)   0402.21.30 
and 
0403.90.51  dried milk and dried cream, whether 
or not containing add ed sugar or 
other sweetening matter  
Dried Buttermilk / 
Whey  
(Additional U.S. 
Note 12)   0403.90.41 
and 
0404.10.50  dried milk, dried cream and dried 
whey, the foregoing whether or not 
containing added sugar or other  
sweetening matter  
Butter Substitutes  
(Additional U.S. 
Note 14)   0405.20.20, 
0405.90.10, 
2106.90.24 
and 
2106.90.34  butter substitutes containing over 
45 percent by weight of butterfat  
Other Cheese -NSPF 
(Additional U.S. 
Note 16)   0406.10.04, 
0406.10.84, 
0406.20.89, 
0406.30.89 
and 
0406.90.95  cheeses and substitutes for cheese 
(except (i) cheese not containing 
cow's milk; (ii) soft ripened cow's 
milk cheese; (iii) cheese (except 
cottage cheese) containing 0.5 
percent or less by weight of 
butterfat; and, (iv) articles within 
the scope of other import quotas 
provided for in additional U.S. notes 
17 through 25, inclusive, to HTS 
Chapter 4)  
Blue Mold  
(Additional U.S. 
Note 17)   0406.10.14, 
0406.20.24, 
0406.20.61, 
0406.30.14, 
0406.30.61, 
0406.40.54, blue-mold cheese (except Stilton 
produced in the United Kingdom) 
and cheese and substitutes for 
cheese containing, or processed 
from, blue -mold cheese  G/LIC/N/3/USA/16  
 
- 28 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
0406.40.58 
and 
0406.90.72  
Chedda r 
(Additional U.S. 
Note 18)   0406.10.24, 
0406.20.31, 
0406.20.65, 
0406.30.24, 
0406.30.65, 
0406.90.08 
and 
0406.90.76  Cheddar cheese and cheese and 
substitutes for cheese containing, or 
processed from Cheddar cheese  
American -type 
including Colby  
(Additional U.S. 
Note 19)   0406.10.34, 
0406.20.36, 
0406.20.69, 
0406.30.34, 
0406.30.69, 
0406.90.52 
and 
0406.90.82  American -type cheese, including 
Colby, washed curd and granular 
cheese (but not including Cheddar 
cheese), and cheese and substitutes 
for chees e containing, or processed 
from, such American -type cheese  
Edam and Gouda  
(Additional U.S. 
Note 20)   0406.10.44, 
0406.20.44, 
0406.20.73, 
0406.30.44,  
0406.30.73, 
0406.90.16 
and 
0406.90.86  Edam and Gouda cheeses and of 
cheese and substitutes for cheese 
containing, or processed from,  
Edam and Gouda cheese  
Italian -Type 
(Additional U.S. 
Note 21)   0406.10.54, 
0406.20.51, 
0406.20.77, 
0406.30.77, 
0406.90.31, 
0406.90.36, 
0406.90.41 
and 
0406.90.66  Italian -type cheeses, made from 
cow's milk, in original loaves 
(Romano made from cow's milk, 
Reggiano, Parmesan, Provolone, 
Provoletti and Sbrinz); and Italian -
type cheeses, made from cow's 
milk, not in original loaves (Romano 
made from cow's milk, Reggiano, 
Parmesan, Provolone, Provoletti, 
Sbrinz and Goya) and of cheese and 
substitutes for cheese containing, or 
processed from, such Italian -type 
cheeses  
Gruyere -Processed  
(Additional U.S. 
Note 22)   0406.10.64, 
0406.20.81, 
0406.30.51, 
0406.30.81 
and 
0406.90.90  Swiss or Emmentaler cheese other 
than with e ye formation, Gruyere -
process cheese and of cheese and 
substitutes for cheese containing, or 
processed from, such cheeses  
Other Cheese -NSPF 
Low-fat 
(Additional U.S. 
Note 23)  
  0406.10.74, 
0406.20.85, 
0406.30.85, 
0406.90.93 
and 
1901.90.34  cheese, and substitutes for cheese, 
containing 0.5 percent or less by 
weight of butterfat (except articles 
within the scope of other import 
quotas provided for in additional 
U.S. notes 16 through 22, inclusive, 
or additional U.S. notes 24 and 25 
to HTS Chapter 4) and margarine 
cheese  
Swiss and 
Emmenthaler 
Cheese with Eye 
Formation   0406.90.46  Swiss and Emmentaler cheese with 
eye formation  G/LIC/N/3/USA/16  
 
- 29 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
(Additional U.S. 
Note 25)     
 
2  DEPARTMENT OF COMMER CE 
2.1  International Trade Administration  
2.1.1   Steel  
Basic Information  
1. Outline of the system  The original U.S. steel licensing program was established 
on December 31, 2002, as part of the section 201 
safeguard action on certain steel products. On March 11, 
2005, the Department of Commerce issued an interim 
final rule continuing the prog ram for four years under new 
statutory authority unrelated to the safeguard action. The 
Department also modified the product coverage of the 
program, removing certain previously covered 
downstream products from the licensing requirements. On 
December 5, 20 05, the Department published a final rule 
that made final an interim final rule that expanded and 
extended the Steel Import Monitoring and Analysis (SIMA) 
system until March 21, 2009. Although there were no 
changes from the interim final rule, this documen t 
provides details about the current SIMA system as 
detailed in the final rule. On March 18, 2009, following 
publication of a preliminary rule (73 FR 75624) and final 
rule (74 FR 11474), the authority to continue the licensing 
system was extended until Mar ch 21, 2013. No other 
changes were made. On February 15, 2013, the authority 
was extended until March 21, 2017, similarly following 
publication of a preliminary (77 FR 67593) and final rule 
(78 FR 11090) (G/LIC/N/1/USA/6/Add.2 and 
G/LIC/N/1/USA/6/Add.2/Cor r.1). No other changes were 
made. On January 5, 2017, the authority was extended 
until March 21, 2022, following publication of a 
preliminary (81 FR 70650) and final rule (82 FR 1183) 
(G/LIC/N/3/USA/13, 8 November 2016). No other 
changes were made.  
2. Product coverage  The steel import licensing program covers all basic steel 
mill products. Certain downstream steel products 
previously covered by the system, pipe fittings and 
flanges, have been removed from the system and the 
licensing requirements. In to tal there are over 700 
products covered, each identified by HTS number; the full 
list is available on 
http://enforcement.trade.gov/steel/license/index.html 
(Please note there were official U.S. harmonized tariff 
system code changes in January 2006, January  2007, 
February 2007, July 2007, January 2008, July 2008, 
January 2009, July 2009, January 2010, July 2010, 
January 2011, July 2011; January and July 2012; January 
and July 2013; January 2014; and January and July 2017, 
and January and March 2018).  
 
 G/LIC/N/3/USA/16  
 
- 30 - 
 
  Natu re of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Import monitoring.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Not applicable.  
5. Products under restriction as to 
the quantity or value of imports  This licensing is not intended to restrict the quantity or 
value of imports. It is designed to provide fast and reliable 
statistical information on steel imports to both the 
government and the public.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not Applicable  
7. The system applies to products 
originating from which country?  The steel licensing system applies to goods originating in 
and coming from all countries.  
8. Expected duration of licensi ng 
procedure  Currently March 2022.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  No.  The governing statute authorizes the collection of 
information from all persons exporting from, or importing 
into, the United States.  The final rule extending the 
system until March 21, 2022, was published on January 
5, 2017, in the Federal Register (82 FR 1183). A copy is 
also available on the steel licensing website, 
http://enforcement.trade.gov/steel/  
license/index.html.  
10. Does the legislation le ave 
designation of products to be 
subject to licensing to administrative 
discretion?  Yes. 
11. Is it possible for the government 
to abolish the system without 
legislative approval?  Yes. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  The registration form is available on the steel import 
licensing website: http://enforcement.trade.gov/steel/  
license/index.html. The registrant fills in the requested 
demographic informa tion and submits it to the steel 
license team electronically. The team issues the registrant 
a unique user ID to access the license module.  Once in 
the license module, the registrant can file for a 9 -digit 
steel license number, which is required as part o f the CBP 
Entry Summary for goods brought into the U.S. for 
consumption.  
13. What persons or firms are eligible 
to apply for a license?  Only registered users are permitted to file steel licenses.  
14. Is there a registration fee?  No. 
15. Is there a published list of 
authorized importers?  Information of registered users is kept confidential.  
 G/LIC/N/3/USA/16  
 
- 31 - 
 
  Contact Point for Information on Eligibility  
16. Ministry/Authority  International Trade Administration, Department of 
Commerce  
17. Address  1401 Constitution Ave NW, Washington, DC 20230  
18. Telephone  202-482-2105 
19. Fax  202-501-1377 
20. E-Mail Address  Steel.License@trade.gov  
21. Website  http://enforcement.trade.gov/steel/  
license/index.html  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  International Trade Administration, Department of 
Commerce  
 
Documentation Requirements  
24. What information is required in 
applications?  A list of the fields required on the applications is available 
at :  https://enforcement.trade.gov/steel/  
license/forminstructions.html  
The fields include shipper and shipmen t information 
(name, address, contact, country of origin, date of 
expected importation), product information (up to 10 
products (HTS codes), value and volume of the imports)  
25. What documents is the importer 
required to supply with the 
application?  The l icense filer submits demographic information from 
the registration, and entry specific information detailing 
10-digit Harmonized Tariff Schedule (HTS) number, 
volume in kilograms, and value in U.S. dollars for each 
product imported.  
  
Window of Submission  of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  Steel import licenses may be applied for up to 60 days 
prior to the expected date of importation and until the 
date of filing of the entry summary documents, o r in the 
case of FTZ entries, the filing of Customs and Border 
Protection (CBP) Form 214. The license is valid for 75 
days.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  Yes. The license number is electronically generated, and 
electronically given to the filer immediately upon 
completing the license information.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  Yes. 
 
30. Which administrative body is 
responsible for approving application 
of licences?  International Trade Administration, Department of 
Commerce  
31. Must the applications  be passed 
on to other organs for visa, note or 
approval?  No. G/LIC/N/3/USA/16  
 
- 32 - 
 
  32. Are there any other conditions 
attached to the issue of a licence?  No.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  There is no licensing fee.  
34. What is the amount of the fee or 
charge?  Not applicable.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  There is no deposit or advance payment requirement 
associated with the issue of licenses.  
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  Applicants are not refused steel license numbers, 
provided the requested information in the license form is 
provided.  
41. Are the reasons for any r efusal 
given to applicants?  Not applicable.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Not applicable  
43. If so, to what bodies and under 
what procedures?  Not applicable  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No. 
45. What documents are required 
upon actual importation?  The 9 -digit steel license number is required as part of the 
CBP Entry Summary for goods brought into the U.S. for 
consumption.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  No. 
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Steel import licenses may be applied for up to 60 days 
prior to the expected date of importation and until the 
date of filing of the entry summary documents, or in the 
case of FTZ entries, the filing of CBP Form 214. The license 
is valid for 75 days, but may be used only once.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  No.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No, licenses are not transferable between importers; they 
are unique for each entry.  G/LIC/N/3/USA/16  
 
- 33 - 
 
  Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable  
 
Product Co verage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Steel - there are 
over 700 products 
covered. The full list 
can be found: - 
http://enforcement.t
rade.gov/steel/licen
ce/index.html   See 
https://enforcement.trade.gov/steel/license/
SMP_byHTS.pdf   
 
3  DEPARTMENT OF ENERGY  
3.1  Natural gas  
Basic Information  
1. Outline of the system  Imports of natural gas, whether by pipeline or in the form 
of liquefied natural gas (LNG), are regulated under section 
3 of the Natural Gas Act (NGA) (15 U.S.C. § 717b).  NGA 
section 3(a), 15 U.S.C. § 717b(a), provides, in relevant 
part, that “no person sh all ... import any natural gas from 
a foreign country without first having secured an order ... 
authorizing it to do so.”  Section 3(a) also provides that 
such orders shall be issued unless, after opportunity for 
hearing, it is found that the proposed impo rtation will not 
be consistent with the public interest.  
 
Authority over imports of natural gas rests with the 
Secretary of Energy.  That authority has been delegated 
to the Under Secretary of Energy pursuant to Delegation 
Order No. 00 -002.00Q (Nov. 1, 20 18) and further 
delegated to the Assistant Secretary for Fossil Energy 
under Re -delegation Order No. 00 -002.04G (June 4, 
2019).  
 
Section 201 of the Energy Policy Act of 1992 (EPACT 92), 
enacted on October 24, 1992, amended NGA section 3.  
Under NGA section s 3(b) and (c), as amended, imports of 
natural gas from “a nation with which there is in effect a 
free trade agreement requiring national treatment for 
trade in natural gas,” and imports of liquefied natural gas 
(LNG) are “deemed to be consistent with the public 
interest, and applications for such importation … shall be 
granted without modification or delay.”  G/LIC/N/3/USA/16  
 
- 34 - 
 
   To date, all imports of natural gas, including LNG, have 
been subject to review under NGA section 3(c).  
Therefore, DOE’s obligation to make a public interest 
finding for such imports has been eliminated.  Likewise, 
DOE does not apply its requirement for public notice of 
applications and other hearing -type procedures in 10 
C.F.R. Part 590, nor does it conduct a review of import 
applications under  the National Environmental Policy Act.  
In sum, DOE’s review of import applications is ministerial 
in nature.  After an import application is reviewed for 
completeness, DOE issues the requested authorization 
“without modification or delay,” as required by  NGA 
section 3(c).  
 
Separately, the Secretary of Energy has delegated 
authority to the Federal Energy Regulatory Commission 
(FERC) (Delegation Order No. 00 -004.00A (May 16, 
2006)) to approve or disapprove the siting, construction, 
and operation of particul ar facilities used in the import of 
natural gas, 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.  
2. Product coverage  The products covered a re imports of natural gas, including 
LNG and compressed natural gas (CNG).  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not Applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Please see the response above for “Outline of the system”  
 
Additionally, DOE imposes standard reporting 
requirements as part of each import authorization.  
5. Products under restriction as to 
the quantity or value of imports  DOE issues eac h import authorization based on the 
applicant’s requested volume.  There are no other 
quantity restrictions imposed, and no value restrictions 
imposed.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not Applicable.  
7. The system applies to products 
originating from which country?  The system applies to natural gas originating from any 
foreign country.  
8. Expected duration of licensing 
procedure  Upon receipt of a complete application, DOE will issue an 
import authorization “without modification or delay,” as 
required by NGA section 3(c).  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Yes. 
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  “Natural gas” is defined under the Natural Gas Act (15 
U.S.C. § 717a (5)), as well as under DOE’s regulations 
(10 C.F.R. §  590.102(i)).  DOE may be required to 
determine whether particular products constitute “natural 
gas” under these definitions.   
11. Is it possible for the government 
to abolish the system without 
legislative approval?  No. 
 G/LIC/N/3/USA/16  
 
- 35 - 
 
  Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Yes.  Upon the applicant’s request, DOE will grant “agency 
rights” as part of an import authorization.  Agency rights 
procedures allow authorization holders to import natural 
gas as agents on behalf of other persons or entities that 
hold title to the natur al gas.  Each import authorization 
specifies standard requirements associated with agency 
rights.  For example, the authorization holder is 
responsible for registering the identity of the title holder 
with DOE.   
13. What persons or firms are eligible 
to apply for a license?  All persons, as defined in DOE’s regulations, are eligible 
to apply for authorization to import natural gas (10 C.F.R. 
§ 590.102(m)).  Traditionally, entities applying for such 
authorizations have been natural gas pipeline companies, 
natural gas producers, natural gas marketers, and utility 
companies.  
14. Is there a registration fee?  Yes.  A filing fee of US$ 50.00 is charged for each 
application.  
15. Is there a published list of 
authorized importers?  Authorizations are available for public inspection on DOE’s 
Office of Fossil Energy’s website and in person at DOE’s 
headquarters.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Department of Energy’s Office of Fossil Energy  
17. Address  1000 Independence Ave., SW Washington, DC 20585  
18. Telephone  202-586-6660 
19. Fax  202-586-6050; 6221  
20. E-Mail Address  fergas@hq.doe.gov  
21. Website  https://www.energy.gov/fe/services/natural -gas-
regulation/how -obtain -authorization -import -andor -
export -natural -gas-and-lng 
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Department of Energy’s Office of Fossil Energy  
 
Documentation Requirements  
24. What information is required in 
applications?  For applications requesting a short -term (or “blanket”) 
import authorization (up to two years), the applications 
are submitted on a standardized form through DOE’s web -
based electronic filing system.   
 
The applicat ion requests information including (but not 
limited to) the following:  the applicant’s name, address, 
and principal place of business; the requested form of 
transport for the importation; the country(ies) from which 
the natural gas will be imported; the r equested import 
volume; and the requested effective date for the 
authorization.  
  
For applications requesting a long -term authorization 
(greater than two years), the applications typically are 
submitted via email to DOE’s Office of Fossil Energy, using 
a general format based on the application requirements 
set forth in DOE’s regulations (10 C.F.R. §§ 590.201,  G/LIC/N/3/USA/16  
 
- 36 - 
 
   590.202).  The required information includes the same 
information as identified above for short -term 
applications, as well as other information set forth in the 
regulations.  
25. What documents is the importer 
required to supply with the 
application?  Only an application for an import authorization must be 
submitted.  No other supporting documents are required.  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  DOE’s regulations (10 C.F.R. § 590.201(b)) specify that 
an application requesting an import authorization should 
be filed “at least 90 days” prior to  the requested import 
activity.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No, there is no “immediate” approval.  Upon receipt of a 
complete application, DOE will issue an import 
authorization “without modification or delay,” as required 
by  
NGA section 3(c).  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  For DOE’s approval process, please see the above 
response for “Expected duration of licensing procedure.”   
 
There are no provisions for imports of natural gas arriving 
at a port without a valid authorization.  
30. Which administrative body is 
responsible for approving application 
of licences?  DOE’s Office of Fossil Energy  
 
Within the Office of Fossil Energy, import applications are 
processed by the Office of Oil and Natural Gas’s Office of 
Regulation, Analysis, and Engagement.  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No. 
32. Are there any other conditions 
attached to the issue of a licence?  DOE imposes standard conditions in each import 
authorization, including the effectiv e dates of the 
authorization and monthly reporting requirements 
(discussed below).  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Yes.  
34. What is the amount of the fee or 
charge?  A filing fee of US$ 50.0 0 is charged for each application.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  There is no deposit or advance payment requirement 
associated with the issuance of an order to import natural 
gas or LNG.  
36. Amount or rate?  Not Applicable.  
37. Is it refundable?  Not Applicable.  
38. What is the period of retention?  Not Applicable.  
39. What is the purpose of this 
requirement?  Not Applicable.  
 G/LIC/N/3/USA/16  
 
- 37 - 
 
  Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  If an applicant has submitted a complete import 
application in accordance with DOE’s regulations ( e.g., 10 
C.F.R. §  590.202), DOE is required to grant the 
application “without modification or delay” (NGA section 
3(c)).  There are no other discretionary grounds for 
denial.  
41. Are the reasons for any refusal 
given to applicants?  To date, DOE has never denied a complete application to 
import natural gas.   
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Generally speaking, appeals are subject to procedures for 
rehearing and appeal, as specified in DOE’s regulations 
(10 C.F.R. §  590.501) and NGA section 19, 15 U.S.C. 
§ 717r.  However, because DOE is required by statute to 
grant a qualifying application as explained above, DOE 
cannot foresee a scenario where an applicant would 
appeal.  
43. If so, to what bodies and under 
what procedures?  Any request for rehearing and appeal woul d be processed 
by DOE’s Office of Fossil Energy as specified in 10 C.F.R. 
§ 590.501.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No. 
45. What documents are required 
upon actual importation?  Each import authorization includes a standard monthly 
reporting condition.  Information required to be reported 
includes the origin of the import, the volume, price, 
names of sellers and buyers, and other details of the 
import transactions.  T hese reports are due on the month 
following the importation.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  No. 
 
Conditions of Licensing  
47. What is th e period of validity of a 
licence? Can the validity be 
extended? How?  Most import authorizations are short -term (or “blanket”) 
authorizations, with a duration of up to two years.   
 
As explained above, long -term authorizations may be 
granted for a period g reater than two years, based on the 
applicant’s request.  
 
An applicant may file an application requesting a new 
import authorization to commence immediately after its 
existing authorization expires.  
 
Additionally, a long -term authorization holder may file a 
request to amend its existing authorization to extend the 
term of its authorization.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  No. 
49. Are licences transferable between 
importers? If so, are any limit ations Yes, but a transfer of an authorization must be approved 
pursuant to DOE’s regulations (including but not limited 
to 10 C.F.R. §  590.405).  Additionally, DOE’s procedures G/LIC/N/3/USA/16  
 
- 38 - 
 
  or conditions attached to such 
transfer?  regarding changes in control may appl y, see U.S. Dep’t of 
Energy, Procedures for Changes in Control Affecting 
Applications and Authorizations to Import or Export 
Natural Gas,  79 Fed. Reg. 65,541  (Nov. 5, 2014).  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not Applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not Applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not Applicable.  
53. What formalities  must be fulfilled 
for obtaining the foreign exchange?  Not Applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Natural gas, 
including liquefied 
gas (LNG), and 
compressed 
natural gas (CNG)   Liquefied: 
2711.11.0000 
FREE 
In gaseous 
state:  
2711.21.0000 
FREE Petroleum gases and other gaseous 
hydrocarbons: Liquefied: Natural 
gas.    
Petroleum gases and other gaseous 
hydrocarbons: In gaseous state: 
Natural gas   
 
4  DEPARTMENT OF INTERI O 
4.1  US Fish and Wildlife Service  
4.1.1   Fish and Wildlife (including endangered species)  
Basic Information  
1. Outline of the system  On August 25, 1980, the Fish and Wildlife Service (the 
Service) published final rules revising 50 CFR Part 14 
(Importation, Exportation, and Transp ortation of Wildlife) 
to implement provisions of a number of wildlife laws 
enforced by the Service. Subsequent updates were made 
in 1985, 1987, 1994, 1996, 1998, 1999, 2002, 2004, and 
2009. As part of that rulemaking and under authority of 
the Endangered S pecies Act of 1973 (ESA), an 
import/export licence is required for any person who 
engages in 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 engage in business as an importer 
or exporter of fish or wildlif e (other than certain shellfish 
or fishery products) without first having obtained 
permission from the Secretary of the Interior.  
 The licence requirement is found at 50 CFR 14.91 93. 
Presently licensees must:  G/LIC/N/3/USA/16  
 
- 39 - 
 
   (1) obtain an import/export license for US$ 100 per year; 
(2) pay inspection fees that vary depending on whether 
the commodity involves live and/or protected wildlife, and 
the port of import or export, prior to the inspection; (3) 
importers or exporters of wildlife pay fees for actual costs 
of inspections conducted at special times or locations at 
the importer's or exporter's request; (4) keep certain 
records and retain them for five years; (5) allow Service 
inspection of records and inventories of imported wildlife 
or wildlife to be exported; an d (6) file any reports 
requested by the Service.  
 
Licensees who exclusively import or export shipments that 
do not contain live or protected wildlife, contain 25 or 
fewer wildlife products, and contain a value of $5,000 or 
less of wildlife products are exe mpted from the designated 
port base inspection fee.  
 
Exceptions to the license requirement are found at 50 CFR 
14.92. Certain persons exempted from the license 
requirement by 50 CFR 14.92(b) must still comply with 
the requirements of section 9(d) of the E SA, 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 or wildlife to be exported.  
2. Product coverage   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 w ild 
mammal, bird, reptile, amphibian, fish, mollusk , 
crustacean, arthropod, coelenterate, or other 
invertebrate, whether or not bred, hatched, or born in 
captivity, and including any part, product, egg, or 
offspring thereof.  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Import/export licenses are valid for one year.  
Import/export licensees must renew their impo rt/export 
license each year.    
5. Products under restriction as to 
the quantity or value of imports  The licensing system is not intended to restrict the 
quantity or value of imports. The purposes of the license 
requirement are to: identify 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 
wildlife or wildlife to be exported, remove repeat wildlife 
law viol ators from commercial wildlife trade, improve 
communications between the Service and commercial G/LIC/N/3/USA/16  
 
- 40 - 
 
  wildlife importers and exporters, and assist the Service in 
its effort to conserve endangered and threatened species 
and identify species which may be threatene d or 
endangered.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  The licensing system applies to any person who "engages 
in business as a n importer or exporter of wildlife". That 
phrase means for a person to devote time, attention, 
labor or effort to any activity for 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 license requirement by 50 CFR 
14.91(c) and 14.92(b) include:  
 
(1) common carriers, when engaged as transporters, not 
as an importer or exporter;  
 (2) customs house brokers or freight forwarders when 
engaged as transporters or agents, not as an importer or 
exporter;  
 (3) public museums, or other public, scientific, or 
educational institutions, importing or exporting wildlife for 
research or educatio nal purposes and not for resale; and  
 (4) Federal, State, tribal, or municipal agencies.  
8. Expected duration of licensing 
procedure  Import/export license requirements are codified in the 
Code of Federal Regulations and no changes are 
anticipated at this time. 
 
Legal Requirements  
9. Is the licensing statutorily 
required?  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 fir st having obtained permission from 
the Secretary [of the Interior]".  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  By regulation the term "permission" was treated as a 
grant of authority to require a license. Exceptions to the 
license requirement can be created by regulation. Further, 
the coverage of the license 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".  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  The system cannot be abolished without legislation.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Not applicable.  
13. What persons or firms are eligible 
to apply for a license?  All persons, firms, and institutions are eligible to apply for 
a license (unless they have failed to meet issuance criteria 
as established in 50 CFR 13).  
14. Is there a registration fee?   
15. Is there a published list of 
authorized importers?  The Privacy Act prohibits published lists of importers or 
exporters.  G/LIC/N/3/USA/16  
 
- 41 - 
 
  Contact Point for Information on Eligibility  
16. Ministry/Authority  US Fish and Wildlife Service, Department of Interior  
17. Address  1849 C St NW, Washington, DC 20240  
18. Telephone  202-208-6541 
19. Fax  Not applicable.  
20. E-Mail Address  Not applicable.  
21. Website  https://www.fws.gov/permits/instructions/  
ObtainPermit.html  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  US Fish and Wildlife Service, Department of Interior  
 
Documentation Requirements  
24. What information is required in 
applications?  The following information is required:  
 
(1) applicant's name, mailing address, and phone 
number, including the U.S. address for foreign applicants;  
 (2) if the applicant is an ind ividual, the applicant’s date 
of birth, last four digits of the social security number, 
occupation, and business or institutional affiliation, if any, 
having to do with the wildlife to be covered by the license;  
 (3) if the applicant is a corporation, firm , partnership, 
institution, or agency, either private or public, the name 
and address of the president, all partners and principal 
officers, the tax identification number, and a brief 
description of the business, agency, Tribe, or institution;  
 (4) certifi cation 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 in Sub 
chapter B of Chapter I of Title 50, and I fur ther 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";  
 (5) date;  
 (6) signature of the applicant;  
 (7) a statement of where books or records concerning 
wildlife imports or exports will be kept, including contact 
information;  
 (8) a statement of where inventories of wildlife will be 
stored, including contact information;  
 (9) a general description of th e wildlife or wildlife 
products to be imported or exported (including whether 
the wildlife is live, dead, or a product), the class of wildlife 
to be imported or exported, such as "mammal" or "reptile" 
and whether the wildlife is venomous; and  
 (10) for app licants residing or located outside of the 
United States conducting commercial activities, the name, 
physical address, and telephone number of their agent 
located in the United States who will maintain the records 
required under the import/export license.  
25. What documents is the importer 
required to supply with the 
application?  Not applicable.  G/LIC/N/3/USA/16  
 
- 42 - 
 
  Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  No time limit is set for receiving an applica tion in advance 
of importation; however, the Service has 60 days to 
process a license 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 o r exporter of wildlife without first having 
obtained a valid import/export license from the Director 
(of the Service). It is required that applications for license 
renewals be received by the issuing office at least 30 days 
before the current license expir es. 
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  The Service has 60 days to process a license application 
which must be issued prior to an importation or 
exportation.  A license can be issued for goods arriving at 
a port however, thos e goods cannot be imported until the 
license is issued.   
30. Which administrative body is 
responsible for approving application 
of licences?  Applications are submitted to and processed by Service 
law enforcement regional offices.  
31. Must the application s be passed 
on to other organs for visa, note or 
approval?  No.  
32. Are there any other conditions 
attached to the issue of a licence?  (a) A license may be amended with restrictions on the 
wildlife trade that may be conducted, including species, 
number of specimens, and intended uses, in cases where 
the applicant has previously violated wildlife trade 
regulations or otherwise fails to meet the criteria for 
applicants described in 50 CFR § 13.21.  
 
(b) In addition to the general conditions found in 50 CFR 
Part 13, under 50 CFR 14.93(b) licensees are subject to 
the following special conditions:  
 
(i) the licensee shall, from the effective date of the 
license , keep such records as will fully and correctly 
disclose each importation or exportation of wild life 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 wildlif e, in numbers, weight, or other 
appropriate measure; the common and scientific names; 
the country or 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;  G/LIC/N/3/USA/16  
 
- 43 - 
 
   (ii) 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;  
 
(iii) licensees shall maintain such books and records for a 
period of five years;  
 
(iv) subject to applicable limitations o f 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 or the wildlife to be 
exported and the reco rds required to be kept and an 
opportunity to copy such records;  
 
(v) 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.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Yes.  
34. What is the amount of the fee or 
charge?  The license fee is US$ 100.00.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  Applications must be accompanied by the license  fee. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  Applications must meet the provisions of 50 CFR 13.11 
and 13.12. Under 50 CFR 13.21(b) a license  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 rel ating 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 their 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 Direct or finds through further inquiry or 
investigation, or otherwise, that the applicant is not 
qualified.  
41. Are the reasons for any refusal 
given to applicants?  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 reasons why the license  should be 
granted.  G/LIC/N/3/USA/16  
 
- 44 - 
 
  42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  The final action by the Director is considered the final 
administrative decision of the Department of the Interior.  
43. If so, to what bodies and under 
what procedures?  Not applicable.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  An import/export license is only permission to engage in 
business as an importer or exporter of wildlife. Such a 
license is in addition to, and does not supersede, any 
other requirement established by law for the importation 
or exportation of wildlife.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  A licensee must compl y 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, including permitting 
requirements under Federal  statutes such as the 
Endangered Species Act, the Bald and Golden Eagle 
Protection Act, the Marine Mammal Protection Act, the 
Wild Bird Conservation Act, the Migratory B ird Treaty Act, 
and the Lacey Act, for injurious wildlife. A licensee must 
provide advance notification of imports or exports of live 
or perishable wildlife.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Licenses are valid for one year. The licensee must apply 
for renewal to the issuing office at least 30 days before 
the current license expires.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence? If a licensee discontinues engaging in business as an 
importer or exporter of wildlife, the licensee must within 
30 days mail the license and a request for cancellation to 
the issuing officer.  
49. Are licences transferable between 
importers? If so, a re any limitations 
or conditions attached to such 
transfer?  Licenses 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 license.  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 G/LIC/N/3/USA/16  
 
- 45 - 
 
  Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Animal leather 
products   VARIOUS – 
NOT 
SPECIFIC   
Animal fur products   VARIOUS – 
NOT 
SPECIFIC   
 
5  DEPARTMENT OF JUSTIC E 
5.1  Bureau of Alcohol, Tobacco, Firearms and Explosives  
5.1.1   Firearms and ammunition  
Basic Information  
1. Outline of the system  The Bureau of Alcohol, Tobacco, Firearms and Explosives 
(ATF) administers licensing provisions under three 
statutes and implementing regulations: the Gun Control 
Act of 1968 (GCA, at 18 U.S.C. Chapter 44), the Arms 
Export Control Act of 1976 (AECA, at 22 U.S.C. § 2778), 
and the National Firearms Act (NFA, at 26 U.S.C. Chapter 
53). Under the GCA, the United States maintains a system 
of licenses for persons engaged in the business of 
manufacturing, importing, or dealing in firearms, and for 
persons engaged in the business of manufa cturing or 
importing ammunition. ATF administers GCA import 
controls along with import controls established by the 
AECA (discussed in the below section, V(A)2) through a 
system of import permits. In addition, under the NFA, ATF 
administers a special occupa tional tax for persons 
engaged in the business of importing, manufacturing, or 
dealing in NFA firearms. ATF also maintains a system of 
registration for NFA firearms which include machine guns, 
silencers, and destructive devices.  
2. Product coverage  See reply to question 1. Under the GCA, "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 we apon; (c) any firearm muffler or 
firearm silencer; or (d) any destructive device (refer to 18 
U.S.C. § 921(a)(4) for the GCA definition of a destructive 
device and to § 921(a)(24) for the GCA definition of a 
firearm silencer). The term "firearm" does not i nclude an 
antique firearm (defined in 18 U.S.C. § 921(a)(16)). The 
GCA also provides definitions for other relevant product 
terms including but not limited to "shotgun" and "rifle." 
Under the GCA, "machinegun" is based on the definition 
of "machinegun" in the NFA which provides, in part, that 
a machinegun is any weapon which shoots, is designed to 
shoot, or can be readily restored to shoot, automatically 
more than one shot, without manual reloading, by a single 
function of the trigger (refer to 26 U.S.C. § 5845(b) for 
the complete definition of "machinegun"). The NFA also 
provides definitions for other relevant product terms such 
as "any other weapon." A complete list of relevant 
definitions can be found in the GCA in 18 U.S.C. § 921 and 
in the NFA in 26 U.S .C. § 5845.  G/LIC/N/3/USA/16  
 
- 46 - 
 
  Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  See section above on outline of system. ATF administers 
licensing provisions under three statutes and 
implementing regulations: the Gun Control Act of 1968 
(GCA, at 18 U.S.C. Chapter 44), the Arms Export Control 
Act of 1976 (AECA, at 22 U.S.C. § 2778), and the National 
Firearms Act of 1934 (NFA, at 26 U.S.C. Chapter 53). 
Under the GCA, the United States maintains a system of 
licenses for persons engaged in the business of 
manufacturing, importing, or dealing in firearms, and for 
persons engaged in the business of manufacturing or 
importing ammunition . ATF administers GCA import 
controls along with import controls established by the 
AECA through a system of registration and import 
permits. In addition, under the NFA, ATF administers a 
special occupational tax for persons engaged in the 
business of impo rting, manufacturing, or dealing in NFA 
firearms. ATF also maintains a system of registration for 
NFA firearms, which include machineguns, silencers, and 
destructive devices.  
 
GCA: Complete and submit to ATF the ATF Form 7/7R, 
Application for License (FFL)  to make application for a 
Federal firearms license. The application must be 
accompanied by the proper application fee. Generally for 
most types of license (except Type 03), persons must also 
submit supporting materials, including fingerprint card(s) 
and p hotographs. ATF conducts background checks on all 
responsible persons identified on a license application. 
(Responsible person is a sole proprietor, partner, or 
anyone having the power to direct the management, 
policies, and practices of the business or ac tivity as it 
pertains to firearms. In a corporation, this includes 
corporate officers, shareholders, board members, or any 
other employee with the legal authority described.) 
Applications undergo background checks and ATF ensures 
the business address and p roposed business operations 
are in compliance with applicable laws.  
 
Federal firearms licensees must submit an ATF Form 6, 
Part I, Application and Permit for Importation of Firearms, 
Ammunition and Defense Articles to ATF (import permit 
application) for ap proval. Such licensees may then 
present an approved ATF Form 6 and completed ATF Form 
6A to U.S. Customs and Border Protection for release of 
the imported defense articles.  
5. Products under restriction as to 
the quantity or value of imports  Generally, the GCA licensing system prevents the 
granting of licenses to persons falling within statutorily 
determined prohibited categories. Pursuant to the GCA at 
18 U.S.C. § 922(l), except as provided in 18 U.S.C. § 
925(d), it is generally unlawful for any person knowingly 
to import any firearm or ammunition. Import permits may 
be granted pursuant to the exceptions outlined in 18 
U.S.C. § 925(d), which include imports for scientific or 
research purposes, imports of firearms that are generally 
recognized as particularly suitable for or readily adaptable 
to sporting purposes, excluding surplus military firearms, 
and other exceptions. In addition, Federal, State, and  G/LIC/N/3/USA/16  
 
- 47 - 
 
   local governments in the United States may generally 
import firearms and ammunition that otherwise would be 
prohibited from importation, such as nonsporting firearms 
and ammunition, NFA firearms, and surplus military 
firearms. No alternative methods have been considered.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  All countries except those proscribed by the Department 
of State from which imports are denied entry into the 
United States. Refer generally to 27 CFR 447.52 for 
proscribed countries and defense articles; ATF also 
maintains an up -to-date listing at its Firearms and 
Explosives Imports Branch ((304) 616 -4550).  
8. Expected duration of licensing 
procedure  See responses under single window.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Licensing is statutorily mandated.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  The GCA statute and regulations are in 18 U.S.C., Chapter 
44 and 27 CFR Part 478, respectively, and generally 
provide definitions for terms (including regulated items).  
The NFA statute and regulations are in 26 U.S.C. Chapter 
53 and 27 CFR Part 478, respectively, and generally 
provide definitions  for terms (including regulated items).  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  Licensing cannot be abolished without legislative action.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Persons engaged in the business, in the United States, of 
importing defense articles on the U.S. Munitions Import 
List (USMIL) must register with ATF as an importer under 
the AECA by maki ng an application on the ATF Form 4587, 
Application to Register as an Importer of U.S. Munitions 
Import List Articles (ATF Form 5330.4) and pay the 
prescribed fee. Registration may be effected for periods of 
one (1) to five (5) years at the option of the r egistrant by 
identifying on the ATF Form 4587 the desired period of 
registration.  
13. What persons or firms are eligible 
to apply for a license?  All persons, firms, and institutions are eligible to apply for 
licenses.  
14. Is there a registration fee?  Yes. 
15. Is there a published list of 
authorized importers?  Yes – Federal firearms licensees (www.atf.gov).  
No – ATF AECA registrants.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Bureau of Alcohol, Tobacco, Firearms and Explosives, 
Department of Justice; Firearms and Explosives Imports 
Branch (FEIB)  
17. Address  99 New York Ave NW, Washington, DC 20226  
18. Telephone  1-866-662-2750 
19. Fax  Not applicable.  
20. E-Mail Address  FFLC@atf.gov  G/LIC/N/3/USA/16  
 
- 48 - 
 
  21. Website  https://www.atf.gov/firearms/import -firearms -
ammunition -and-defense -articles  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Bureau of Alcohol, Tobacco, Firearms and Explosives, 
Department of Justice; Firearms and Explosives Imports 
Branch (FEIB)  
 
Documentation Requirements  
24. What information is required in 
applications?  Applications: The ATF Form 7 is the application for a 
Federal firearms license. The ATF Forms 6 and 6A are the 
import application and permit: Application and Permit for 
Importation of Firearms, Ammunition and Defense 
Articles (ATF Form 6, Part I); Release and Receipt of 
Imported Firearms, Ammunition and Defense Articles 
(ATF Form 6A).  
25. Wh at documents is the importer 
required to supply with the 
application?  With respect to the ATF Form 7, see information provided 
above.  
 
With respect to permanent import permits, it depends on 
the defense articles enumerated on the application and 
the specif ic circumstances of the importation (including 
the specific items being imported, country of 
manufacture, country of export, whether a U.S. 
Government contract or purchase order is required, and 
additional factors).  
  
Window of Submission of an Applicatio n 
26. How far in advance of importation 
must application for a licence be 
made?  A Federal Firearms License is issued within 60 days after 
receipt of a properly completed application. Any person 
who wishes to permanently import a defense article on 
the U.S.  Munitions Import List into the United States must 
first file with ATF and obtain an approved ATF Form 6 —
Application and Permit for Importation of Firearms, 
Ammunition and Defense Articles. The ATF Form 6 import 
permit generally takes four (4) to six (6) w eeks for 
processing. Arms Export Control Act registrations 
generally take two (2) to three (3) weeks for processing.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No. 
30. Which administrative body is 
responsible for approving appl ication 
of licences?  Consideration of Federal firearms licenses and permanent 
importation permit applications is effected by a single 
administrative organ (ATF).  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  Federal firearms licenses – no.  
Permanent import permit applications – In relevant 
circumstances, an ATF Form 6 import permit application  G/LIC/N/3/USA/16  
 
- 49 - 
 
   may require consultation with the U.S. Department of 
State for required foreign policy.  
32. Are there any other conditions 
attached to the issue of a licence?  No. 
ATF Form 6 import permit conditions, if any, are provided 
to the importer in writing.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Yes.  
34. What is the amount of the fee or 
charge?  US$ 150.00 ($50 per year) for importers of firearms other 
than destructive devices or ammunition for firearms other 
than destructive devices, or ammunition other than armor 
piercing ammunition. US$ 3,000.00 ($1000 p er year) for 
importers of destructive devices, ammunition for 
destructive devices, or armor piercing ammunition. These 
licenses are renewed every three years. Special 
occupational tax fees apply for NFA firearms. See also 
AECA registration fees (discussed in the below section, 
V(A)2).  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
Note – Arms Export Control Act ATF registration fee i s 
refundable.  
38. What is the period of retention?  Federal firearms licenses are issued for a three (3) year 
period.  
 
ATF Form 6 import permit: two (2) years from date of 
issue or until the quantity approved for import is brought 
in, whichever comes first . 
39. What is the purpose of this 
requirement?  The United States maintains a system of licensing, 
registration, and permits to control the permanent 
importation of firearms, ammunition, and defense 
articles. The primary purpose is to regulate internationa l 
trafficking in firearms, ammunition, and Arms Export 
Control Act defense articles consistent with United States 
national security and foreign policy interests.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  No additional circumstances apply  
41. Are the reasons for any refusal 
given to applicants?  The reasons for any refusal are given to the applicant in 
writing.  
42. Have applicants a right  of appeal 
in the event of refusal to issue a 
licence?  Yes.  
43. If so, to what bodies and under 
what procedures?  In the event of refusal to issue a license, administrative 
appeal may be made to the Director of the ATF by 
requesting a hearing, further to United States District 
Court, if desired, by filing a petition for review within 60 
days of the denial or revocation of license. Refer to 18 
U.S.C. § 923 for a detailed description of the process.  
 G/LIC/N/3/USA/16  
 
- 50 - 
 
  Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  Proof to United States Customs and Border Protection of 
licensed status furnished by the importer or his agent. 
Application and Permit for Importation of Firearms, 
Ammunition and Implements of War (ATF Form 6, Part I); 
Release and Receipt of Imported Firearms, Ammunition 
and Defense Articles (ATF Form 6A).  
46. Are there any other 
administrative procedures, apart 
from import licensing and sim ilar 
administrative procedures, required 
prior to importation?  No.   
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  See above.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  No.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
    
 
5.1.2   Firearms, ammunition, and defense articles  
Basic Information  
1. Outline of the system  The United States maintains a system of licensing, 
registration, and permitting to control the permanent 
importation of firearms, ammunition, and Arms Export 
Control Act (AECA) defense articles. The law and 
regulations of these permanent import controls ar e 
administered by the Bureau of Alcohol, Tobacco, Firearms 
and Explosives (ATF) pursuant to the Gun Control Act of  G/LIC/N/3/USA/16  
 
- 51 - 
 
   1968 (GCA, at 18 U.S.C. Chapter 44), the Arms Export 
Control Act of 1976 (AECA, at 22 U.S.C. § 2778), and the 
National Firearms Act (NFA, at 26 U.S.C. Chapter 53). The 
Departments of State and Commerce maintain systems of 
controls for exports and temporary imports.  
2. Product coverage  Persons engaged in the business of importing defense 
articles on the U.S. Munitions Import List (USMIL) must 
be registered under the AECA. Actual importation is 
authorized by use of an import permit —the ATF Form 6, 
Part I, Application and Permit for Importation of Firearms, 
Ammunition and Defense Articles.  
 
Nature of Licensing  
Automatic:  
3. If Autom atic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  See section above on outline of system. ATF administers 
licensing provisions under three statutes and 
implementing regulations: the Gun Control Act of 1968 
(GCA, at 18 U.S.C. Chapter 44), the Arms Export Control 
Act of 1976 (AECA, at 22 U.S.C. § 2778), and the National 
Firearms Act of 1934 (NFA, at 26 U.S.C. Chapter 53). 
Under the GCA, the United States ma intains a system of 
licenses for persons engaged in the business of 
manufacturing, importing, or dealing in firearms, and for 
persons engaged in the business of manufacturing or 
importing ammunition. ATF administers GCA import 
controls along with import co ntrols established by the 
AECA through a system of registration and import 
permits. In addition, under the NFA, ATF administers a 
special occupational tax for persons engaged in the 
business of importing, manufacturing, or dealing in NFA 
firearms. ATF also  maintains a system of registration for 
NFA firearms, which include machineguns, silencers, and 
destructive devices.  
 
GCA: Complete and submit to ATF the ATF Form 7/7R, 
Application for License (FFL) to make application for a 
Federal firearms license. The a pplication must be 
accompanied by the proper application fee. Generally for 
most types of license (except Type 03), persons must also 
submit supporting materials, including fingerprint card(s) 
and photographs. ATF conducts background checks on all 
responsi ble persons identified on a license application. 
(Responsible person is a sole proprietor, partner, or 
anyone having the power to direct the management, 
policies, and practices of the business or activity as it 
pertains to firearms. In a corporation, this includes 
corporate officers, shareholders, board members, or any 
other employee with the legal authority described.) 
Applications undergo background checks and ATF ensures 
the business address and proposed business operations 
are in compliance with applica ble laws.  
 
Federal firearms licensees must submit an ATF Form 6, 
Part I to ATF (import permit application) for approval. 
Such licensees may then present an approved ATF Form 
6 and completed ATF Form 6A to U.S. Customs and Border 
Protection for release of t he imported defense articles.  G/LIC/N/3/USA/16  
 
- 52 - 
 
  5. Products under restriction as to 
the quantity or value of imports  Primary purpose is to regulate international trafficking in 
firearms, ammunition, and Arms Export Control Act 
defense articles consistent with U.S. national security and 
foreign policy interests. No alternative methods have 
been considered.  
 
Pursuant to the GCA at 18 U.S.C. § 922(l), except as 
provided in 18 U.S.C. § 925(d), it is generally unlawful for 
any person knowingly to import any firearm or 
ammunition. Import permits may be granted pursuant to 
the exceptions outlined in 18 U.S.C. § 925(d), which 
include imports for scientific or research purposes, 
imports of firearms that are generally recognized as 
particularly suitable for or readily adaptabl e to sporting 
purposes, excluding surplus military firearms, and other 
exceptions. In addition, Federal, State, and local 
governments in the United States may generally import 
firearms and ammunition that otherwise would be 
prohibited from importation, suc h as nonsporting firearms 
and ammunition, NFA firearms, and surplus military 
firearms.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  All countries except those proscribed/restricted by the 
Department of State from which imports are denied entry 
into the United States. Refer generally to 22 CFR 126.1 
and 27 CFR 447.52 for restricted countries information. 
ATF also maintains an u p-to-date listing at its Firearms 
and Explosives Imports Branch ((304) 616 -4550).  
8. Expected duration of licensing 
procedure  ATF approves or, depending on the circumstances denies, 
an application for a Federal firearms license within sixty 
(60) days of receiving a properly executed application at 
the Federal Firearms Licensing Center.  
 
The ATF Form 6 import permit application review process 
generally takes four (4) to six (6) weeks.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Gun Contr ol Act of 1968; 18 U.S.C. §§ 923, 925(d). 
National Firearms Act of 1934; 26 U.S.C. § 5844. Arms 
Export Control Act of 1976; 22 U.S.C. § 2778. Executive 
Order 13637 (78 F.R. 16129).  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  Licensing is statutorily mandated.  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  Licensing cannot be abolished without legislative action.  
 
Eligibility of App licants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Persons engaged in the business, in the United States, of 
importing defense articles on the U.S. Munitions Import 
List (USMIL) must register with ATF as an importer under 
the AECA by making an application on the ATF Form 4587, 
Application to Register as an  Importer of U.S. Munitions 
Import List Articles (ATF Form 5330.4) and pay the  G/LIC/N/3/USA/16  
 
- 53 - 
 
   prescribed fee. Registration may be effected for periods of 
one (1) to five (5) years at the option of the registrant by 
identifying on the ATF Form 4587 the desired period o f 
registration.  
13. What persons or firms are eligible 
to apply for a license?  All persons, firms, and institutions are eligible to apply for 
licenses.  
14. Is there a registration fee?  Yes. 
15. Is there a published list of 
authorized importers?  Yes – Federal firearms licensees (www.atf.gov).  
No – ATF AECA registrants.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Bureau of Alcohol, Tobacco, Firearms and Explosives, 
Department of Justice; Firearms and Explosives Imports 
Branch (FEIB)  
17. Address   
18. Telephone  1-866-662-2750 
19. Fax  Not applicable.  
20. E-Mail Address  FFLC@atf.gov  
21. Website  https://www.atf.gov/firearms/import -firearms -
ammunition -and-defense -articles  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Bureau of Alcohol, Tobacco, Firearms and Explosives, 
Department of Justice; Firearms and Explosives Imports 
Branch (FEIB)  
 
Documentation Requirements  
24. What information is required in 
applications?  See ATF Form 4587 (AECA registration) and ATF Form 6 
(permanent import permit).  
 
The ATF Form 7 is the application for a Federal firearms 
license (described in further detail in section above).  
25. What documents is the importer 
required to supply with the 
application?   
With respect to the ATF Form 7, see information provided 
above.  
 
With respect to permanent import permits, it depends on 
the defense articles enumerated on the application and 
the specific circumstances of the importation (including 
the specific items being imported, country of 
manufacture, country of export, whether a U.S. 
Government contract or purchase order is required, and 
additional factors).  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  A Federal Firearms License is issued within 60 days after 
receipt of a properly completed application. Any person 
who wishes to permanently import a defense article on 
the U.S. Munitions Import List into the United States must 
first file with ATF and obtain an approved ATF Form 6 —
Application and Permit for Importat ion of Firearms, 
Ammunition and Defense Articles. The ATF Form 6 import 
permit generally takes four (4) to six (6) weeks for 
processing. Arms Export Control Act registrations 
generally take two (2) to three (3) weeks for processing.  G/LIC/N/3/USA/16  
 
- 54 - 
 
  27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No.  
29. Can licences be obtained within a 
shorter time-limit or for goods 
arriving at the port without a licence  No. 
30. Which administrative body is 
responsible for approving application 
of licences?  Consideration of Federal firearms licenses and permanent 
importation permit applications is effected by a single 
administrative organ (ATF).  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  Federal firearms licenses – no.  
Permanent import permit applications – In relevant 
circumstances, an ATF Form 6 import permit applicat ion 
may require consultation with the U.S. Department of 
State for required foreign policy.  
32. Are there any other conditions 
attached to the issue of a licence?  No. 
ATF Form 6 import permit conditions, if any, are provided 
to the importer in writing.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Fee to obtain Federal firearms license.  
No fee for ATF Form 6 import permit.  
34. What is the amount of the fee or 
charge?  Yes. US$ 150.00 ($50 per year) for importers of firearms 
other than destructive devices or ammunition for firearms 
other than destructive devices, or ammunition other than 
armor piercing ammunition  
 
Arms Export Control Act (AECA) registration fee:  
One (1) year: US $ 250  
Two (2) years: US $ 500 
Three (3) years: US $ 700  
Four (4) years: US $ 850  
Five (5) years: US $ 1,000  
 
Federal firearms license fees depend on the type of 
license. Licenses range between US $30 and US $3,000.  
 
Special occupational tax fees generally apply for National 
Firear ms Act (NFA) firearms.  
 
No fee for ATF Form 6 import permit.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
Note – Arms Export Control Act ATF registration fee is 
refundable.  
38. What is the period of retention?  Federal firearms licenses are issued for a three (3) year 
period.  
 
Arms Export Control Act registration: one (1) to five (5) 
years (at registrant’s election).  
 
 G/LIC/N/3/USA/16  
 
- 55 - 
 
   ATF Form 6 import permit: two (2) years from date of 
issue or until the quantity approved for import is brought 
in, whichever comes first.  
39. What is the purpose of this 
requirement?  The United States maintains a system of licensing, 
registration, and permits to control the permanent 
importation of firearms, ammunition, and defense 
articles. The primary purpose is to regulate international 
trafficking in firearms, ammunition, and Arms Export 
Control Act defense articles consistent with Unit ed States 
national security and foreign policy interests.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  No additional circumstances apply.  
41. Are the reasons for any refusal 
given to applicants?  Yes. 
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes.  
43. If so, to what bodies and under 
what procedures?  In the event of refusal to issue a Federal firearms license , 
administrative appeal may be made to the Director of ATF 
by requesting a hearing, further to the United States 
District Court, if desired, by filing a petition for review 
within sixty (60) days of the denial or revocation of 
license. Refer to 18 U.S.C. §  923 for a detailed description 
of the process.  
 
If a permit is denied, revoked, suspended, or revised, the 
importer or applicant shall be advised in writing of the 
decision and the reasons therefor. Within thirty (30) days 
of receipt, the applicant or im porter may file a written 
request for an opportunity to present additional 
information and to have a full case review by the 
appropriate ATF officer.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  Proof to United States Customs and Border Protection of 
licensed and/or registered status furnished by the 
importer or his/her agent. Application and Permit for 
Importation of Firearms, A mmunition and Defense 
Articles (ATF Form 6, Part I); Release and Receipt of 
Imported Firearms, Ammunition and Defense Articles 
(ATF Form 6A).  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedu res, required 
prior to importation?  No.   
 G/LIC/N/3/USA/16  
 
- 56 - 
 
  Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Arms Export Control Act registration: one (1) to five (5) 
years.  
 
Federal firearms licenses are issued for a three (3) year 
period. Federal firearms licenses can be renewed by 
application.  
 
ATF Form 6 import permit: two (2) years from date of 
issue or until the quantity approved for import is brought 
in, whichever comes first.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  No.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Firearms, 
ammunition, and 
defense articles  
 9301 
 9301.1; 9301.2; 9301.9  
 Military weapons, other than 
revolvers, pistols and the arms of 
heading 9307;  
Artillery weapons (for example, 
guns, howitzers and mortars);  
Rocket launchers; flame -throwers; 
grenade launchers; torpedo tubes 
and similar projectors; Other  
 9302 
  Revolvers and pistols, other than 
those of heading 9303 or 9304  
 9303 
 9303.1; 9303.2; 9303.3; 
9303.9  
 Other firearms and similar devices 
which operate by the firing of an 
explosive charge (for example, 
sporting shot - guns and rifles, 
muzzle -loading firearms, Very 
pistols and other devices designed 
to project only signal flares, pistols 
and revolvers for fi ring blank 
ammunition, captive -bolt humane 
killers,  line -throwing guns);  
Muzzle -loading firearms;  G/LIC/N/3/USA/16  
 
- 57 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
   Other sporting, hunting or target -
shooting shotguns, including 
combination shotgun -rifles 
 9304 
  Other sporting, hunting or target -
shooting rifles; Other arms (for 
example, spring, air or gas guns and 
pistols;   
Parts and accessories of articles of 
headings 9301 to 9304:  
 
Of revolvers or pistols;  
 9305 
 9305.1; 9305.2; 9305.91; 
9305.99  
 Of shotguns or rifles of heading 
9303; Other  
 
 9306 
 9306.21; 9306.29; 9306.3; 
9306.9  
 Of military weapons of heading 
9301;  
Bombs, grenades, torpedoes, 
mines, missiles and similar 
munitions of war and parts thereof; 
cartridges and other ammunition 
and projectiles and parts thereof, 
including shot and cartridgewads: 
Shotgun cartridges and parts 
thereof; air gun pellets;  Other  
 
 9307 9307 Other (i.e guided missile bombs 
grenades torpedoes and similar 
munitions of war and other 
ammunition and projectiles;  
Swords, cutlasses, bayonets, lances 
and similar arms and parts thereof 
and scabbards and sheaths therefor  
 
 
5.1.3   Explosives  
Basic Information  
1. Outline of the system  The United States maintains a system of registrations and 
permits to control the importation of explosives. All 
manufacturers, dealers, importers, distributors, 
transporters (including persons who cause  
transportation), shippers, and recipients of explosive 
materials are required by law to be licensed or permitted. 
The primary purpose of this licensing and permitting 
system is to keep explosives out of the hands of persons 
prohibited by law from receivin g or possessing explosives 
and to ensure the safe and secure storage of explosives. 
Background checks are conducted to ensure that anyone 
who possesses explosives is not otherwise prohibited by 
law. 
2. Product coverage  Explosive materials are explosives, blasting agents, and 
detonators. Permits are required of all users. Licenses are 
required as stated in reply to question 1.  
 
  G/LIC/N/3/USA/16  
 
- 58 - 
 
  Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non-Automatic, description of 
the notified Non -Automatic Licensing 
regime  The United States maintains a system of registrations and 
permits to control the importation of explosives. All 
manufacturers, dealers, importers, distributors, 
transporters (includi ng persons who cause 
transportation), shippers, and recipients of explosive 
materials are required by law to be licensed or permitted. 
The primary purpose of this licensing and permitting 
system is to keep explosives out of the hands of persons 
prohibited by law from receiving or possessing explosives 
and to ensure the safe and secure storage of explosives. 
Background checks are conducted to ensure that anyone 
who possesses explosives is not otherwise prohibited by 
law. 
5. Products under restriction as to 
the quantity or value of imports  Purposes are to protect against the misuse and unsafe 
storage of explosive materials. See also reply to question 
1. No alternative methods have been considered.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  All countries.  
8. Expected duration of licensing 
procedure  Approximately ninety (90) days from the date the 
application is completely and correctly submitted.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  18 U.S.C. Chapter 40.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  Licensing is statutori ly required. Designation of products 
is not subject to administrative discretion.  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  Licensing cannot be abolished without legislative 
approval.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  The United States maintains a system of licenses and 
permits to control the importation of explosives. All 
manufacturers, dealers, impor ters, distributors, 
transporters (including persons who cause 
transportation), shippers, and recipients of explosive 
materials are required by law to be licensed or permitted.  
13. What persons or firms are eligible 
to apply for a license?  All persons, firms, and institutions are eligible to apply for 
licenses.  
14. Is there a registration fee?  Refer to licensing and permitting fee information provided 
below.  
15. Is there a published list of 
authorized importers?  No. 
 G/LIC/N/3/USA/16  
 
- 59 - 
 
  Contact Point for Informa tion on Eligibility  
16. Ministry/Authority  Bureau of Alcohol, Tobacco, Firearms and Explosives, 
Department of Justice; Firearms and Explosives Imports 
Branch (FEIB)  
17. Address  99 New York Ave NW, Washington, DC 20226  
18. Telephone  1-866-283-3352 
19. Fax  304-616-4401 
20. E-Mail Address  FFLC@atf.gov  
21. Website  https://www.atf.gov/firearms/import -firearms -
ammunition -and-defense -articles  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Bureau of Alcohol, Tobacco, Firearms and Explosives 
(ATF), Department of Justice  
 
Documentation Requirements  
24. What information is required in 
applications?  Application on ATF Forms 5400.13/5400. 16, Application 
for License or Permit.  
25. What documents is the importer 
required to supply with the 
application?  Request application for Federal explosives license or 
permit from ATF Federal Explosives Licensing Center at 
877-283-3352 or from ATF Distribution Center at 703 -
870-7526 or 703 -870-7528. As part of the application 
process, complete and submit ATF Form 
5400.13/5400.16, Application for Explosives License or 
Permit. In addition, submit names, identifying 
information, fingerprints, and photo graphs of all 
responsible persons. (A responsible person is an 
individual who has the power to direct the management 
and policies of the applicant pertaining to explosive 
materials. Generally, the term includes partners, sole 
proprietors, site managers, co rporate officers and 
directors, and majority shareholders.) Submit names and 
identifying information of all employees authorized to 
possess explosive materials in the course of their 
employment on ATF Form 5400.28, Employee Possessor 
Questionnaire.  
  
Wind ow of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  An application for a license or permit must be approved 
or denied within ninety (90) days after receipt of a 
perfected application. Usual turn -around time from 
receipt of a perfected application to issuance of license or 
permit is ninety (90) days. This timing is due to the 
statutory requirement that ATF perform in -person 
inspections of the business premises and storage facilities 
of all new and renewing explosives license/permit 
applicants, as well as conduct a background check and 
interview before approving the application.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explai n No. 
 G/LIC/N/3/USA/16  
 
- 60 - 
 
  Issuing the License  
28. Can a licence be granted 
immediately on request?  No.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No. 
30. Which administrative body is 
responsible for approving application 
of licences?  Consideration of applications is effected by a single 
administrative organ (ATF).  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No.  
32. Are there any other conditions 
attached to th e issue of a licence?  No additional conditions apply.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Yes. 
34. What is the amount of the fee or 
charge?  US $ 200.00 per license for three (3) years; and  
US $ 100.00 for renewal for three (3) years;  
US $ 100.00 per User -permit for three (3) years; and  
US $ 50.00 for User -permit renewal for three (3) years;  
US $ 75.00 per User -limited permit (non -renewable) valid 
for one (1) year or one (1) transaction;  
US $25.0 0 per Limited permit valid for one (1) year or up 
to six (6) transactions;  
US $12.00 Limited permit renewal for one (1) year or up 
to six (6) transactions.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  License and permit terms provided above.  
39. What is the purpose of this 
requirement?  The primary purpose of this licensing and permitting 
system is to keep explosives out of the hand of persons 
prohibited by law from receiving or possessing explosives 
and to ensure the safe and secure storage of explosives. 
Background checks are conducted to ensure that anyone 
who possesses explos ives is not otherwise prohibited by 
law. 
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  No additional circumstances apply  
41. Are the reasons for any refusal 
given to applicants?  An application is granted provided the applicant provides 
the necessary information and meets the necessary 
requirements, which include an in person interview and 
facility inspection. Reasons for refusal are provided to the  
applicant in writing.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  
 Yes.  G/LIC/N/3/USA/16  
 
- 61 - 
 
  43. If so, to what bodies and under 
what procedures?  In the event of refusal to issue or revocation of a license, 
administrative appeals may b e made through the 
Director, ATF, and then there is right of appeal to United 
States Court of Appeals for the district in which the 
applicant/licensee resides.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  Proof to United States Customs and Border Protection of 
licensed or permitted status furnished by importer or 
his/her agent. Explosives must be classified and marked 
per United States Department of Transportation 
standards.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  No.   
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Licenses are valid for three (3) years.The validity of a 
license can be extended by renewal application. General 
user permits are valid for three (3) years and can be 
extended by renewal a pplication. Intrastate User permits 
are valid for up to one (1) year or six (6)  product uses 
and are renewable. User limited permits are valid for one 
(1) year and are not renewable.  
48. Is there any penalty for the non -
utilization of a licence or a port ion of 
a licence?  No.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Explosives, blasting 
agents and 
detonators   3601.00; 3602.00; 3603.00  Propellant powders; Prepared 
explosives; Safety fuses; detonating 
fuses; percussion or detonating 
caps;  igniters; electric detonators  G/LIC/N/3/USA/16  
 
- 62 - 
 
  5.2  Drug Enforcement Administration  
5.2.1   Controlled Substances and Listed Chemicals  
Basic Information  
1. Outline of the system  The system of import permits, declarations, notices, and 
quotas is designed to restrict the importation of controlled 
substances and listed chemicals 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 also establishes 
a method by which the United States can meet its 
international treaty obligations under the 1961 UN Single 
Convention on Narcotic Drugs, the 1971 UN Convention 
on Psychotropic Su bstances, and the 1988 UN Convention 
Against the Illicit Traffic in Narcotic Drugs and 
Psychotropic Substances.  
The Drug Enforcement Administration (DEA) serves as the 
United States competent authority for the regulatory 
provisions associated with the abo ve three international 
conventions and is responsible for collecting data and 
preparing standard yearly statistical reports regarding the 
manufacture, import/export, and consumption of drugs 
and chemicals regulated by the conventions.  
2. Product coverage  In order to import any controlled substance, or List I 
chemical or drug product containing ephedrine, 
pseudoephedrine, or phenylpropanolamine, the importer 
must apply to the DEA for registration as an importer. The 
registration application must be  approved by the DEA and 
is issued annually. Upon registration approval and prior to 
each importation, the registered importer must:  
(a) Apply for and receive a permit to import any Schedule 
I or Schedule II controlled substance, 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 substa nce in Schedule IV or V 
which is also listed in Schedule I or II of the Convention 
on Psychotropic Substances; or  
(b) Submit an import declaration for all non -narcotic 
controlled substances in Schedules III, IV, or V, excluding 
those described in paragraph  (a) above. (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); or  
(c) Notify the Administrator of the DEA not later than 15 
days i n advance prior to importation of any listed chemical 
that meets or exceeds the threshold quantities set by 
regulation or is a listed chemical for which no threshold 
has been established. Substances defined as listed 
chemicals under the authority of the Co ntrolled 
Substances Act are contained in Title 21, Code of Federal 
Regulations, Part 1310. Advanced notice may be waived 
under certain circumstances as outlined in Title 21, Code 
of Federal Regulations, Section 1313.12(c).  
Crude opium, poppy straw, concen trate of poppy straw or 
coca leaves may be imported in such amounts as the 
Attorney General finds to be necessary to provide for 
medical, scientific, or other legitimate purposes.  G/LIC/N/3/USA/16  
 
- 63 - 
 
   Controlled substances in Schedule I or II , or narcotic 
substances in Sch edule III, IV or V may be imported if the 
Attorney General finds it to be necessary to provide for 
the medical, scientific, or other legitimate needs of the 
United States (a) during an emergency in which domestic 
supplies are found by the Attorney General to be 
inadequate; (b) in any case in which the Attorney General 
finds that 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 Ge neral finds that such controlled 
substance is in limited quantities exclusively for scientific, 
analytical, or research uses.  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non-Automatic, description of 
the notified Non -Automatic Licensing 
regime  Non-Automatic.  See below for description.  
5. Products under restriction as to 
the quantity or value of imports  See product coverage.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  See answers 6.1 -6.11 (see below)  
7. The system applies to products 
originating from which country?  In general, the import restrictions apply to all controlled 
substances and listed chemicals, 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 p oppy straw) into the 
United States shall have as its source:  
(a) Turkey,  
(b) India,  
(c) Spain,  
(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 
percent of the narcotic materials imported annually shall 
originate in Spain, France, Poland, Hungary, and 
Australia.  
  
8. Expected duration of licensing 
procedure  The expected procedure time for approval of a registration 
is 45-60 business days.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Yes. In March 2006, the United States Congress amended 
the Controlled Substances Act with passage of the Combat 
Methamphetamine Epidemic Act of 2005 (CMEA). The 
CMEA required the establishment of a first -time 
assessment of annual need for the listed chemic als  G/LIC/N/3/USA/16  
 
- 64 - 
 
   ephedrine, pseudoephedrine, and phenylpropanolamine 
and a quota system to provide for those legitimate needs. 
Further, the CMEA amended Title 21, United States Code, 
Section 952 by adding the three listed chemicals 
(ephedrine, pseudoephedrine, and p henylpropanolamine) 
to existing language concerning importation of controlled 
substances. The 2007 assessment of annual needs for 
ephedrine, pseudoephedrine, and phenylpropanolamine 
set upper limits on the quantity of these listed chemicals 
and products co ntaining these chemicals that can be 
produced in or imported to the United States. The 
assessment was published as a Final Notice in the Federal 
Register in September 2007. Also pursuant to the CMEA, 
import and production quotas were established in July 
2007 which set in place a process for licensed firms to 
obtain individual quota amounts.  
The system of registration of importers and the system of 
quotas (for Schedule I and II drugs) are statutory 
requirements established in the Comprehensive Drug 
Abuse Pr evention 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 95 8) and implementing regulations. The Controlled 
Substances Act established criteria by which drugs are 
controlled in one of five schedules subject to import 
requirements.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  No.   
11. Is it possible for the government 
to abolish the system without 
legislative approval?  No. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Yes 
13. What persons or firms are eligible 
to apply for a license?  The eligibility requirements to become a DEA -registered 
importer of controlled substances and/or List I chemicals 
are established statutorily in the Controlled Substances 
Import and Export Act (Sections 1002, 1007 and 1008) 
(21 United States Code, Sections 822, 823, 826, 952, 
953, 957 and 958) and implementing regulations.  
14. Is there a registration fee?  Yes. 
15. Is there a published list of 
authorized importers?  The DEA does not maintain a separate, published list of 
authorized importers.  However, as part of the license 
authorization process the DEA publishes the names of the 
persons or firms applying or renewing their applicability 
to be a DEA -registered importer of spe cific controlled 
substances and List 1 chemicals.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Department of Justice - Drug Enforcement 
Administration  
17. Address  8701 Morrissette Dr, Springfield, VA 22152  G/LIC/N/3/USA/16  
 
- 65 - 
 
  18. Telephone  202-307-7194 
19. Fax  Not applicable.  
20. E-Mail Address  Controlled Substances:  csimex@usdoj.gov  
Chemicals:  chemical.imex@usdoj.gov  
21. Website  https://www.deadiversion.usdoj.gov/  
prog_dscrpt/index.html  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Department of Justice - Drug Enforcement Administration  
 
Documentation Requirements  
24. What information is required in 
applications?  The information required for an import permit is set forth 
in Title 21, Code of Federal Regulations, Section 1312.12 
and includes: (a) name, address, and business of 
consignor; (b) foreign port of export; (c) United States 
port of entry; (d) the latest date sh ipment will leave a 
foreign port; (e) name of carrier or vessel; (f) amount; 
(g) importer's allotment for the year; (h) stock on hand 
of the controlled substance desired to be imported; and 
(g) the total number of kilograms of said allotment for 
which perm its have previously been issued and the total 
quantity of controlled substance actually imported during 
the current year to date.  
25. What documents is the importer 
required to supply with the 
application?  DEA Form 35, Permit to Import  
DEA Form 236, Cont rolled Substances Import/Export 
Declaration  
DEA Form 357, Application for Permit to Import Controlled 
Substances for Domestic And/Or Scientific Purposes  
DEA Form 486 Import Declaration for List I and List II 
Chemicals  
DEA Form 486a Import Declaration for ephedrine, 
pseudoephedrine, and phenylpropanolamine  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  Importation may be made only by approved, registered 
importers. An i mport declaration must be filed 15 days in 
advance of the proposed date of import.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No. 
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  In special circumstances, the 15 days may be waived 
administratively.  
30. Which administrative bod y is 
responsible for approving application 
of licences?  The Drug Enforcement Administration  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No. G/LIC/N/3/USA/16  
 
- 66 - 
 
  32. Are there any other conditions 
attached to the issue of a licence?  Whenever requested by the Administrator, importers shall 
render to him not later than 30 days after receipt of the 
request therefor a statement under oath of the stocks of 
controlled substances on hand as of the date specified by 
the Administrator  in his request, and, if desired by the 
Administrator, an estimate of the probable requirements 
for legitimate uses of the importer for any subsequent 
period that may be designated by the Administrator.  
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  No fee is levied per import permit. Registration fee is 
required.  
34. What is the amount of the fee or 
charge?  Importers/Exporters (Controlled Substances) $1,523 
(Annual fee)  
Importers/Exporters (Chemical) $1,523 (Annual fee)  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of reten tion? Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  A registered importer can be refused an importation if the 
importer cannot demonstrate the legitimate need in the 
United States, in line with the criteria set fourth for license 
holders by the Licensing Authority.  
 
In the event that a shipment of controlled substances has 
been denied release by a customs officer at the port of 
entry for any reason, the importer who attempted to have 
the shipment released must, within 5 business days of the 
denial, report to the Administration that the shipment was 
denied and the reason for denial. Such report must be 
transmitted to the Administration through the DEA 
Diversion Control Division secure network application. 
This report must include the following information: The 
quantity of the controlled substance denied release;  the 
date on which release was denied; and the basis for the 
denied release. Upon the importer's report of a denied 
release at the port of entry, the DEA will assign the report 
a transaction identification number and the import permit 
will be void and of n o effect. No shipment of controlled 
substances denied release for any reason will be allowed 
to be released into the United States unless the importer 
submits a new DEA Form 357 and the Administration 
issues a new import permit.  
 
For more information on he arings please see:  
 
https://www.deadiversion.usdoj.gov/21cfr/  
cfr/2112cfrt.htm   
 
41. Are the reasons for any refusal 
given to applicants?  Yes.  G/LIC/N/3/USA/16  
 
- 67 - 
 
  42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes.  In any case where the Administrator shall hold a 
hearing regarding the denial of an application for an 
import, export or transshipment permit, the procedures 
for such hearing shall be governed genera lly by the 
adjudication procedures set forth in the Administrative 
Procedure Act (5 U.S.C. 551 -559) and specifically by 
sections 1002 and 1003 of the Act (21 U.S.C. 952 and 
953), by Secs. 1312.42 -1312.47, and by the procedures 
for administrative hearings u nder the Act set forth in 
Secs. 1316.41 -1316.67.  
 
If requested by a person applying for an import, export, 
or transshipment permit, the Administrator shall hold a 
hearing for the purpose of receiving factual evidence 
regarding the issues involved in the is suance or denial of 
such permit to such person.  
 
Extensive argument should not be offered into evidence 
but rather presented in opening or closing statements of 
counsel or in memoranda or proposed findings of fact and 
conclusions of law.  
43. If so, to wh at bodies and under 
what procedures?  If any applicant for an import, export, or transshipment 
permit requests a hearing on the issuance or denial of his 
application, the Administrator shall hold such hearing. 
Notice of the hearing shall be given to the app licant of the 
time and place at least 30 days prior to the hearing, 
unless the applicant waives such notice and requests the 
hearing be held at an earlier time, in which case the 
Administrator shall fix a date for such hearing as early as 
reasonably possib le.  
 
The hearing will commence at the place and time 
designated in the notice given pursuant to paragraph (a) 
of this section but thereafter it may be moved to a 
different place and may be continued from day to day or 
recessed to a later day without notice other than 
announcement thereof by the presiding officer at the 
hearing.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  Not applicable.  
45. What documents are required 
upon actual  importation?  Import permit.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  No. 
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Registration with the DEA is annual. Controlled Substance 
permits are not valid after the date specified in permit, 
and in no event shall the date be later than six months 
after the date the permit is issued.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  Importation of a controlled substance or listed chemical 
which is made without a valid permit, notice, or  G/LIC/N/3/USA/16  
 
- 68 - 
 
   declaration is subject to seizure and civil or criminal 
penalties.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
The following questions are only for products under restriction as to the quantity or value of imports 
(whether applicable globally or to a limited number of countries or whether established bilaterally or 
unilaterally):  
 
6.1 
Where is information on allocation 
and formalities for licences 
published? Is the overall amount 
published? The amount allocated to 
goods from each country? The 
maximum amount allocated to each 
importer? How to request any 
exceptions or derogations from the 
licensing requirement?  Annual notice of publications of aggregate production 
quotas designed to account for all Schedule I and II 
controlled substances and the listed chemicals ephedrine, 
pseudoephedrine, and phenylpropanolamine are published 
in the Federal Register on or about May 1 of the year prior 
to that to which the quota applies. No quota is established 
for Schedules III, IV or  V controlled substances or other 
listed chemicals. Additional notice of regulations is 
published in Title 21, Code of Federal Regulations, Parts 
1300 to End.  
6.2 
Is the size of the quota determined: 
on yearly, six -monthly or quarterly 
basis? Are there ca ses where the size 
of quota is determined on a yearly 
basis but licences are issued for 
imports on a six -monthly or 
quarterly basis? In the latter case, is 
it necessary for importers to apply 
for a fresh licence on a six -monthly 
or quarterly basis?  Quotas for legitimate need are determined on an annual 
basis, but determinations regarding importations are 
made at the time of individual applications.  
6.3 
Are licences allocated for certain 
goods partly or only to domestic 
producers of like goods? What steps 
are taken to ensure that licences 
allocated are actually used for 
imports? Are unused allocations 
added to quotas for a succeeding 
period? Are names of importers to 
whom licences have been allocated 
made known to governments and 
export promotion bodi es of exporting 
countries upon request? If not, for 
what reason? (Indicate products to 
which replies relate)  Import permits are issued pursuant to applications by 
registered importers who have demonstrated the medical, 
scientific, or other legitimate need for the imported 
substance. Declarations and notices are submitted as 
advanced notification of import only for monitoring 
purposes by the DEA.  Within 30 calendar days of actual 
receipt of the controlled substance or List I Chemical, or 
10 business days af ter written request of the 
Administration, the importer must file a report with the 
DEA Diversion Control Division specifying the particulars 
of the transaction for which the permit was granted.  The 
DEA transmits the import permit to the competent nationa l 
authority of the exporting country.  For declarations, the 
importer must transmit the official record of declaration to 
the foreign shipper and/ or customs official.  
6.4  
From the time of announcing the 
opening of quotas, as indicated in I 
above, what i s the period of time 
allowed for the submission of 
applications for licences?  Not applicable; individual determinations are made.  
6.5 
What are the minimum and 
maximum lengths of time for 
processing applications?  Applications to import are reviewed upon re ceipt by the 
DEA. 
6.6 
How much time remains, at a 
minimum, between the granting of  Applications to import are reviewed upon receipt by the 
DEA. G/LIC/N/3/USA/16  
 
- 69 - 
 
  licences and the date of opening of 
the period of importation?   
6.7 
Is consideration of licence 
applications effected by a single 
administrative organ? Or must the 
application be passed on to other 
organs for visa, note or approval? If 
so, which? Does the importer have to 
approach more than one 
administrative organ?  The DEA considers and reviews for possible approval, all 
applications for importation of controlled substances. 
Copies of import permits are provided to United States 
Customs and Border Protection for monitoring and 
certification purposes.  
6.8 
If the demand for licences cannot be 
fully sa tisfied, on what basis is the 
allocation to applicants made? First 
come, first served? Past 
performance? Is there a maximum 
amount to be allocated per applicant 
and if so, on what basis is it 
determined? What provision is made 
for new importers? Are applic ations 
examined simultaneously or on 
receipt?  Not applicable.  
6.9 
In the case of bilateral quotas or 
export restraint arrangements where 
export permits are issued by 
exporting countries, are import 
licences also required? If so, are 
licences issued automa tically?  Not applicable.  
6.10 
In cases where imports are allocated 
on the basis of export permits only, 
how is the importing country 
informed of the effect given by the 
exporting countries to the 
understanding between the two 
countries?  Not applicable.  
6.11 
Are there products for which licences 
are issued on condition that goods 
should be exported and not sold in 
the domestic market?  Controlled substances on permits may only be imported 
for legitimate needs of the United States.  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?   
51. Is a licence required as a 
condition to obtaining foreign 
exchange?   
52. Is foreign exchange always 
available to cover licences issued?   
53. What formalities must be fulfilled 
for obtaining the foreign exchange?   
 G/LIC/N/3/USA/16  
 
- 70 - 
 
  Product Coverage for Website Section  
Product Description  Ex HS Code  Nomenclature  
For detailed information on the 
list of controlled substances 
requiring import licenses, please 
see: 
https://www.deadiversion.usdoj  
.gov/schedules/index.html   See 
https://www.deadiversion.usdoj  
.gov/schedules/index.html   
 
6  DEPARTMENT OF TREASU RY 
6.1  Alcohol and Tobacco Tax and Trade Bureau  
6.1.1   Distilled Spirits (beverages), Wine and Malt Beverages  
Basic Information  
1. Outline of the system  Importers of distilled spirits, wine, and malt beverages are 
required to have basic permits, issued under the Federal 
Alcohol Administration Act (“FAA Act”), to engage in their  
respective businesses. Similar permit requirements exist 
for producers (except brewers) and wholesalers of distilled 
spirits, wine, and malt beverages in the United States. The 
primary purpose of this requirement is to protect the 
consumer through labelli ng and advertising oversight, to 
prevent unfair trade practices as required by the FAA Act, 
and to enforce all other Federal laws relating to distilled 
spirits, wine, and malt beverages, including taxes. 
Retailers are not required to obtain basic permits u nder 
the FAA Act.  
2. Product coverage  Persons seeking to engage in the business of importing 
distilled spirits, wine, or malt beverages, as defined in the 
FAA Act, into the United States must apply for a Federal 
Basic Importer’s Permit (“Importer’s Permit”).  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Permit Application described below.  
5. Products under restriction as to 
the quantity or value of imports  No. The purpose of the permit system is to provide an 
enforcement mechanism to ensure that importers comply 
with all requirements of Federal law rela ting to alcohol.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  This permit system applies to goods imported into the 
United States.  
8. Expected duration of licensing 
procedure  Permits are issued usually within eight to twelve weeks 
after an application has been filed. Under certain 
circumstances, a permit can be obtained within a shorter 
time frame. Once issued, the permit rem ains valid until 
annulled, suspended or revoked.  
 G/LIC/N/3/USA/16  
 
- 71 - 
 
  Legal Requirements  
9. Is the licensing statutorily 
required?  The permit system is a statutory requirement of the FAA 
Act, 27 U.S.C. 201 et seq. 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title27/USCODE -2011-title27  ..). The regulations 
concerning basic permit requirements, promulgated 
under the FAA Act, are lo cated in 27 CFR Part 1, et seq. 
(http://www.gpo.gov/fdsys/pkg/CFR -2002-title27 -
vol1/content -detail.html).Yes, licensing is a statutory 
requirement.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discret ion? The designation of products requiring a license is not 
subject to administrative discretion.  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  Licensing is a statutory requirement and may not be 
abolished without legislative approval.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Not applicable.  
13. What persons or firms are eligible 
to apply for a license?  Any person, firm, or institution may apply for a license. 
Individuals must be citizens or legal residents of the 
United States; firms or institutions must be incorporated 
in the United States and have the appropriate tax ID with 
the IRS.  
14. Is there a regist ration fee?  There are no registration fees.  
15. Is there a published list of 
authorized importers?  TTB publishes a list of authorized importers at 
http://www.ttb.gov/foia/frl.shtml.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
17. Address  1310 G St NW, Washington, DC 20005  
18. Telephone  1-877-882-3277 
19. Fax  Not applicable.  
20. E-Mail Address  https://www.ttb.gov/contact -nrc 
21. Website  https://www.ttb.gov/what -we-do/online -
services/permits -online  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
 
Documentation Requirements  
24. What information is required in 
applications?  Refer to TTB Form 5100.24 
(http://www.ttb.gov/forms/f510024.pd f), along with 
such supporting documentation as required.  
25. What documents is the importer 
required to supply with the 
application?  Refer to TTB Form 5100.24 
(http://www.ttb.gov/forms/f510024.pdf), along with 
such supporting documentation as required.  
  G/LIC/N/3/USA/16  
 
- 72 - 
 
  Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  Permits are issued usually within eight to twelve weeks 
after an application has been filed.  
27. Are there any limitations as  to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  Under certain circumstances, a permit can be obtained 
within a shorter time frame.  
30. Which administrative body is 
responsible for approving application 
of licences?  The Alcohol and Tobacco Tax and Trade Bureau (TT B) is 
the sole agency that issues basic permits for the 
importation of alcohol beverages.  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  Not applicable.  
32. Are there any other conditions 
attached to the issue of a li cence?  No. 
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  No. 
34. What is the amount of the fee or 
charge?  Not applicable.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No. 
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  27 U.S.C. §204(a) sets forth the circumstances in which 
an application for a permit may be denied 
(http://www.gpo.gov/fdsys/granule/USCOD E-2010-
title26/USCODE -2010-title26 -subtitleE -chap51 -
subchapD -sec5271/content -detail.html)  
41. Are the reasons for any refusal 
given to applicants?  The reasons for any refusal are given to the applicant in 
writing.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes.  
43. If so, to what bodies and under 
what procedures?  In the event of refusal to issue a permit, administrative 
appeals may be made to the Administrator of TTB, and 
then to a Federal court.  
 G/LIC/N/3/USA/16  
 
- 73 - 
 
  Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  For TTB purposes, a Certificate of Age and Origin (if issued 
by country of origin), a Certification for Natural Wine 
(unless an exemption or alternative certification applies 
pursuant to 27 CFR 27.140), and a Certificate of Label 
Approval (TTB Form 5100.31 
(http://www.ttb.gov/forms/f510031.pdf)).  
46. Are there any other 
administ rative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  Yes. For TTB purposes, a Certificate of Age and Origin (if 
issued by country of origin), a Certification for Natural 
Wine (unless an exempt ion or alternative certification 
applies pursuant to 27 CFR 27.140), and a Certificate of 
Label Approval (TTB Form 5100.31 - 
http://www.ttb.gov/forms/f510031.pdf) are required. 
Additionally, any entity in the United States (including 
importers) that sells distilled spirits, wine, or beer to a 
dealer for resale must register as an alcohol dealer with 
TTB before commencing operations for the first time. (See 
26 U.S.C. Chapter 51 
(http://www.gpo.gov/fdsys/granule/USCODE -2010-
title26/USCODE -2010-title26 -subtitl eE-chap51 -
subchapD -sec5271/content -detail.html)  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Continuing, unless annulled where the permit was 
procured through fraud or misrepresentation, or 
suspended or revoked or surrendered where the permit 
holder is found to have violated law or regulations or failed 
to engage in the operations authorized by the permit for 
a period of more than two years.  
48. Is there any penalty for the non-
utilization of a licence or a portion of 
a licence?  Proceedings to revoke a permit may be commenced if the 
permit holder failed to engage in the operations 
authorized by the permit for a period of more than two 
years.  
49. Are licences transferable bet ween 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 G/LIC/N/3/USA/16  
 
- 74 - 
 
  Product  Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
   BEER FROM MALT  
Distilled spirits 
(beverages); 
wine and malt 
beverages   22030000  BEER FRM MALT,GLSS CONT=<4L EA  
  2203000030  BEER MADE FROM MALT OTHER<=4L  
  2203000060  BEER FRM MALT,CONTANRS >4 L EA  
  2203000090  WINE OF FRESH GRAPES  
  2204 SPARKLING WINE  
  22041000  SPARKLING WINE, =< $1.59 PER L  
  2204100030  SPRKLNG WINE,VAL> $1.59/ L,ORG  
  2204100065  SPRKLING WINE,VAL >$1.59/ L,OT  
  2204100075  OTH WINE/GRP MUST CONT 2 LTS OR LESS  
  220421  EFFERVESCENT WINE, CONT <= 2 L  
  2204212000  TOKAY WN,<=$1.05/L,<=14% ALCHL  
  2204213000  OTH WINE/GRP MUST CONT 2 LTS OR 
LESS/OTH  
  22042150  RED WINE,<=$1.05/L,<=14% ALCHL  
  2204215005  WHITE WINE,<=$1.05/L,<=14% ALC  
  2204215015  WINE,OTH,<=$1.05/L,<= 14% ALC  
  2204215025  ICEWINE,>$1.05/L,<=14% ALCL  
  2204215028  RD WNE,>$1.05/L,<=14% ALCHL,OR  
  2204215035  RED WINE,>$1.05/L, <=14% ALCHL  
  2204215040  WHITWNE>$1.05/L,<=14% ALCL,ORG  
  2204215050  WHTWINE>$1.05/L,<=14% ALCL,OTH  
  2204215055  WINE,OTH,> $1.05/L,<= 14% ALCL  
  2204215060  MARSALA, VOL>14%,CONT< 2L  
  2204216000  WINE, OTH VOL>14%, CONT<=2L  
  22042180  SHERRY,OTH,>14% ALCHL,CON <=2L  
  2204218030  WINE,OTHER,>14% ALCHL,CON <=2L  
  2204218060  REDWINE,N/O $1.05/L,2<CONT<=4L  
  2204222005  WHITEWINE N/O$1.05/L,2 -4L CONT  
  2204222015  OTH WINE VALUED <= $1.05/LITER  
  2204222025  RED WINE,>$1.05/L,CNTNRS 2 -4 L 
  2204222030  WHITEWINE,>$1.05/L,CNTNR 2 -4L 
  2204222045  OTH,WINE,> $1.05/L,2 -4L CNTNRS  
  2204222060  WINE,OVR 14% ALC,2<CONTNRS<=4L  
  2204224000  OTH WINE,N/O 14% ALC,4<CONTNRS<=10L  
  2204226000  OTH WINE, OVR 14% ALC,4<CONTNRS<=10L  
  2204228000  WINE OTH  
  220429  WINE  
  22042920  REDWINE,N/O $1.05/L,2<CONT<=4L  
  2204292005  WHITEWINE N/O$1.05/L,2 -4L CONT  
  2204292015  OTH WINE VALUED <= $1.05/LITER  
  2204292025  RED WINE,>$1.05/L,CNTNRS 2 -4 L 
  2204292030  WHITEWINE,>$1.05/L,CNTNR 2 -4L 
  2204292045  OTH,WINE,> $1.05/L,2 -4L CNTNRS  
  2204292060  WINE,OVR 14% ALC,2<CONTNRS<=4L  
  2204294000  WINE,N/O 14% ALC,CNTNRS OVR 4L  
  2204296000  OTH GRAPE MUST,N/O 14% ALC  
  2204296100  WINE,OVR 14% ALC,CNTNR OVR4 L  
  2204298000  OTH GRAPE MUST, OVR 14% ALC  
  2204298100  OTHER GRAPE MUST GRAPE MUST OT  G/LIC/N/3/USA/16  
 
- 75 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2204300000  VERMOUTH, OTH WINE OF FRESH GRAPES 
FLAV 
  2205 VERMOUTH,CONTNRS HOLDING<=2L  
  220510  VERMOUTH, OTH,CONTNRS HOLDNG<=2L  
  2205103000  WINES,OTH,IN CONTAINRS<=2L  
  2205106000  VERMOUTH, OTH CONTAINRS  
  220590  VERMOUTH,CONTNERS >2L AND <=4L  
  2205902000  VERMOUTH,CONTAINRS EA OVER 4 L  
  2205904000  WINES, OTHR,CONTAINERS>2 L  
  2205906000  OTH FERM BEVS, CIDER, PERRY, MEAD, SAKE  
  220600  CIDER,STILL/SPARKLNG,FERMENTED  
  2206001500  HARD CIDER  
  2206001510  CIDER, OTHER  
  2206001520  PRUNE WINE,OTH FERMENTD BEVRGS  
  2206003000  RICE WINE/SAKE OTH FERMNTD BEV  
  2206004500  EFFERVESCENT WINE,OTH,FERM BEV  
  2206006000  OTHER FERMENTED BEVERAGES,OTH  
  2206009000  UNDENATURED ETHYL ALC ABV>=80%, OTH 
DENAT  
  2207 UNDENATURED ETHYL ALC ABV>=80%  
  220710  UNDENATURED ETHYL ALC,BEV PURP  
  2207103000  UNDENATURED ETHYL ALC, NON BEV PURP  
  22071060  UNDENATURD ETHYL ALC, FUEL USE  
  2207106010  UNDENATRD ETHL ALC,N/FUEL,OTHR  
  2207106090  ETHYL ALC DENAT, ANY STRN  
  2207200  ETHYL ALC,DENAT,ANY STRN,FUEL  
  2207200010  ETHYL ALC,DENAT,ANY STR,N/FUEL  
  2207200090  UNDENATURED ETHYL ALC ABV<80%, SPIRITS  
  2208 DISTILLED GRAPE WINE OR GRAPE MARC  
  220820  PISCO & SINGANI,BY DISTLNG GRP  
  2208201000  DISTILLED WINE SP,<4L,<$2.38/L  
  2208202000  OTH DIST WNE SPRT.$2.38<L<3.43  
  2208203000  OTH DIST WINE>$3.43/L, AND=<4L  
  2208204000  UNDENAT ETH,OTH,>4L,<=$2.38/L  
  2208205000  OTH DIST WINE SPRT>4L,>$2.38/L  
  2208206000  WHISKIES  
  220830  IRISH/SCOTCH WHISKY  
  22083030  IRISH/SCOTCH WHISK,CONT <=4L  
  2208303030  IRISH/SCOTCH WHISKY,CON OV 4L  
  2208303060  WHISKIES, OTHER  
  22083060  BOURBON,OTH,IN CONTAINR N/O 4L  
  2208306020  BOURBON,CNTNRS EA OVER 4 L,OTH  
  2208306040  RYE,OTHER,CONTAINERS N/O 4 L  
  2208306055  OTH,WHISKIES,CONT N/OVER 4 L  
  2208306065  RYE,OTHER,CONTAINERS OVER 4 L  
  2208306075  OTH,WHISKIES,CONTAINER OVER 4L  
  2208306085  RUM&TAFIA, CONTAINER NTE 4 LITER  
  220840  RUM&TAFIA,NTE 4 LITER,<=$3/PFL  
  2208402000  RUM&TAFIA,NTE 4 LITER,>$3/PFL  
  2208404000  RUM/TAFIA,N/O $.69PFL CNT >4 L  
  2208406000  RUM/TFIA,O/$.69PFL,CNTNR >4PFL  
  2208408000  GIN AND GENEVE  
  22085000  GIN/GENEVE, CONTAINERS N/O 4 L  
  2208500030  GIN/GENEVE,CONTAINERS OVER 4 L  
  2208500060  VODKA  
  220860  VODKA,<=4 L CNT,<=$2.05/LITER  G/LIC/N/3/USA/16  
 
- 76 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2208601000  VODKA,<=4 L CNT,>$2.05/LITER  
  2208602000  VODKA,CONTAINERS HOLD >4 LITRS  
  2208605000  LIQUEURS&CORDIALS  
  22087000  LIQUEURS&CORDIALS CNTS<=4LITRS  
  2208700030  LIQUEURS&CORDIALS CNTS>4 LITRS  
  2208700060  SPIRITS, OTHER  
  220890  AQUAVIT, OTHER  
  2208900100  BITTERS,OTH,NOT FIT FOR USE AS BEVERGS  
  2208900500  BITTERS,OTH,FOR USE AS BEVERGS  
  2208901000  SLIVOVITZ BDY,<=$3.43/L,EA<=4L  
  2208901200  SLIVOVITZ BDY,<=$3.43/L,EA> 4L  
  2208901400  SLIVOVITZ BRANDY, OVER $3.43/L  
  2208901500  BRANDY,N/O $2.38/L,CONT N/O 4L  
  2208902000  BRANDY,OTH,OV 2.38N/OV $3.43/L  
  2208902500  BRANDY,OV $3.43/L CONT N/OV 4L  
  2208903000  BRANDY,N/OV $2.38/L,CONT OV 4L  
  2208903500  BRANDY,OV $2.38/L,CNTNRS OV 4L  
  2208904000  KIRSCHWASSER&RATAFIA  
  22089046  KIRSCHWSR&RATAFIA CNTS<=4LITRS  
  2208904630  KIRSCHWSR&RATAFIA CNTS>4 LITRS  
  2208904660  TEQUILA,IN CNTAINRS EA N/OV 4L  
  2208905000  TEQUILA,IN CONTAINRS EA OVR 4L  
IMITATIONS OF BRANDY/OTH SPIRT  
MESCAL,CONTAINERS HOLD N/O 4 L  
SPIRITS,OTHER THN MESCAL <= 4L  
SPIRITS, OTHER, NSPF  
 
 
6.1.2   Distilled Spirits or Alcohol for Industrial Use (including alcohol for fuel use)  
Basic Information  
1. Outline of the system  The Internal Revenue Code of 1986 requires that 
producers of distilled spirits or alcohol for industrial 
purposes have permits. If distributor s or users want to 
obtain industrial spirits or alcohol without paying the 
excise tax under 26 U.S.C. 5001 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26... ), 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.  
2. Product coverage  A permit for the importation of alcohol for industrial use 
may be required. Alcohol or distilled spirits as defined in 
26 U.S.C. 5002(a) 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26... ) includes denatured 
spirits. Such alcohol may only be received into this 
country by an authorized dist illed spirits plant (under a 
registration or operating permit) that holds a sufficient 
bond under the Internal Revenue Code unless the spirits 
are tax paid upon importation.  
 
  G/LIC/N/3/USA/16  
 
- 77 - 
 
  Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Permit Application  
5. Products under restriction as to 
the quantity or value of imports  No. The purpose is to prevent tax fraud.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not applicable.  
7. The system applies to products 
originating from which country?  All countries.  
8. Expected duration of licensing 
procedure  Continuing, unless revoked, suspended or surrendered. 
Permits are subject to revocation if not used for more than 
two years.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Please see: 26 U.S.C. 5171 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26... ), 26 U.S.C. 5181 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26... ), 27 CFR Part 19 
(http://www.gpo.gov/fdsys/granule/CFR -2002-title27 -
vol1/CFR -2002-title27 -...). The licensing system was 
created by statute.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  The designation of products requiring a license is not 
subject to administrative discretion.  
11. Is it possible for the government 
to abolish the system without 
legislative a pproval?  No.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Not applicable.  
13. What persons or firms are eligible 
to apply for a license?  Any person, firm, or institution may apply for a license. 
Individuals must be citizens or legal residents of the 
United States; firms or institutions must be incorporated 
in the United States and have the appropriate tax ID with 
the IRS.  
14. Is there a registration fee?  There  are no registration fees.  
15. Is there a published list of 
authorized importers?  There is no published list of authorized importers.  
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
17. Address  1310 G St NW, Washington, DC 20005  
18. Telephone  1-877-882-3277 
19. Fax  Not applicable.  G/LIC/N/3/USA/16  
 
- 78 - 
 
  20. E-Mail Address  https://www.ttb.gov/contact -nrc 
21. Website  https://www.ttb.gov/what -we-do/online -
services/permits -online  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
 
Documentation Requirements  
24. What information is required in 
applications?  See Application for Operating Permit TTB Form 5110.25 
(http://www.ttb.gov/forms/f511025.pdf ); 
Alcohol for fuel use TTB Form 5110.74 
(http://www.ttb.gov/forms/f511074.pdf ), as appropriate, 
along with such sup porting documentation as required.  
25. What documents is the importer 
required to supply with the 
application?  See Application for Operating Permit TTB Form 5110.25 
(http://www.ttb.gov/forms/f511025.pdf ); 
Alcohol for fuel use TTB Form 5110.74 
(http://www.ttb.gov/forms/f511074.pdf ), as appropriate, 
along with such supporting documentation as required.  
  
Window of Submission of an Application  
26. How fa r in advance of importation 
must application for a licence be 
made?  Registrations or operating permits under the Internal 
Revenue Code are usually issued within six to eight 
months after the application has been filed.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No. 
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  Under certain circumstances, a permit can be obtained 
within a shorter time frame.  
30. Which administrative body is 
responsible for approving application 
of licences?  TTB has sole authority to issue the permit required under 
26 U.S.C. 5712 and 5713, and therefore the importer 
does not have to approach any other agency in order to 
meet the application requirements for the permit.  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  No. 
32. Are there any other conditions 
attached to the issue of a licence?  No. 
 
Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  No.  
34. What is the amount of the fee or 
charge?  Not applicable.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  No.  G/LIC/N/3/USA/16  
 
- 79 - 
 
  36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused 
other than failure to meet the 
ordinary criteria?  The circumstances for denying an application for a permit 
are stated in 26 U.S.C. 5271 
(http://www.gpo.gov/fdsys/granule/USCODE -2010-
title26/USCODE -2010-title26... ). 
41. Are the reasons f or any refusal 
given to applicants?  The reasons for any refusal are given to the applicant in 
writing.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes. 
43. If so, to what bodies and under 
what procedures?  An applican t may appeal the denial of a permit to the 
Administrator of TTB, and then to a Federal court.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  Ordinary commercial papers.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  TTB has no other administrative procedures, apart from 
permit requirements, required prior to importation.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Continuing, unless revoked, suspended or surrendered.  
48. Is there any penalty for the non-
utilization of a licence or a portion of 
a licence?  Permits are subject to revocation if not used for more than 
two years.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  No. 
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 G/LIC/N/3/USA/16  
 
- 80 - 
 
  Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
 
  2207 UNDENATURED ETHYL ALC ABV>=80%, OTH 
DENAT  
  220710  UNDENATURED ETHYL ALC ABV>=80%  
  2207103000  UNDENATURED ETHYL ALC,BEV PURP  
  22071060  UNDENATURED ETHYL ALC, NON BEV PURP  
  2207106010  UNDENATURD ETHYL ALC, FUEL USE  
  2207106090  UNDENATRD ETHL ALC,N/FUEL,OTHR  
  2207200  ETHYL ALC DENAT, ANY STRN  
  2207200010  ETHYL ALC,  DENAT,  ANY STRN,FUEL  
  2207200090  ETHYL ALC  ,DENAT  ,ANY STR,N/FUEL  
 
6.1.3   Tobacco Products  
Basic Information  
1. Outline of the system  The Internal Revenue Code of 1986 (Title 26 U.S.C. 
Chapter 52 – please see 
http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26...) requires that 
manufacturers and importers of tobacco products or 
processed tobacco and proprietors of export warehouses 
(bonded internal revenue war ehouses for the storage of 
tobacco products or cigarette papers or tubes or any 
processed tobacco, upon which the internal revenue tax 
has not been paid, for subsequent export) must apply for 
and obtain a permit from TTB before engaging in such 
businesses.  The primary purpose of these permits is to 
ensure proper collection of Federal excise tax revenue 
from tobacco products.  
2. Product coverage  As noted, manufacturers and importers of tobacco 
products or processed tobacco and proprietors of export 
warehouses (bonded internal revenue warehouses for the 
storage of tobacco products or cigarette papers or tubes 
or any processed tobacco, upon which th e internal 
revenue tax has not been paid, for subsequent export) 
must apply for and obtain a permit from TTB before 
engaging in such businesses. Tobacco products are 
defined in the Internal Revenue Code as cigarettes, cigars, 
smokeless tobacco (that is, ch ewing tobacco or snuff), 
pipe tobacco, and roll your own tobacco. Manufacturers of 
tobacco products and export warehouse proprietors are 
required to maintain a bond related to their Federal excise 
tax liability. Processed tobacco is any tobacco that has 
undergone processing, but does not include tobacco 
products. The processing of tobacco includes, but is not 
limited to, stemming (that is, removing the stem from the 
tobacco leaf), fermenting, threshing, cutting, or flavouring 
the tobacco, or otherwise combi ning tobacco with non -
tobacco ingredients. It does not include curing, baling, or 
packaging activities. Those who farm or grow tobacco or 
who handle tobacco solely for sale, shipment, or delivery  
 to a manufacturer of tobacco products or processed 
tobacc o are not required to obtain from TTB a permit to 
engage in such activities.  
 G/LIC/N/3/USA/16  
 
- 81 - 
 
  Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non-Automatic Licensing 
regime  Non-Automatic.  See below for description.   
5. Products under restriction as to 
the quantity or value of imports  No. The permit system does not restrict the quantity or 
value of imported tobacco products or processed tobacc o.   
6. Questions for products under 
restriction as to the quantity or 
value of imports  Not Applicable  
7. The system applies to products 
originating from which country?  All countries.  
8. Expected duration of licensing 
procedure  Permits for importers of tobacco products or processed 
tobacco that were issued before 26 August 2013, are valid 
for three years from the effective date shown on the 
permit and may not be renewed.  Permits for importers of 
tobacco products or processed tobacco that ar e issued on 
or after 26 August 2013, are valid for five years from the 
effective date shown on the permit and may be renewed 
for an additional five years  by making application within 
30 days of expiration.  
 
Legal Requirements  
9. Is the licensing statutorily 
required?  Yes. The Internal Revenue Code of 1986 at 26 U.S.C. 
5712 and 5713 requires that every person, prior to 
commencing business as a manufacturer or importer of 
tobacco products or processed tobacco, or as an export 
warehouse proprietor, q ualify for and obtain a permit to 
engage in such business 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26...).  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  There is no discretion for the executive branch to change 
the products 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26...) subject to the permit 
requirements  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  No.  
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  Not applicable.  
13. What persons or firms are eligible 
to apply for a license?  Any person, firm, or institution may apply for a license. 
Individuals must be citizens or legal residents of the 
United States; firms or institutions must be incorporated 
in the United States and have the appropriate tax ID with 
the IRS.  
14. Is there a registration fee?  There  are no registration fees.  
15. Is there a published list of 
authorized importers?  There is no published list of authorized importers.  
 G/LIC/N/3/USA/16  
 
- 82 - 
 
  Contact Point for Information on Eligibility  
16. Ministry/Authority  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
17. Address  1310 G St NW, Washington, DC 20005  
18. Telephone  1-877-882-3277 
19. Fax  Not applicable.  
20. E-Mail Address  https://www.ttb.gov/contact -nrc 
21. Website  https://www.ttb.gov/what -we-do/online -
services/permits -online  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Alcohol and Tobacco Tax and Trade Bureau, U.S. 
Department of the Treasury  
 
Documentation Requirements  
24. What information is required in 
applications?  Refer to TTB Form 5230.4 
(http://www.ttb.gov/forms/f52304.pdf), along with such 
supporting documentation as required.  
25. What documents is the importer 
required to supply with the 
application?  Refer to TTB Form 5230.4 
(http://www.ttb.gov/forms/f52304.pdf), along with such 
supporting documentation as required.  
  
Window of Submission of an Application  
26. How far in advance of importation 
must app lication for a licence be 
made?  Permits are usually issued within six to nine months after 
an application has been filed.  
27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  No.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  No. The Internal Revenue Code of 1986 at section 5712 
(26 U.S.C. 5712) sets forth the conditions for determining 
whether a person qualifies for a permit, and these 
conditions cannot b e met with immediate licensing.  
29. Can licences be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  No.  
30. Which administrative body is 
responsible for approving application 
of licences?  TTB has sole authority t o issue the permit required under 
26 U.S.C. 5712 and 5713, and therefore the importer 
does not have to approach any other agency in order to 
meet the application requirements for the permit.  
31. Must the applications be passed 
on to other organs for visa,  note or 
approval?  No. 
32. Are there any other conditions 
attached to the issue of a licence?  An application for the renewal of a permit as an importer 
of tobacco products or processed tobacco may be rejected 
and the permit denied if no activity has taken  place or 
been reported under such permit for a period of one year 
immediately prior to the application for renewal. Permits 
may also be revoked for the reasons listed under 26 
U.S.C. 5713.  G/LIC/N/3/USA/16  
 
- 83 - 
 
  Fees and Other Administrative Charges  
33. Is there any licensing fee or 
administrative charge?  Not applicable.  
34. What is the amount of the fee or 
charge?  Not applicable.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  Not applicable.  
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 
Refusal of an Application  
40. Under what circumstances may 
an application for a licence  be refused 
other than failure to meet the 
ordinary criteria?  There are no additional circumstances for denying an 
application for a permit other than what is stated in 26 
U.S.C. 5712 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26...). 
41. Are the reasons for any refusal 
given to applicants?  The reasons for any refusal are given to the applicant in 
writing.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes. 
43. If so, to what bodies and under 
what procedures?  An applicant may appeal the denial of a permit to the 
Administrator of TTB, and then to a Federal court.  
 
Importation  
44. Are there any limitations as to the 
period of year during which 
importation may be made?  No.  
45. What documents are required 
upon actual importation?  Not applicable.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  TTB has no other administrative procedures , apart from 
permit requirements, required prior to importation.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  Permits for importers of tobacco products or processed 
tobacco that are issued on  or after August 26, 2013, are 
valid for five years from the effective date shown on the 
permit and may be renewed for an additional five years 
by making application within 30 days of expiration.  
48. Is there any penalty for the non-
utilization of a licence or a portion of 
a licence?  An application for the renewal of a permit as an importer 
of tobacco products or processed tobacco may be rejected 
and the permit denied if no activity has taken place or 
been reported under such perm it for a period of one year 
immediately prior to the application for renewal.  
49. Are licences transferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  Permits are not transferable to another person.  
 G/LIC/N/3/USA/16  
 
- 84 - 
 
  Foreign Ex change  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable  
52. Is foreign exchange always 
available to cover licences issued?  Not applicable  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Tobacco 
products - 
cigarettes, 
cigars, 
smokeless 
tobacco (that is, 
chewing tobacco 
or snuff), pipe 
tobacco, and roll 
your own 
tobacco   2401 UNMANUFACTURED TOBACCO; TOBACCO REFUSE  
  240110  TOBACCO, NOT STEMMED/STRIPPED  
  24011021  WRAPPER TOBACCO  
  2401102120  CONN SHADE>35% W/T,NOT STEM  
  2401102140  OTH UNMN TOBAC,>35% WT,NT STEM  
  24011029  OTHER  
  2401102920  OTHER CONN SHADE,NOT STEM  
  2401102940  OTH UNMN TOBAC,OTHER  
  2401104400  CIG LEAF,ORIEN/TURK,N/O35%WRAP  
  2401104800  TBCO,ORIEN/TURK,N/O35%WRAP,OTH  
  24011053  CIGAR BINDER AND FILLER  
  2401105340  CIGAR BINDER,NOT OVER 35% WRAP  
  2401105350  CIGAR FILLER,NOT OVER 35% WRAP  
  24011061  OTHER THAN CIGARETTES  
  2401106130  FLUE-CURED CIG LEAF,O/T CIGETE  
  2401106160  BURLEY CIG LEAF,O/T CIGARETTES  
  2401106180  MARYLAND CIG LEAF,O/T CIGRTES  
  2401106190  OTHER CIG LEAF,O/T CIGARETTES  
  24011063  US NOTE 5  
  2401106330  FLUE-CURED CIG LEAF,US NOTE 5  
  2401106360  BURLEY CIG LEAF,US NOTE 5  
  2401106380  MARYLAND CIG LEAF,US NOTE 5  
  2401106390  OTHER CIG LEAF,US NOTE 5  
  24011065  NOT US NOTE 5  
  2401106530  FLUE-CURED CIG LEAF,NOT US NT5  
  2401106560  BURLEY CIG LEAF,NOT US NT5  
  2401106580  MARYLAND CIG LEAF,NOT US NT5  
  2401106590  OTHER CIG LEAF,NOT US NT5  
  24011095  OTHER  
  2401109510  FIRE-CURED KENT/TENN TOB,NT ST  
  2401109515  DARK -AIR KENT/TENN TOB,NT STEM  
  2401109520  VRGNIA FIRECURED,N/O35%,NT STM  G/LIC/N/3/USA/16  
 
- 85 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2401109525  VRGNIA SUNCURED,N/O35%,NT STM  
  2401109530  BLACKFAT TOBACCO,N/O35%,NT STM  
  2401109560  OTHER TOBACCO,N/O35%,NT STM  
  240120  TOBACCO, PRTLY OR WHLY STEMMED/STRPPED  
  2401200500  LF TOBCO,PROD2+ COUNT IF MIXED  
  24012014  WRAPPER TOBACCO  
  2401201420  CONN SHADE TOB>35% WT,STEMMED  
  2401201440  WRPR TOBACCO,CONT>35%WT,STEMED  
  2401201800  OTH TOBACCO,CONT>35%WT,STEMMED  
  2401202300  ORIENT/TURK CIG LEAF,N/O 35%WT  
  2401202600  ORIENT/TURK TOBACCO,N/O 35%WT  
  24012029  CIGAR BINDER AND FILLER  
  2401202970  CIG BINDER,CONT N/O35% WT,STEM  
  2401202990  CIG FILLER,CONT N/O35% WT,STEM  
  24012031  OTHER THAN CIGARETTES  
  2401203110  FLUE-CURED TOB,STMSTRP,O/T CIG  
  2401203120  BURLEY TOB,STMSTRP,O/T CIGRTES  
  2401203130  MARYLAND TOB,STMSTRP,O/T CIGRT  
  2401203140  OTHER TOB,STMSTRP,O/T CIGRT  
  24012033  US NOTE 5  
  2401203310  FLUE-CURED TOB,STMSTRP,US NTE5  
  2401203320  BURLEY TOB,STMSTRP,US NOTE 5  
  2401203330  MARYLAND TOB,STMSTRP,US NOTE 5  
  2401203340  OTHER TOB,STMSTRP,US NOTE 5  
  24012035  NOT US NOTE 5  
  2401203510  FLUE-CURED CIG LEAF,NOT US NT5  
  2401203520  BURLEY CIG LEAF,NOT US NT5,STM  
  2401203530  MARYLAND CIG LEAF,NOT US NT5  
  2401203540  OTHER CIG LEAF,NOT US NT5  
  24012057  OTHER  
  2401205710  FIRE-CURED KY&TN N/O35%WT,ST  
  2401205715  DARK -AIR KY&TN N/O35%WT,ST  
  2401205720  VA FIRE/ -CUR N/O35%WT,ST OT  
  2401205725  VA SUN/ -CUR N/O35%WT,ST OT  
  2401205730  BLACK FAT TOB N/O35%WT,STEM OT  
  2401205740  OTHER TOBACCO N/O35%WT,STEM OT  
  24012060  FROM CIGAR LEAF  
  2401206020  TOBCO,CIGR LF;CONECTICUTSHADE  
  2401206040  TOBACCO,STM/STP,CIGAR LEAF,OTH  
  2401207500  ORIENT/TURK TOBACCO,THRESHED  
  24012083  OTHER THAN CIGARETTES  
  2401208310  FLUECURD TOBACCO THRSH,O/T CIG  
  2401208320  BURLEY TOBACCO, THRSH,O/T CIGS  
  2401208330  MARYLAND TOBACCO THRSH,O/T CIG  
  2401208335  FIRE,KN/TN,TOBCO,THRSH,O/T CIG  
  2401208340  DARK,KN/TN,TOBCO,THRSH,O/T CIG  
  2401208350  FIRECRD,VA,TOBCO,THRSH,O/T CIG  
  2401208355  SUNCRD,VA,TOBCO,THRSH,O/T CIG  
  2401208360  BLACKFAT,TOBCO,THRSH,O/T CIG  
  2401208390  OTHER,TOBACCO,THRSH,O/T CIGRTS  
  24012085  US NOTE 5  
  2401208510  FLUECURD TOBACCO THRSH,USNOTE5  
  2401208520  BURLEY TOBACCO, THRSH,US NOTE5  
  2401208530  MARYLAND TOBACCO THRSH,USNOTE5  
  2401208535  FIRE,KN/TN,TOBCO,THRSH,USNOTE5  
  2401208540  DARK,KN/TN,TOBCO,THRSH,USNOTE5  G/LIC/N/3/USA/16  
 
- 86 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2401208550  FIRECRD,VA,TOBCO,THRSH,USNOTE5  
  2401208555  SUNCRD,VA,TOBCO,THRSH,US NOTE5  
  2401208560  BLACKFAT,TOBCO,THRSH,US NOTE 5  
  2401208590  OTHER,TOBACCO,THRSH,US NOTE 5  
  24012087  NOT US NOTE 5  
  2401208710  FLUECURD TOBACCO THRSH,OTHER  
  2401208720  BURLEY TOBACCO, THRSH,OTHER  
  2401208730  MARYLAND TOBACCO THRSH,OTHER  
  2401208735  FIRE,KN/TN,TOBCO,THRSH,OTHER  
  2401208740  DARK,KN/TN,TOBCO,THRSH,OTHER  
  2401208750  FIRECRD,VA,TOBCO,THRSH,OTHER  
  2401208755  SUNCRD,VA,TOBCO,THRSH,OTHER  
  2401208760  BLACKFAT,TOBCO,THRSH,OTHER  
  2401208790  OTHER,TOBACCO,THRSH, OTHER  
  240130  TOB REFUSE FROM CIGAR LF, TOB STEMS  
  2401300300  TOBCSTM:N/CT,N/GRND,N/PLV,CIGR  
  2401300600  TOBCSTM:CUT,GROUND,PLVRZD,CIGR  
  2401300900  TOBACCO REFUSE,CIGARLEAF,OTHER  
  2401301300  TOBCSTM:N/CT,N/GRND,N/PLV,ORNT  
  2401301600  TOBCSTM:CUT,GROUND,PLVRZD,ORNT  
  2401301900  TOBACCO REFUSE,ORIENTAL/TRK,OT  
  24013023  NOT CUT, NOT GROUND, NOT PULVERIZED  
  2401302310  FLUECRD TBCO STM:N CT,CG,N PUL  
  2401302320  BURLEY,TBCO STMS:N CT,CG,N PUL  
  2401302335  FIRECRD,TBCO STMS:N CT,CG,KYTN  
  2401302340  DARKAIR,TBCO STMS:N CT,CG,KYTN  
  2401302350  VA FIRECURED,TBCO STMS:N CT,CG  
  2401302360  VA SUNCURED,TBCO STMS:N CT,CG  
  2401302390  OTH TOBACO STMS:N CUT,CG,N PUL  
  24013025  CUT, GROUND, OR PULVERIZED  
  2401302510  FLUCRD,TBCO STMS:CT,GRND,PLVRZ  
  2401302520  BURLEY,TBCO STMS:CT,GRND,PLVRZ  
  2401302535  FIRECRD,TBCO STMS:CT,GRND,KYTN  
  2401302540  DARKAIR,TBCO STMS:CT,GRND,KYTN  
  2401302550  VA FIRE,TBCO STMS:CT,GRND  
  2401302560  VA SUN,TBCO STMS:CT,GRND,PLVER  
  2401302590  OTH TBCO STMS:CUT,GROND,PULVRZ  
  24013027  OTHER TOBACCO REFUSE  
  2401302710  OTHER TOBACCO REFUSE,FLUECURED  
  2401302720  OTHER TOBACCO REFUSE, BURLEY  
  2401302735  OTH TOBACCO REFUSE,FIRECR,KYTN  
  2401302740  OTH TOBACCO REFUSE,DRKAIR,KYTN  
  2401302750  OTH TOBACCO REFUSE,VA,FIRECURD  
  2401302760  OTH TOBACCO REFUSE,VA,SUNCURED  
  2401302790  OTHER TOBACCO REFUSE  
  24013033  NOT CUT, NOT GROUND, NOT PULVERIZED, USN5  
  2401303310  FLUECRD TBC STM:NCT,NPUL,USN5  
  2401303320  BRLY,TBCO STMS:NCT,CG,NPL,USN5  
  2401303335  FRCRD,TBC STMS:NCT,CG,KYTN,US5  
  2401303340  DRKAIR,TBCO STMS:NCT,KYTN,USN5  
  2401303350  VA FRECRD,TBCSTMS:N CT,NG,USN5  
  2401303360  VA SNCRD,TBCO STMS:N CT,NG,US5  
  2401303390  OTH TBAC STMS:N CT,NG,NPUL,US5  
  24013035  CUT, GROUND, OR PULVERIZED, USN5  
  2401303510  FLCRD,TBCOSTMS:CT,GRND,PLV,US5  
  2401303520  BRLY,TBC STMS:CT,GRND,PLV,USN5  G/LIC/N/3/USA/16  
 
- 87 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2401303535  FIRCRD,TBCSTM:CT,GRND,KYTN,US5  
  2401303540  DRKAR,TBC STM:CT,GRND,KYTN,US5  
  2401303550  VA FIRE,TBCO STMS:CT,GRND,USN5  
  2401303560  VASN,TBC STM:CT,GRND,PLVER,US5  
  2401303590  OTHTBCO STM:CT,GRND,PULVRZ,US5  
  24013037  OTHER, US NOTE 5  
  2401303710  OTH TOBACCO REFSE,FLUCURED,US5  
  2401303720  OTH TOBACCO REFUSE,BURLEY,USN5  
  2401303735  OTH TBC REFUSE,FIRECR,KYTN,US5  
  2401303740  OTH TBC REFUSE,DRKAIR,KYTN,US5  
  2401303750  OTH TBCO REFUSE,VA,FIRCRD,USN5  
  2401303760  OTH TBCO REFUSE,VA,SNCRED,USN5  
  2401303790  OTHER TOBACCO REFUSE,US NOTE 5  
  24013070  OTHER TOBACCO REFUSE  
  2401307010  OTH TOBACCO REFSE,FLUCURED,OTH  
  2401307020  OTH TOBACCO REFUSE,BURLEY,OTHR  
  2401307035  OTH TBC REFUSE,FIRECR,KYTN,OTH  
  2401307040  OTH TBC REFUSE,DRKAIR,KYTN,OTH  
  2401307050  OTH TBCO REFUSE,VA,FIRCRD,OTHR  
  2401307060  OTH TBCO REFUSE,VA,SNCRED,OTHR  
  2401307090  OTHER TOBACCO REFUSE, OTHER  
  2402 CIGRS,CHEROOTS,CGRLOS,CIGRETS, TOB&TOB SUB  
  240210  CIGRS,CHEROOTS,CGRLOS,CIGRETS, TOB  
  24021030  CIGRS,CHEROOTS,CGRLOS,CIGRETS, TOB <$.15  
  2402103030  SML CGRS,=<1.36KG/1000,<$.15EA  
  2402103070  CIGRS<$.15,OTHER  
  2402106000  CGR,CHER >=$.15 EA BUT<$.23 EA  
  24021080  CIGARS,CHEROOT,>= $.23 EACH  
  2402108030  CIGARS,CHEROOT,>= $.23 EACH  
  2402108050  CIGARS,=>$.23THRU $.76 EA,OTHR  
  2402108080  CIGARS,CHEROOT,>=$.23 EACH,OTH  
  240220  CIGARETTES CONTAINING TOBACCO  
  2402201000  CIGARETTES CONT TOBACO & CLOVE  
  2402208000  PAPER -WRAP CIGRETS CONT TOBACO  
  2402209000  CIGARETTES CONT TOBACCO,OTHER  
  2402900000  OTHER  
  2403 OTHER MANUFCTD TOBACCO&SUBS  
  2403110000  SMOK TOBACO,WATER PIPE TBCO  
  240319  SMOK TOBACO, OTHER  
  24031920  SMOK TOBACO,RETAIL  
  2403192020  SMOK TOBACO,RETAIL,PIPE TBCO  
  2403192050  SMOKNG TOBACO,ROLL OWN TOBACCO  
  2403192080  SMOKNG TOBACO RETAIL SZ PK,OTH  
  24031930  NOT CIGARETTES  
  2403193050  FLUECURD SMKIG TOBACCO,N/CIGRT  
  2403193060  BURLEY SMKIG TOBACCO,N/CIGRTES  
  2403193080  MRYLND SMKIG TOBACCO,N/CIGRTES  
  2403193090  OTHER SMKIG TOBACCO,N/CIGRTES  
  24031960  US NOTE 5  
  2403196050  FLUECURD SMKIG TOBACCO,USNOTE5  
  2403196060  BURLEY SMKIG TOBACCO,USNOTE5  
  2403196080  MARYLAND SMKIG TOBACCO,USNOTE5  
  2403196090  OTHER SMKIG TOBACCO,USNOTE5  
  24031990  OTHER SMKIG TOBACCO  
  2403199050  FLUECURD SMKIG TOBACCO,OTHER  
  2403199060  BURLEY SMKIG TOBACCO,OTHER  G/LIC/N/3/USA/16  
 
- 88 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
  2403199080  MARYLAND SMOKING TOBACCO,OTHER  
  2403199090  OTHER SMKIG TOBACCO,OTHER  
  240391  HOMOGNZD/RECNSTD TOBACCO  
  2403912000  HOMOGNZD/RECNSTD TB;WRAPR TOBO  
  24039143  NOT CIGARETTES  
  2403914350  HOMOGNZD TOBAC,FLUCRD,N/CIGRTS  
  2403914360  HOMOGNZD TOBAC,BURLEY,N/CIGRTS  
  2403914380  HOMOGNZD TOBAC,MRYLND,N/CIGRTS  
  2403914390  HOMOGNZD TOBAC,OTHER,N/CIGRTS  
  24039145  US NOTE 5  
  2403914550  HOMOGNZD TOBAC,FLUCRD,USNOTE5  
  2403914560  HOMOGNZD TOBAC,BURLEY,USNOTE5  
  2403914580  HOMOGNZD TOBAC,MARYLND,USNOTE5  
  2403914590  HOMOGNZD TOBAC,OTHER,USNOTE5  
  24039147  HOMOGNZD TOBAC, OTHER  
  2403914750  HOMOGNZD TOBAC,FLUCRD,OTHER  
  2403914760  HOMOGNZD TOBAC,BURLEY,OTHER  
  2403914780  HOMOGNZD TOBAC,MARYLAND, OTHER  
  2403914790  HOMOGENIZED TOBACCO, OTHER  
  240399  OTHER  
  24039920  OTHER MARKT -CONSUMR  
  2403992030  CHEWING TOBACCO, MARKT -CONSUMR  
  2403992040  SNUFF,SNUFF FLOURS,MARKETCNSMR  
  2403992090  OTHR MANUFACD TOBACO,MRKCNSMR  
  24039930  NOT CIGARETTES  
  2403993050  MANFCTRD TOB,FLUECURD,NO CGRTS  
  2403993060  MANFCTRD TOB,BURLEY,NO CGRTS  
  2403993065  PT MNFCTRD,BLND/MXD TOB,NOCGRT  
  2403993070  OTH MNUFCTURD TOBACO,NO CIGRTS  
  24039960  US NOTE 5  
  2403996050  MANFCTRD TOB,FLUECURD,US NOTE5  
  2403996060  MANFCTRD TOB,BURLEY,US NOTE5  
  2403996065  PT MNFCTRD,BLND/MXD TOB,USNTE5  
  2403996070  OTH MNUFCTURD TOBACO,US NOTE 5  
  24039990  OTHER MANFCTRD TOBACCO  
  2403999050  MANFCTRD TOB,FLUECURD,OTHER  
  2403999060  MANFCTRD TOB,BURLEY,OTHER  
  2403999065  PT MNFCTRD,BLND/MXD TOB,OTHER  
  2403999070  OTH MNUFCTURD TOBACO,OTHER  
  4813100000  CIGRET PAPR IN BOOKLETS/TUBES  
  4813200000  CIGRETPAPR, ROLLS N/O 5CM WIDE  
  4813900000  OTHR CIGRETPAPR WHTR/NOT CUT  
 
7  NUCLEAR REGUL ATORY COM MISSION  
7.1  Nuclear Facilities and Materials  
Basic Information  
1. Outline of the system  The Nuclear Regulatory Commission (NRC) regulations 
governing the import of certain nuclear facilities and most 
radioactive materials are published in 10 CFR Part 110 
pursuant to the Atomic Energy Act of 1954, as amended, 
and the Energy Reorganization Act of 1974, as amended. 
These regulations apply to all persons in the United States 
although certain exemptions exist for the U.S.  G/LIC/N/3/USA/16  
 
- 89 - 
 
   Department of Energy and the U.S. Department of 
Defense.  
 
The nuclear facilities and radioactive materials subject to 
NRC im port licensing authority include: production and 
utilization facilities, special nuclear materials, source 
materials, and by -product materials, including when such 
materials are contained in radioactive waste. The 
definition for each of these terms is prov ided in 10 CFR § 
110.2.  
 
These items may be imported under either a general NRC 
license or a specific NRC license. A general import license 
is effective and does not require filing an application with 
NRC for review or issuance of a written license documen t 
to a particular person. If the general license provisions in 
10 CFR 110.27 do not authorize an import, then a specific 
import license is required. An application must be filed 
with NRC for review, and if approved, a written license 
document is issued to a named person, authorizing 
specific transactions to occur within a set time period.  
 
Most by -product, source, and/or special nuclear materials 
are authorized for import under an NRC general license to 
the extent the U.S. consignee possesses an appropriat e 
domestic authorization required for receipt, use, or 
distribution of the import. Parties utilizing the NRC general 
import license in 10 CFR § 110.27 must comply with 
applicable domestic regulations, often administered by 
one or more U.S. federal and/or s tate government 
agencies. Depending on the type and quantity of material 
involved, importers may be required to provide advance 
notification of shipment to NRC and maintain records of 
the transactions for a period of three to five years.  
 
Specific NRC lice nses are required for imports of 
production or utilization facilities, 100 kilograms or more 
per shipment of irradiated nuclear fuel, and any special 
nuclear, source or by -product materials in the form of 
radioactive waste.  
 
On July 1, 2005, NRC added new specific license 
requirements for imports of certain radioactive sealed 
sources and radionuclides in bulk form to codify certain 
provisions of the International Atomic Energy Agency 
(IAEA) Code of Conduct on the Safety and Security of 
Radioactive Sources ( Code of Conduct). Appendix P was 
added to 10 CFR 110, which lists the radioactive materials 
and establishes Category 1 and 2 threshold quantities, 
requiring a specific NRC license for import into the United 
States beginning December 28, 2005. On July 28, 2 010, 
the NRC published a final rule in the Federal Register that, 
among other things, amended 10 CFR Part 110 to allow 
imports of Category 1 and Category 2 quantities of 
material listed in Appendix P under a general license (28 
July 2010; 75 FR 44072). Thi s change was made because 
of enhancements to the NRC’s domestic regulatory 
framework. Importers of Category 1 and 2 materials 
under a general license are still subject to the notification 
requirement prior to shipment as set forth in § 110.50. 
The rule cha nge requires notification seven days in G/LIC/N/3/USA/16  
 
- 90 - 
 
  advance of shipments for imports authorized under the 
general license.  
 
On April 20, 2006, the NRC amended its regulations 
governing the import and export of nuclear equipment and 
material to implement the provisions  of the Energy Policy 
Act of 2005. This amendment revised the definition of by -
product material to include discrete sources of radium 
226, accelerator -produced radioactive material, and 
discrete sources of naturally occurring radioactive 
material. The spec ific import licenses required for imports 
of radium -226 that met the threshold values of the IAEA 
Code of Conduct were eliminated in 2010 (see 75 FR 
44072).  
 
On July 10, 2014, the NRC amended its regulations 
pertaining to the export and import of nuclear  
 materials and equipment to conform United States export 
controls to the international export control guidelines of 
the Nuclear Suppliers Group (NSG), of which the United 
States is a participating government, and to incorporate 
by reference the cur rent version of the International 
Atomic Energy Agency's (IAEA) document, “Nuclear 
Security Recommendations on Physical Protection of 
Nuclear Material and Nuclear Facilities 
(INFCIRC/225/Revision 5), January 2011.  
2. Product coverage  An NRC license – either general or specific – is required 
for imports of production and utilization facilities; special 
nuclear material; source material and by -product 
material.  
 
Nature of Licensing  
Automatic:  
3. If Automatic, administrative 
purpose  Not applicable.  
Non-Automatic:  
4. If Non -Automatic, description of 
the notified Non -Automatic Licensing 
regime  Non-Automatic. The purpose of the license is to it is to 
protect public health and safety and the environment, and 
maintain the common defense and security of the United 
States, by exercising prudent controls over the 
possession, use, distribution, and transport of such items.  
5. Products under restriction as to 
the quantity or value of imports  The purpose of adopting licensing requirements is not to 
restrict quantities or values of items imported; it is to 
protect public health and safety and the environment, and 
maintain the common defense and security of the United 
States, by exercising prudent controls over the 
possession, us e, distribution, and transport of such items.  
6. Questions for products under 
restriction as to the quantity or 
value of imports  There are no restrictions specifically designed to limit the 
quantities or values of items imported under NRC 
regulations; how ever, quantities of material imported 
could be restricted by the U.S. consignee domestic 
possession limit.  
7. The system applies to products 
originating from which country?  The licensing requirements apply to goods originating in 
and coming from all countries, but do not apply to trans -
shipments, i.e., those that are simply passing through the 
United States.  
8. Expected duration of licensing 
procedure  Applicants should anticipate allowing from one to three 
months (or more) from the date an applicatio n is received 
by NRC depending on the specific commodity (e.g., a 
specific license for the import of radioactive waste 
requires several months' review).  G/LIC/N/3/USA/16  
 
- 91 - 
 
  Legal Requirements  
9. Is the licensing statutorily 
required?  NRC regulations in 10 CFR Part 110 are is sued pursuant 
to the Atomic Energy Act of 1954, as amended, and the 
Energy Reorganization Act of 1974, as amended.  
10. Does the legislation leave 
designation of products to be 
subject to licensing to administrative 
discretion?  In general, the legislation defines the categories of 
products and facilities that need to be subject to licensing 
controls with minimum discretion in definitions left to 
administrative determination.  
11. Is it possible for the government 
to abolish the system without 
legislative approval?  No. 
 
Eligibility of Applicants  
12. Is there a system of registration 
of persons or firms permitted to 
engage in importation?  No. 
13. What persons or firms are eligible 
to apply for a license?  To be eligible to apply for licenses, all persons, firms, and 
institutions must have a permanent (physical) address 
within the United States where papers may be served and 
where records required by the Commission are 
maintained and can be inspected.  
14. Is there a registration fee?  No. 
15. Is there a published list of 
authorized importers?  No. 
 
Contact Point for Information on Eligibility  
16. Ministry/Authority  Nuclear Regulatory Commission  
17. Address  11555 Rockville Pike, Rockville, MD 20852  
18. Telephone  301-287-9057 
19. Fax  301-415-2395 
20. E-Mail Address  IP.Resource@nrc.gov  
21. Website  https://www.nrc.gov/about -nrc/ip/export -import.html  
22. Contact Officer  Not applicable.  
 
Submission of an Application  
23. Administrative body(ies) for 
submission of an application  Nuclear Regulatory Commission  
 
Documentation Requirements  
24. What information is required in 
applications?  Information required in an application for a specific license 
is set out in 10 CFR § 110.31 and § 110.32.  
25. What d ocuments is the importer 
required to supply with the 
application?  Applications are submitted on NRC Form 7, which is 
available on the NRC public web site. NRC may request 
additional information, if necessary, to conduct the 
licensing review required by the applicable statutes.  
  
Window of Submission of an Application  
26. How far in advance of importation 
must application for a licence be 
made?  There is no fixed period for submitting a specific license 
application in advance of importation, a lthough it must be 
reviewed and a license must be issued before the 
importation occurs.  G/LIC/N/3/USA/16  
 
- 92 - 
 
  27. Are there any limitations as to the 
period of the year during which 
application for licence can be made? 
If so, explain  There are no limitations as to the period o f the year during 
which a specific import license application can be 
submitted to NRC. NOTE: Specific import licenses issued 
have expiration dates, and can be amended and/or 
renewed, as long as NRC receives the request for such 
action before the expiration  date. Once a license expires, 
it cannot be amended or renewed.  
 
Issuing the License  
28. Can a licence be granted 
immediately on request?  A specific license would not be granted immediately upon 
request. Applicants should anticipate allowing from one to 
three months (or more) from the date an application is 
received by NRC depending on the specific commodity 
(e.g., a specific license for the import of radioactive waste 
requires several months' review). NRC is required to make 
copies of every application r eceived available to the public 
for minimum of 30 days before issuing a license. This is 
to provide interested parties with an opportunity to 
submit written comments on the application or request a 
hearing (see 10 CFR § 110.70 and § 110.82).  
29. Can licen ces be obtained within a 
shorter time -limit or for goods 
arriving at the port without a licence  The Commission does have the authority to grant specific 
exemptions from the regulations in 10 CFR Part 110 under 
certain conditions (10 CFR § 110.10), and this  authority 
has been exercised for example, to grant licenses within 
a short period of time.  
30. Which administrative body is 
responsible for approving application 
of licences?  An NRC import license authorizes the import only and 
does not confer authority to receive title to, acquire, 
receive, possess, deliver, use or transfer items imported.  
31. Must the applications be passed 
on to other organs for visa, note or 
approval?  For certain specific import license applications, the NRC is 
required to consult with and/or seek concurrences from 
other federal agencies (most commonly the Departments 
of State and Energy), although final licensing 
responsibility remains with the NRC.  
32. Are there any other conditions 
attached to the issue of a licence?  Special conditions may be added to specific licenses if 
necessary to underscore unique, new or revised domestic 
requirements, for example, affecting transportation 
arrangements, security measures and timing of advance 
notifications.  
 
Fees and Other Administr ative Charges  
33. Is there any licensing fee or 
administrative charge?  No. 
34. What is the amount of the fee or 
charge?  Not applicable.  
35. Is there any deposit or advance 
payment required associated with the 
issue of licences?  Not applicable.  
36. Amount or rate?  Not applicable.  
37. Is it refundable?  Not applicable.  
38. What is the period of retention?  Not applicable.  
39. What is the purpose of this 
requirement?  Not applicable.  
 G/LIC/N/3/USA/16  
 
- 93 - 
 
  Refusal of an Application  
40. Under what circumstances may 
an application for a licence be refused  Applications that are deficient are normally withdrawn or 
returned without action. Although NRC has the authority  
other than failure to meet the 
ordinary criteria?  to deny, to revoke or suspend licenses, it is rarely 
exercised.  
41. Are the reasons for any refusal 
given to applicants?  Reasons for such actions must be made known to an 
applicant/licensee.  
42. Have applicants a right of appeal 
in the event of refusal to issue a 
licence?  Yes.  
43. If so, to what bodies and under 
what procedures?  Avenues for applicants, licensees, and members of the 
public to appeal NRC actions are given in Subparts H, I, J 
and K of 10 CFR Part 110.  
 
Importation  
44. Are there any limitations as to the 
period of year during w hich 
importation may be made?  There are no limitations as to the period of the year during 
which a specific import license application can be 
submitted to NRC. NOTE: Specific import licenses issued 
have expiration dates, and can be amended and/or 
renewed, as long as NRC receives the request for such 
action before the expiration date. Once a license expires, 
it cannot be amended or renewed.  
45. What documents are required 
upon actual importation?  For the materials listed in Appendix P to 10 CFR Part 110, 
licensees must submit import notifications at least seven 
days in advance of each shipment and include the 
information listed in 10 CFR § 110.50(c). In addition, 
import forms customarily required by other U.S. 
government agencies are also necessary fo r all items 
imported under NRC requirements (e.g., Customs and 
Border Protection and Department of Commerce 
documents). There may also be other reporting and 
advance notification requirements for certain transfers of 
nuclear material that are established b y domestic 
possession licenses, not import licenses.  
46. Are there any other 
administrative procedures, apart 
from import licensing and similar 
administrative procedures, required 
prior to importation?  Since many materials authorized for import under spec ific 
or general NRC licenses are considered hazardous and/or 
strategically significant, additional arrangements may be 
necessary in conjunction with their transportation. These 
arrangements may involve physical protection measures, 
special handling procedu res for health and safety 
purposes, or advance notice of pending receipt and thus 
would not be included as special import license conditions. 
Such requirements normally apply to U.S. parties who 
transfer or receive specific types of materials, and are not 
related to whether the shipment originates from a 
domestic or a foreign source.  
 
Conditions of Licensing  
47. What is the period of validity of a 
licence? Can the validity be 
extended? How?  A specific import license is usually valid for a period of 
three t o five years from the date of issuance but could be 
longer if the applicant so requests and the NRC agrees.  
48. Is there any penalty for the non -
utilization of a licence or a portion of 
a licence?  There is no penalty for not using a specific NRC import 
license (i.e., if the items authorized for import are not 
imported); however, violations of any of the terms and 
conditions of an NRC import license are subject to 
enforcement including imposition of civil or criminal 
penalties.  G/LIC/N/3/USA/16  
 
- 94 - 
 
  49. Are licences tr ansferable between 
importers? If so, are any limitations 
or conditions attached to such 
transfer?  A specific license may be transferred or assigned to 
another person only with the approval of the Commission.  
 
Foreign Exchange  
50. Is foreign exchange automatically 
provided by the banking authorities 
for goods to be imported?  Not applicable.  
51. Is a licence required as a 
condition to obtaining foreign 
exchange?  Not applicable.  
52. Is foreign exchange always 
available to cover licences issued ? Not applicable.  
53. What formalities must be fulfilled 
for obtaining the foreign exchange?  Not applicable.  
 
Product Coverage for Website Section  
Product 
Description  Ex HS Code  Nomenclature  
Nuclear facilities 
and most 
radioactive 
materials: 
production and 
utilization facilities, 
special nuclear 
materials, source 
materials, and by -
product materials, 
including when 
such materials are 
contained in 
radioactive waste. 
The definition for 
each of these terms 
is provided in 10 
CFR § 110.2   8401.10  Nuclear reactors  
 8410.20   Machinery and apparatus for 
isotopic separation, and parts 
thereof   
 8401.30  Fuel elements (cartridges), non -
irradiated, and parts thereof. This 
includes sealed stainless steel 
sheaths filled with nuclear fuel    
 
 
Parts of nuclear reactor  
 8401.40  It should be noted that per the 
explanatory notes to heading 8401 
certain machinery  used in nuclear 
facilities are not considered parts of 
a nuclear reactor for classification 
purposes.   Machines listed 
are  Steam and other vapour 
generating boilers of heading 8402, 
Heat exchangers of heading 8404 
and 8419, Pumps of heading 8413 
or 8414,  Blowers of heading 8414, 
Apparatus for extracting minerals 
from water, which may fall in 
heading 8419 or 8421, Handling 
machinery for changing or 
extracting the fuel elements and 
travelling cranes, which may fall 
within heading 8426 and Mechanical 
remote control manipulators for 
radioactive products that fall in 
8428.  G/LIC/N/3/USA/16  
 
- 95 - 
 
  Product 
Description  Ex HS Code  Nomenclature  
   Also, per the ENs to 8401, a part of 
a nuclear machine this does not 
include microspheres of nuclear fuel 
coated with layers of carbon or 
silicon carbide intended for 
introduction into spherical or 
prismatic fuel elements and spent 
(irradiated) fuel elements 
(cartridges). These products fall in 
heading  2844 
 
__________