G/LIC/N/3/USA/18  
 
5 October 2021  
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Committee on Import Licensing  Original: English  
 
 
REPLIES TO QUESTIONNAIRE ON IMPORT LICENSING PROCEDURES1 
NOTIFICATION UNDER ARTICLE 7.3 OF THE  
AGREEMENT ON IMPORT LICENSING  (2021) 
UNITED STATES 
The following communication, dated 27 September  2021, is being circulated at the request of the 
delegation of the United States.  
 
_______________  
 
1   DEPARTMENT OF AGRICULTURE  ................................ ................................ .................  2 
1.1   Plants and plant products  ................................ ................................ ..........................  2 
1.2   Animal and animal products  ................................ ................................ .......................  4 
1.3   Sugar  ................................ ................................ ................................ .....................  6 
1.4   Certain dairy products  ................................ ................................ ...............................  9 
2   DEPARTMENT OF COMMERCE  ................................ ................................ ....................  12 
2.1   International Trade Administration  ................................ ................................ ............  12 
2.1.1   Steel ................................ ................................ ................................ ..................  12 
3   DEPARTMENT OF ENERGY  ................................ ................................ .........................  15 
3.1   Natural gas  ................................ ................................ ................................ ............  15 
4   DEPARTMENT OF INTERIOR  ................................ ................................ .....................  17 
4.1   US Fish and Wildlife Service  ................................ ................................ .....................  17 
4.1.1   Fish and wildlife (including endangered species)  ................................ .......................  17 
5   DEPARTMENT OF JUSTICE  ................................ ................................ ........................  21 
5.1   Bureau of Alcohol, Tobacco, Firearms and Explosives  ................................ ...................  21 
5.1.1   Firearms and ammunition  ................................ ................................ .....................  21 
5.1.2   Firearms, ammunition and defense articles  ................................ ..............................  23 
5.1.3   Explosives  ................................ ................................ ................................ ..........  25 
5.2   Drug Enforcement Administration  ................................ ................................ .............  26 
5.2.1   Controlled substances and listed chemicals  ................................ ..............................  26 
6   DEPARTMENT OF TREASURY  ................................ ................................ .....................  29 
6.1   Alcohol and Tobacco Tax and Trade Bureau  ................................ ................................  29 
6.1.1   Distilled spirits (beverages); wine and malt beverages  ................................ ..............  29 
 
1 See document G/LIC/3, Annex, for the Questionnaire.  G/LIC /N/3/USA/18  
 
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  6.1.2   Distilled spirits or alcohol for industrial use (including alcohol for fuel use)  ...................  31 
6.1.3   Tobacco products  ................................ ................................ ................................ . 33 
7   NUCLEAR REGULATORY COMMISSION  ................................ ................................ ...... 34 
7.1   Nuclear facilities and materials  ................................ ................................ .................  34 
 
1  DEPARTMENT OF AGRICULT URE 
1.1  Plants and plant products  
Outline of System  
1. Import permits are required for the importation of most plants and some plant products, to protect 
against the introduction of pests and diseases. Permits are also required for the import, export or 
re-export of terrestrial plants that are on the endangered species list. Permits are only issued to a 
firm or individual resident in the United States.   
 
Purposes and coverage of licensing  
2. Permits are required for:  
 
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, broomcorn, 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 orga nisms ; 
- Bees; 
- Parasitic plants and noxious weeds ; 
- Plant Growth enhancers ; 
- Soil and quarry products ; 
- Federal Noxious Weeds . 
- Plants and plant products regulated under CITES;  
- Plants and plant products in transit through the United States.  
 
3. The permit system applies to products coming from all countries with exceptions.  
 
4. The permit system is to protect against the entry of plant pests and diseases, and to protect 
endangered plant species. 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 authority of the Plant Protection and Honeybee Acts  
 
5. The permit system for most produc ts covered is a statutory requirement of Section 412 of the 
Plant Protection Act, 7 U.S.C. 7712 and codified under 7 CFR § 319 Foreign Plant Quarantines. The 
Endangered Species Act, which implements provisions of the Convention on International Trade in 
Endangered Species (CITES), establishes a permit system for certain plants on the endangered 
species list.  
 
Procedures  
6. Not applicable.  G/LIC/N/3/USA/18  
 
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  7. Permit applications are effected by one office, U.S. Department of Agriculture, Permit Section, 
Unit 133, 4700 River Road, Riverdale, Maryland 20737. Most applications are not passed on to other 
offices for visas, note, or approval, and the importer does not have to approach more than one 
administrative organ. The exception to this are the permit applications for soil an d for plants required 
to be grown in post -entry quarantine.  
 
8. 7 CFR § 319.7 -3 contains criteria on denial of permits.  7 CFR § 319.7 -5 specifies procedures to 
appeal permit denial or revocation. The applicant may appeal to the Administrator in writing wit hin 
10 business days. Similar appeal procedures for permits for plant pest and biocontrol agents are 
contained in 7 CFR § 330.201 . 
 
Eligibility of importers to apply for License  
9. Any individual, partnership, corporation, association, joint venture, or ot her legal entity may be 
eligible to apply for licenses. 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 h ours 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, there is 
no registration fee. There is no published list of authorized importers. There is a US$ 70.00 fee for 
plants and plant products regulated by CITES or ESA. Applicants are encouraged to file their 
applications electronically through the  ePermits systems. To use the ePermits system, applicants 
must first be eAuthenticated.  
 
Documentation and other requirements for application for License  
10. 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 soi l are contained in PPQ Form 525, and PPQ 
form 526 is required for plant pests, biocontrol agents, and Federal Noxious Weeds.  
 
11. For all plants and some plant products, a phytosanitary certificate must accompany the 
shipment. Endangered species have speci al documentation requirements.  
 
12. There is no licensing fee or administrative charge for permits other than the US$ 70.00 fee per 
permit for commercial trade in endangered plants.  
 
13. No deposit or advance payment is required in connection with the issue of permits.  
 
Conditions of licensing  
14. Permits are valid for specified periods of time, and they can be extended by re -application. The 
permit for endangered or threatened plants is valid for two years.  
 
15. There is no penalty for non -utilization of a permit.  
 
16. Permits are not transferable between importers.  
 
17. Almost all permits used for the import of plants and plant products have specific import 
conditions, which are listed on the permit application.  
 
Other procedural requirements  
18. There  are no other administrative procedures required prior to importation.  
 
19. Not applicable.  
 G/LIC /N/3/USA/18  
 
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  1.2  Animal and animal products  
Outline of System  
1. Import permits are required for the importation of certain animals and animal 
products/by -products, organisms and v ectors, and veterinary biological products, to protect U.S. 
livestock and poultry against the introduction of diseases that do not exist in the United States.  
 
Purposes and coverage of licensing  
2. Permits are required for:  
 
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.  
 
Certain animal (livestock) derived products for any reason, commercial or research use s; 
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/skins, pet food/treats and 
animal feed ingredients, etc.);  
- related materials that have been exposed to animal products capable of contamination with 
disease agents: containers, carriers, straw and hay, meat covers;  
- Animal and avian specimens, tissues or blood products.  
 
Veterinary Biologics (for research, transi t, general distribution):  
 
- Livestock and poultry pathogens (e.g. bacteria, viruses, fungi, TSE agents, protozoa);  
- Derivative of livestock and poultry pathogens (e.g. recombinants, attenuated);  
- Vector of livestock or poultry pathogen (e.g. arthropods,  animal tissues);  
- Vectors and organisms exposed to animals or animal products outside the United States (e.g. 
eggs, fetal bovine serum).  
 
3. The permit system applies to live animals coming from all countries (with some exceptions for 
Canada and Mexico) with some variation based on the type of product, species, and the country of 
origin's disease status. Permits for other animal products apply to all countries depending on disease 
status, species of animal, and type of product.  
 
4. The permit system is no t used to restrict the quantity or value of imports, but only to protect 
domestic agriculture from the introduction or entry of animal diseases or disease vectors.  
 
5. The permit system is not a statutory requirement except for veterinary biological produc ts permits  
and live animal permits. The pertinent regulations are contained in Title 9 C.F.R., Parts 92, 93, 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. 
 
Procedures  
6. Not applicable.  
 
7.(a) The amount of time in advance of importation within which a permit must be applied for is not 
specified in the regulations.  
 
(b) A permit cannot be granted immediately upon request.  Prior review of the application is 
required.  
 
(c) There are no limitations as to the period of the year during which permit applications may be 
made.  G/LIC/N/3/USA/18  
 
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  (d) Permit applications are effected by one office. The application is not passed on to other offices 
for visa, note or approv al, and the importer does not have to approach more than one 
administrative office.  
 
8. In general, there are no circumstances other than failure to meet ordinary criteria under which a 
permit may be refused. In the case of live animals or animal products,  poultry, or birds, a permit 
for a particular time period could be refused if space at a Quarantine Station is not available. An 
outbreak of a particular disease in the exporting country could be a cause to revoke a permit which 
was issued prior to the dis ease outbreak. Reasons for refusal are given to the applicant. 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.  
 
Eligibility of importers to apply for License  
9. All persons, firms, and institutions in the United States are eligible to apply for permits. There is 
no published list of authorized importers. While there is no system of registration, applicants are 
encouraged  to electronically file their applications for most permits through the ePermits system. 
Applicants must first be eAuthenticated to use this system.  
 
Documentation and other requirements for application for License  
10. The information required in applications is set forth in VS forms 16 -3 and 16 -7, 17-129, 17 -128 
and APHIS form 2005.  
 
11. In the case of live animals and birds, the original and copies of  the import permits must 
accompany the shipment as well as a health certificate issued by the national veterinary services of 
the country of origin. Copies of the import permit should also accompany animal products and 
organism and vector shipments, and sh ipments of veterinary biological products.  
 
12. There are import -related user fees associated with permit application review, inspections 
required for imports, testing and quarantines. Facilities manufacturing veterinary biologicals for 
importation are ins pected under cooperative service agreements.  
 
13. Reservation fees for quarantine space are required for live animals and birds. The amount of the 
fee varies according to the animal and the bird.  
 
Conditions of licensing  
14. Permits for animal products/by -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 bio logical products for importation for 
distribution and sale do not have expiration dates.  
 
15. There is no penalty for non -utilization of a permit. Application user fees and quarantine 
reservation fees are not refundable.  
 
16. Permits are not transferable b etween importers.  
 
17. There are no conditions attached to the issuance of a permit. The applicant must comply with 
the terms of the permit. The importer certifies that the information on the application is accurate.  
 
Other procedural requirements  
18. There are no other administrative procedures required prior to importation.  
 
19. Not applicable.   
 G/LIC /N/3/USA/18  
 
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  1.3  Sugar  
Outline of system  
1. Additional U.S. note 5 to Chapter 17 of the Harmonized Tariff Schedule of the United States (HTS) 
established by Presidential Proclama tion 6763 of December 1994 authorizes the Secretary of 
Agriculture to establish for each fiscal year the quantity of sugars and syrups that may be entered 
at the lower tariff rates of tariff -rate quotas. The tariff -rate quotas cover sugars and syrups descr ibed 
in HTS subheadings, 1701.12, 1701.13, 1701.14, 1701.91, 1701.99, 1702.90, and 2106.90. This 
authority was proclaimed to implement the results of the Uruguay Round of multilateral trade 
negotiations as reflected in the provisions of Schedule XX (United  States), annexed to the Agreement 
Establishing the World Trade Organization.  
 
Under the raw cane sugar tariff -rate quota (TRQ) administration, the Secretary of Agriculture 
establishes the TRQ quantity that can be entered at the lower tier of import duty r ates, 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 1975 -81. Certificates of Quota Eligibility 
(CQE) are issued to the exporting countr ies and must be executed and returned with the shipment 
of sugar in order to receive in -quota tariff treatment. Regulations governing the Certificate of Quota 
Eligibility program are published in Title 15, Part 2011 of the Code of Federal Regulations.  
 
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 re fined form, (2) re -exported in refined 
form in sugar -containing products, or (3) used for the production, other than by distillation, of 
polyhydric alcohol, except that used as a substitute for sugar in human food.  
 
Purposes and coverage of licensing  
2. 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. Entry of any sugar allocated to specific countries and areas in the raw  and refined sugar 
TRQs does not require a license but  does require a CQE. A specialty sugar TRQ is also established, 
which requires a certificate.  
 
There is a licensing system to implement the U.S. sugar re -export program. Licenses are issued to 
refiners allowing them to import raw sugars under HTS 1701.13.20, 1701.14.20 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 p olyhydric alcohol except that 
used as a substitute for sugar in human food.  
 
3. 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.  
 
4. The purpose of the CQE is to provide exporters access to the U.S. domestic market at the low -
tier tariff. The purpose of the certificate for specialty sugar is to allow entry of certain refined sugars 
not widely available in the United States at the low -tier tariff rate. These refined sugars fulfil demand 
in nic he markets. Licenses for quota -exempt sugar are intended to increase the utilization of excess 
domestic refining capacity and improve employment in refining and related industries.  
 
5. The CQE's are issued under 15 CFR 2011, Sub -part A. Certificates for sp ecialty 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 . The regulat ions governing licenses for the 
importation of sugar exempt from quota are under 7 CFR 1530. The regulation may be found at: 
http://www.ecfr.gov/cgi -bin/text -
idx?SID=6455b5541198c6b98dfbde6641de588e&amp;mc=true&node=pt7.10.1530&rgn=div5  
Authority exists to suspend each of these systems whenever it is determined that such action is 
appropriate. Notice of such suspension shall be pub lished in the Federal Register.  G/LIC/N/3/USA/18  
 
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  Procedures  
6.I. The United States Trade Representative and the United States Department of Agriculture use 
the Federal Register, press releases, official reports, and government Internet web sites to 
provide information abou t the allocation of TRQ quantities, the issuance of CQEs, and the 
formalities for filing import license applications. The United States Trade Representative and 
the United States Department of Agriculture use the Federal Register, press releases, official 
reports, and government Internet web sites to provide information about the allocation of TRQ 
quantities, the issuance of CQE's, and the formalities for filing import license applications.  
 
II. The sugar TRQ for raw and refined sugar (including specialty s ugar) is determined annually 
by the Secretary of Agriculture and announced before the fiscal year for which the TRQ will be 
in effect. CQE's are issued by the Secretary of Agriculture to countries to coincide with the 
applicable TRQ year. Certificates for importing specialty sugars are likewise issued to 
importers to coincide with the TRQ year. Licenses issued to allow quota -exempt sugar to be 
imported, refined and re -exported or used in producing polyhydric alcohol are not subject to 
the TRQ year limitatio ns. 
 
III. Governments of countries participating in the CQE system, in turn, execute and issue these 
certificates to a shipper or consignee of a cargo of sugar destined for the United States. Sugar 
is allowed entry into the United States at the low -tier ta riff rate only if a valid and properly 
executed CQE is presented at time of entry to the appropriate customs official.  
 
The United States Department of Agriculture, Foreign Agricultural Service issues certificates 
for importing specialty sugar to importers , who annually apply and provide sufficient evidence 
that the sugar they intend to import fits the definition of specialty sugar. The certificate is 
presented to the appropriate customs official at the time of entry.  
 
The Department of Agriculture issues l icenses to U.S. sugar refiners to import quota -exempt 
raw cane sugar. The licenses have no expiration date.  
 
IV.-VI. Not applicable.  
 
VII. The United States Department of Agriculture administers the licensing and certificate systems.  
 
VIII. The certifying authority designated by the participating country issues CQEs to the shipper or 
consignee of sugar. The maximum quantity of sugar to be shipped with each CQE shall not 
exceed 10,000 short tonnes. Specialty sugar certificates are issued to import ers who satisfy 
the requirements of 15 CFR 2011, Sub -part B. The specialty sugar certificate may cover more 
than one type of refined specialty sugar. Issuance of a specialty sugar certificate does not 
guarantee entry at the low -tier rate if the specialty s ugar TRQ is already filled. However, an 
unlimited number of shipments may enter until the TRQ is fully subscribed.  
 
IX.-X. Not applicable.  
 
XI. Under the provisions of the Refined Sugar Re -Export Program licensed refiners may enter raw 
sugar unrestricted b y the quantitative limit established for the raw sugar TRQ or the 
requirements of CQEs, as long as they export an equivalent quantity of refined sugar or 
transfer the sugar to a manufacturer licensed to use the sugar in products for export or to 
manufactur e inedible polyhydric alcohol.  
 
7. Not applicable.  
 
8. There are no provisions for refusing to issue CQEs, specialty sugar certificates, or licenses for 
importing quota -exempt sugar other than failure to meet the ordinary criteria. A list of companies 
issued License s is published on the FAS Web site: 
http://apps.fas.usda.gov/sugars/FASSugarsLicensees.aspx.  For specialty sugar in -quota and 
re-export, program applicants can appeal the denial of a license through the Sugar Import Program, 
USDA Foreign Agricultural Service. For CQEs to enter in -quota raw sugar, the government of the 
exporting country may provide an appeal mechanism for refusing a CQE to export in -quota raw 
sugar.  G/LIC /N/3/USA/18  
 
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  Eligibility of importers to apply for License  
9. CQEs for in -quota raw suga r are issued by the government of the exporting country to recipients 
of their choosing. All importers are eligible to apply for certificates for specialty sugars. There is a 
list of currently authorized specialty sugar importers at: http://www.fas.usda.go v/programs/sugar -
import -program/applying -specialty -sugar -certificate . Only United States refiners can apply for 
licenses to import quota -exempt sugar.  
 
Documentation and other requirements for application for License  
10. Each CQE must be numbered and ident ified by the exporting country and must provide the 
following information: (1) quantity eligible to be entered; (2) name of shipper; (3) name of vessel; 
and (4) port of loading. The following information may also be included (if known): the name and 
addres s of consignee; expected date of departure; expected date of arrival in the United States; and 
expected port(s) of arrival in the United States.  
 
Applications for certificates to import specialty sugar(s) must be in writing and must provide the 
following i nformation: (1) name and address of applicant; (2) anticipated quantity of imports;  
(3) the appropriate six -digit HTS number; (4) a description of the specialty sugar(s) expected to be 
imported during the period of the certificate, including the manufactur ers' or exporters' usual trade 
name or designation and use of such specialty sugar; (5) sufficient evidence that it is a specialty 
sugar(s); (6) anticipated consumers (if known) at time of application; and (7) anticipated date of 
entry (if known).  
 
Persons  wishing to apply for licenses to import sugar for re -export must submit the following in 
writing to the Licensing Authority: (1) the name and address of the applicant; (2) the address at 
which the applicant will maintain the required records; and (3) the address(es) of the applicant's 
processing plant(s). In the case of refined sugar re -exports, the applicant must provide the polarity 
of the product including the formula for calculating the refined sugar in the product. All applicants 
must enter into a doc umentation agreement with the Licensing Authority.  
 
11. TRQ sugar entered from countries that participate in the certificate system must be accompanied 
by a CQE that has been signed by the certifying authority in the country of origin and affixed with a 
seal or form of authentication.  
 
A certificate issued by the Department of Agriculture authorizing importation of specialty sugar(s) 
must be presented to the appropriate customs official at the time of entry.  
 
FAS enters the licenses issued by the Departme nt of Agriculture for entry of sugar exempt from 
quota for re -export in refined form or for the production of polyhydric alcohol into the U.S. Customs 
and Border Protection computer system, which automatically accepts or rejects each attempt to 
enter raw s ugar on the license.  
 
12. No.  
 
13. A licensee operating under the Refined Sugar Re -export Program may establish a bond or a 
letter of credit in favour of the U.S. Department of Agriculture to charge program sugar in 
anticipation of the export or transfer o f refined sugar, the export of sugar in sugar containing 
products, or the production of certain polyhydric alcohols. The bond or letter of credit may cover 
entries made either during the period of time specified in the bond (a term bond) or for a specified  
entry (a single -entry bond). The amount of the bond or letter of credit shall be equal to 20 cents per 
pound of sugar to be entered under the license. If a licensee fails to qualify for credit to a license 
within the specified time period of the date of e xport or use of corresponding sugar in an amount 
sufficient to offset the charge to the license for that corresponding sugar, payment shall be made to 
the U.S. Treasury. The payment shall be equal to the difference between the Number  11 contract 
price and the Number 14 contract price (New York Coffee, Sugar and Cocoa Exchange)  in effect on 
the last market day before the date of entry of the sugar or the last market day before the end of 
the period during which export or use was required, whichever differenc e is greater. The difference 
shall be multiplied by the quantity of refined sugar, converted to raw value that should have been 
exported in compliance with this part.  
 G/LIC/N/3/USA/18  
 
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  A bond or letter of credit is not necessary if export credits exceed the quantity of imp orts charged 
to the license.  
 
Conditions of licensing  
14. The CQEs are valid only for the quota period for which they are issued. A certificate for specialty 
sugar is valid only for the TRQ year in which it is used. Under the Refined Sugar Re -export Progra m, 
the licenses may be revoked upon written notice to the license holders by the Licensing Authority.  
 
15. There is no penalty for non -utilization.  
 
16. Licenses issued under the Refined Sugar Re -export Program and Specialty Sugar Import 
Certificates are n ot transferable between importers.  
 
17. There are no other conditions attached to issuing certificates. For CQEs to enter in -quota raw 
sugar the government of the exporting country may determine conditions attached to the issuance 
of CQEs. For re -export pr ogram, license holders must report all transactions claimed under the 
license.  
 
Other procedural requirements  
18. No other procedures are required.  
 
19. Not applicable.  
 
1.4  Certain dairy products  
Outline of System  
1. 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 had been imposed pursuant to sectio n 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 
terms and conditions in regulations issued by the Secretary of Agriculture.  
 
Purposes and coverage of licensing  
2. The licensing system covers the following dairy commodities as defined in the Additional U.S. 
notes t o Chapter 4 of the HTS: butter and fresh or sour cream containing over 45 percent 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 (n ote 16); blue -mould cheese (note 
17); Cheddar cheese (note 18); American cheese other than Cheddar (note 19); Edam and Gouda 
cheese (note 20); Italian -type cheese (note 21); Gruyere -process cheese (note 22); low -fat cheese 
(note 23); and Swiss/Emmenthaler cheese (note 25).  
 
3. The licensing system applies to dairy products coming from all supplying countries.  
 
4. The licensing system is an administrative tool that governs the importation of certain dairy 
products subject to TRQs resulting from entry into fo rce 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 implemented as a 
requirement of Presidential Proclamation 3019 for the purpose of providing for an equitable 
distribution of trade in dairy products c overed by Section 22 quotas among importers, users, and 
supplying countries. Under a TRQ system, licensing serves the same trade -stabilizing and equity 
purposes.  G/LIC /N/3/USA/18  
 
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  5. 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 8 June 1953.  
 
Procedures  
6.I. The procedures for submitting license applications, eligibility criteria, license use requirements 
and other provisions of the regulation are codi fied 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 indi vidual licenses are in the regulation. An Advanced Notice of 
Proposed Rule -making was published in the Federal Register on 2 June 1994, seeking 
comments on methods for allocating Uruguay Round TRQs through the year 2000, and 
comments on updating or improvi ng the existing regulation. On 6 January 1995, and 
2 May 1995, notices were published in the Federal Register amending the Import Regulation 
to implement those U.S. Uruguay Round commitments for 1995. The Department published 
the final rule on dairy tariff -rate quota licensing in the Federal Register on 9 October 1996. 
The regulation was modified on 6 October 2004, to accommodate electronic web -based 
application procedures. On 27 July 2015, a revision to the regulation was published in the 
Federal Register Vol. 80, No. 143, pages  44251 -44258, published after extensive public 
comment.  
 
II. License applications must be submitted annually during the application period specified in the 
Import Regulation, between 1 September and 15 October of the calendar year preceding 
importation.  Licenses are generally issued during the last two weeks of Dece mber. Licenses 
are valid beginning on 1 January of each year and are valid for 12 months.  
 
III. Licenses are allocated to importers of dairy products regardless of whether they are producers 
of like products. Unused allocations may not be added to the allo cation 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 . 
 
IV. 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.   
 
V. Licenses are issued for use beginning 1 January and generally issued in  the last two weeks of 
December.  
 
VI. Only the Foreign Agricultural Service, United States Department of Agriculture, considers 
license applications on dairy products.  
 
VII. License s are issued to:  
 
- Historical licensees are issued each year for the same volume of imports from the same 
supplying 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 certa in cheese articles to eligible applicants 
who are designated 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.  
 
VIII. Export permits from foreign countries are not required.  
 
IX. Same as above.  
 
X. Not applicable.  
 
XI. No. G/LIC/N/3/USA/18  
 
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  7. For commodities that enter outside the tariff -rate quotas and at the over -TRQ tariff rates, no dairy 
import licenses are required, and there are no limitations regarding quantity.  
 
8. The circumstances under which an application for a 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 deadline period. Reasons for refusal to accept an 
application may be given to  applicants upon request. 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.  
 
Eligibility of importers to apply for License  
9. Importers or 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 Aug ust), and, for manufacturers, the 
specified level of dairy production in a previous 12 -month period. In addition, manufacturers must 
be listed in USDA's "Dairy Plants Surveyed". The required documentation providing proof of 
importation must be submitted wi th application forms. Importer license eligibility is established 
primarily on the basis of proof 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.  
 
Documentation and other requirements for application for License  
10. The information required in applications is set forth in the Dairy Tariff -Rate Quota Import 
Licensing Regulation. FAS electronic forms 923, 923A and 923B are  required to be submitted, 
including copies of entry and/or export summaries or in the case of manufacturers on being listed 
in the Dairy Plants Approved Bulletin. As a part of the 2015 revision to the regulation, the Dairy 
Import Licensing Authority opera tes exclusively via an electronic system over the internet and 
precludes the use of mail and fax. All applications and communications must be done electronically, 
through the dedicated licensing system, which is available to anyone.  
 
11. 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.  
 
12.-13. A fee is charged for or associated with the issuance of licenses. For 2018, a fee of US$300.00 
is charged.  
 
Conditions of licensing  
14. Licenses are valid from 1 January through 31 December. License validity cannot be extended 
into the next quota year.  
 
15. Licensees who anticipate not meeting the 85 % utilization requirement may voluntarily surrender 
unused amounts by 1 October; otherwise that license will be cancelled the following year. 
For historical licenses, less than 85 % utilization wil l result in permanent loss of that license, with the 
resulting TRQ quantity being moved to the lottery pool. License quantities that are surrendered are 
reissued to other licensees who apply for unused license shares following an announcement by the 
Licens ing Authority. Such licenses are issued through a random lottery process. Historical license 
TRQ quantities can also 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 Register Vol. 80, No. 143, pages 
44251 -44258.  
 
16. 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.  
 
17. No other conditions are attached to the issuance of a license.  
 G/LIC /N/3/USA/18  
 
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  Other procedural requirements  
18. All food imports are s ubject 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 administer ed by the Food 
and Drug Administration (FDA). The importation of certain dairy products is regulated by both FDA 
and the Animal and Plant Health Inspection Service (APHIS). Importers should contact FDA in regard 
to FDA requirements and APHIS in regard to A PHIS requirements.  
19. Not applicable.  
2  DEPARTMENT OF COMMERCE  
2.1  International Trade Administration  
2.1.1   Steel  
Outline of system  
1. The original U.S. steel licensing program was established on 31 December 2002, as part of the 
section 201 safeguard action on certain steel products. On 11 March 2005, the Department of 
Commerce issued an interim final rule continuing the program for four years under new statutory 
authority unrelated to the safeguard a ction. The Department also modified the product coverage of 
the program, removing certain previously covered downstream products from the licensing 
requirements. On 5 December 2005, the Department published a final rule that made final an interim 
final rul e that expanded and extended the Steel Import Monitoring and Analysis (SIMA) system until 
21 March 2009. Although there were no changes from the interim final rule, this document provides 
details about the current SIMA system as detailed in the final rule. On 18 March  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 21 March 2013. No  other changes were made. 
On 15 February 2013, the authority was extended until  21 March  2017, similarly following 
publication of a preliminary (77 FR 67593) a nd final rule (78  FR 11090) (G/LIC/N/1/USA/6/Add.2 
and G/LIC/N/1/USA/6/Add.2/Corr.1). On 5 January 2017, the authority was extended until 
21 March  2022, following publication of a preliminary (81 FR 70650) and final rule (82 FR 1183) 
(G/LIC/N/3/USA/13, 8 N ovember 2016). No other changes were made.  On 11 September 2021, a 
final rule (85 FR 56162) was published, extending the SIMA licensing program indefinitely; 
expanding the SIMA licensing requirements to include products falling under eight additional steel  
product HTS codes; requiring all steel import license applicants to identify the country where the 
steel used in the manufacture of the imported steel product was melted and poured (the country of 
melt and pour); and codifying eligibility for use of the l ow-value license for certain steel entries up 
to $5,000. No  other changes were made . 
Purposes and coverage of licensing  
2. 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 total there are over 700 products covered, each identified 
by HTS number; the full list is available on Steel Products by HTS Codes 
(https://www.trade.gov/steel -products -hts-codes) . (Please note there w ere 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 201 3; January 2014; January 2017; March  2018, and July 2021 ). 
3. The steel licensing system applies to goods originating in and coming from all countries.  
4. 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.  
5. The final rule extending the system indefinitely , was published on 11 September 2021 , in the 
Federal Register ( 85 FR 56162 ). A copy is also availab le at: Federal Register: Steel Import Monitoring 
and Analysis System  (https://www.federalregister.gov/documents/2020/09/11/2020 -19753/steel -
import -monitoring -and-analysis -system ). G/LIC/N/3/USA/18  
 
- 13 - 
 
  Procedures  
6. Not applicable.  
 
7.(a) 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 
admission, the filing of Customs and Border Protection (CBP) Form 214. The license is valid 
for 75 days.  
 
(b) Yes. The lic ense number is electronically generated, and electronically given to the filer 
immediately upon completing the license information.  
 
(c) No. 
 
(d) No. 
 
8. Applicants are not refused steel license numbers.  
 
Eligibility of importers to apply for License  
9.(a) Not applicable.  
 
(b) No. Only registered users are permitted to file steel licenses.  
 
The registration form is available on the steel import licensing website: https://www.trade.gov/us -
industry -licensing . The registrant fills in the  requested demographic information and sends it to the 
steel license team electronically. The team issues the registrant a unique user id to access the license 
module. There is no registration fee, and licenses are free. Information of registered users is kept 
confidential.  
 
Documentation and other requirements for application for License  
10. The license 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.  
 
11. The 9 -digit steel license number is required as part of the CBP Entry Summary for go ods brought 
into the U.S. for consumption.  
 
12. There is no licensing fee.  
 
13. There is no deposit or advance payment requirement associated with the issue of licenses.  
 
Conditions of licensing  
14. Steel import licenses may be applied for up to 60 days pr ior to the expected date of importation 
and until the date of filing of the entry summary documents, or in the case of FTZ admissions, the 
filing of CBP Form 214. The license is valid for 75 days but  may be used only once.  
 
15. No.  
 
16. No, licenses are not transferable between importers; they are unique for each entry.  
 
17.(a) No.  
 
(b) No.  
 
Other procedural requirements  
18. No. 
 
19. Not applicable.  G/LIC /N/3/USA/18  
 
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  Aluminum  
Outline of system  
1. On 23 December 2020 The U.S. Department of Commerce (Commerce) published final regulations 
(85 FR 83804) to establish the Aluminum Import Monitoring and Analysis (AIM) system. In January, 
the effective date of the regulations was delayed until March 2021 (86 FR 7237) and in March 2021, 
the regulations were stayed until June 28 (86 FR 17058). On 21 May 2021, Commerce published an 
additional rule (86 FR 27513) in the federal register, confirming that the regulations establish the 
AIM system would go into effect on 28 June 2021.  
 
The system was established p ursuant to  Commerce 's authority under  the Census Act, as amended 
(the Census Act) ( 13 U.S.C. 301 (a) and 302 ), Commerce established a system of import licensing 
to facilitate the monitoring of imports of aluminum articles, including monitoring for import surges 
The AIM system operates in a similar way as the SIMA system (19 CFR part 360) and will be codified 
under 19 CFR part 361 . The AIM system tracks the modified SIMA system as closely as possible 
except where necessary to address the inherent differences between steel and alu minum imports.  
 
Purposes and coverage of licensing  
2. The aluminum import licensing program covers basic aluminum products  (unwrought and 
wrought) . In total there are 66 products covered, each identified by HTS number; the full list is 
available on Aluminum Products by HTS Codes ( https://www.trade.gov/aluminum -products -hts-
codes )  
 
3. The aluminum licensing system applies to goods originating in and coming from all countries.  
 
4. This licensing is not intended to restrict the quantity or value of imports. It is designed to provide 
fast and reliable statistical information on aluminum imports to both the government and the public.  
 
5. The final rule establishing the system, was published 23 December 2021, in the Federal Register 
((85 FR 83804)). A copy is also available at: Federal Register: Aluminum Import Monitoring and 
Analy sis System  (https://www.federalregister.gov/documents/2020/09/11/2020 -19753/steel -
import -monitoring -and-analysis -system ). 
 
Procedure s 
6. Not applicable.  
 
7.(a) Aluminum 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 
admission, the filing of Customs and Border Protection (CBP) Form 214. The license is valid 
for 75 days.  
 
(b) Yes. The license number is electronically generated, and electronically given to the filer 
immediately upon completing the license information.  
 
(c) No. 
 
(d) No. 
 
8. Applicants are no t refused aluminum license numbers.  
 
Eligibility of importers to apply for License  
9.(a)  Not applicable.  
 
(b) No. Only registered users are permitted to file  aluminum  licenses.  
 G/LIC/N/3/USA/18  
 
- 15 - 
 
  The registration form is available on the aluminum import licensing website:  
https://www.trade.gov/us -industry -licensing . The registrant fills in the requested demographic 
information and sends it to the aluminum license team electronically. The team issues the registrant 
a unique user id to access the license module. There is no registration fee, and licenses are free. 
Information of registered users is kept confidential.  
 
Documentation and other requirements for application for License  
10. The license filer sub mits 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.  
 
11. The 9 -digit aluminum license numbe r is required as part of the CBP Entry Summary for goods 
brought into the U.S. for consumption.  
 
12. There is no licensing fee.  
 
13. There is no deposit or advance payment requirement associated with the issue of licenses.  
 
Conditions of licensing  
14. Alum inum 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 
admissions, the filing of CBP Form 214. The license is valid for 75 days but  may be used only once.  
 
15. No.  
 
16. No, licenses are not transferable between importers; they are unique for each entry.  
 
17.(a) No.  
 
(b) No.  
 
Other procedural requirements  
18. No.  
 
19. Not applicable.  
 
3  DEPARTMENT OF ENERGY  
3.1  Natural gas  
Outline of system  
1. Imports of natural gas, whether by pipeline or as liquefied natural gas (LNG), are regulated under 
Section 3 of the Natural Gas Act (NGA) (15 U.S.C. 717b), which provides that "no person shall ... 
import any natural gas from a foreign country without first having secured an order ... authorizing 
it to do so . " Section 3 also provides that such orders shall be issued unless, after opportunity for 
hearing, it is found that the proposed importation will not be consistent with the public in terest. 
Authority over imports of natural gas rests with the Secretary of Energy. The authority to regulate 
natural gas imports under Section 3 of the Natural Gas Act, as amended, has been delegated to the 
Under Secretary for Science and Energy pursuant to  Delegation Order No.  S1-DEL-S4-2021 
(25 February 2021). This authority has been further re -delegated from the Under Secretary to the 
Assistant Secretary for Fossil Energy (now Fossil Energy and Carbon Management) under 
Redelegation Order No. S4-DEL-FE1-2021, issued on 25 March 2021 . 
 
On 24 October 1992, the Energy Policy Act of 1992 (EPACT 92) was enacted. Section 201 of EPACT 
92 amended Section 3 of the NGA by adding subsections (b) and (c), which in effect eliminates the 
Department of Energy's (DOE) need  to make a public interest finding for natural gas imports from 
"a nation with which there is in effect a free trade agreement requiring national treatment for trade 
in natural gas , " and for imports of liquefied natural gas (LNG). Pursuant to the amendmen t, imports G/LIC /N/3/USA/18  
 
- 16 - 
 
  of natural gas (and LNG) from countries with which the United States has a free trade agreement 
calling for national treatment for trade in natural gas, and LNG imports from other countries, are 
"deemed to be consistent with the public interest,  and applications for such importation … shall be 
granted without modification or delay ." 
 
Currently, virtually all natural gas import applications filed with DOE are reviewed under Section  3(c) 
of the NGA . DOE is not required to evaluate these applications to determine whether they are "in 
the public interest". In these cases, the agency does not solicit public comments, or conduct a review 
of the application under the National Environmental Policy Act. Ra ther, after these import 
applications are reviewed for completeness and legal sufficiency, DOE prepares and issues the 
authorizations as requested. These applications take less time to process than cases that do not fall 
under Section 3(c) of the NGA . 
 
In addition, with respect to the import or export of natural gas (including LNG), the Secretary of 
Energy has delegated authority to the Federal Energy Regulatory Commission (FERC) (Delegation 
Order No. 00 -004.00A ( 16 May 2006)) to approve or disapprove the c onstruction and operation of 
particular facilities, the site at which such facilities shall be located, and, with respect to natural gas 
that involves the construction of new domestic facilities, the place of entry.  
 
Purposes and coverage of licensing  
2. The products covered are natural gas, including liquefied natural gas (LNG), and compressed 
natural gas (CNG).  
 
3. The system applies to goods originating from any country.  
 
4. The licensing is not intended to restrict the quantity or value of natural gas i mports.  
 
5. See response to Question 1. Licensing is statutorily required.  
 
Procedures  
6. Not applicable.  
 
7.(a) DOE regulations (10 C.F.R. Part 590) specify that an applicant for a natural gas import 
authorization should apply 90 days prior to the anticipated date for start -up of the import. 
However, the issuance of an import authorization normally takes less than four weeks if 
reviewed under  Section 3(c) of the NGA . 
 
(b) An authorization to import natural gas can be granted as soon as an applicant has filed a 
legally sufficient application, and as soon as that application is reviewed and processed.  
 
(c) There are no limitations as to the period of the year during which an application for 
authorization to import natural gas may be made.  
 
(d) Licensin g applications are considered by a single administrative organ, the Office of Fossil 
Energy  and Carbon Management , U.S. Department of Energy, the Forrestal Building, 1000 
Independence Avenue, S.W., Washington D.C. 20585.  
 
8. There are no circumstances under which an import authorization can be refused, as long as an 
applicant has submitted a legally sufficient application. Information which must be contained in the 
application is specified in 10 C.F.R. 590.202.  
 
Eligibility of importers to  apply for License  
9. All persons, firms, and institutions are eligible to apply for authorization to import natural gas. 
Traditionally, entities applying for such authorizations have been natural gas pipeline companies, 
natural gas producers, natural gas marketers, and utility companies.  
 G/LIC/N/3/USA/18  
 
- 17 - 
 
  Documentation and other requirements for application for License  
10. Import authorization proceedings are initiated by the filing of an application. The application is 
not a standard form, but rather an individual documen t incorporating basic information about the 
proposed import arrangement, and exhibits required by the rules covering such applications set forth 
in DOE regulation (10 C.F.R. Part 590). NGA Sections 3(b) and (c) have necessitated creation of a 
bifurcated pr ocess in the manner in which DOE reviews applications to import natural gas. 
Applications that involve gas imports from nations with which the United States has a free trade 
agreement requiring national treatment for trade in natural gas (free trade agreem ent countries) 
and LNG imports from other countries must be granted by DOE "without modification or delay ." As 
a result, DOE's action of issuing such import authorizations is ministerial in nature.  
 
For applications involving gas (other than LNG) imports f rom nations with which the United States 
does not have a free trade agreement requiring national treatment for trade in natural gas, DOE 
must determine whether the import proposal is "in the public interest". Those applications are 
subject to the administr ative procedures specified in 10 C.F.R. Part 590.  
 
11. DOE 's application  procedures  are described  at the following  website:  
http://energy.gov/fe/services/natural -gas-regulation/how -obtain -authorization -import -andor -
export -natural -gas-and-lng. 
 
12. A filing fee of US$ 50.00 is charged for each application.  
 
13. There is no deposit or advance payment requirement associated with  the issuance of an order 
to import natural gas.  
 
Conditions of licensing  
14. The duration of a natural gas import authorization usually is specified in the Opinion and Order 
issued by DOE and  depends upon the particular circumstances of the import arrangement. An import 
authorization can be extended upon application to DOE.  
 
15. Th ere is no penalty for non -utilization of an order to import natural gas.  
 
16. Authorizations to import natural gas are not transferable between importers without approval.  
 
17. No conditions are attached to an authorization to import natural gas from free trade agreement 
countries or authorizations to import LNG from any country.  
 
Other procedural requirements  
18. Each import authorization order requires natural gas importers to report sales information 
monthly to DOE. Information reported includes volume, price, names of sellers and buyers, and 
other details of the import transactions on Form FE -746R.  
  
19. Not applicable.  
 
4  DEPARTMENT OF INTERIOR  
4.1  US Fish and Wildlife Service  
4.1.1   Fish and wildlife (including endangered species)  
Outline of system  
1. On August 25,  1980, the Fish and Wildlife Service (the Service) published final rules revising 50 
CFR Part 14 (Importation, Exportation, and Transportation of Wildlife) to implement provisions of a 
number of wildlife laws enforced by the Service. Subsequent updates wer e made in 1985, 1987, 
1994, 1996, 1998, 1999, 2002, 2004, and 2009. As part of that rulemaking and under authority of 
the Endangered Species Act of 1973 (ESA), an import/export license is required for any person who 
engages in business as an importer or ex porter of fish or wildlife unless that person imports or G/LIC /N/3/USA/18  
 
- 18 - 
 
  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 wildlife (other than certain shellfish or fishery products) without first 
having obtained permission from the Secretary of the In terior.  
 
The license requirement is found at 50 CFR 14.91 -93. Presently licensees must:  
 
(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; and  
(6) file any reports requested by the Service.  
 
Licensees who exclusively import or export shipments that do not contai n live or protected wildlife, 
contain 25 or fewer wildlife products, and contain a value of US $5,000  or less of wildlife products 
are exempted from the designated port base inspection fee.  
Exceptions to the license requirement are found at 50 CFR 14.92. C ertain persons exempted from 
the license requirement by 50 CFR 14.92(b) must still comply with the requirements of  section  9(d) 
of the ESA, which are to:  
 
(1) keep records which fully and correctly disclose each importation or exportation of wildlife by 
them; 
(2) keep records which fully and correctly disclose the subsequent disposition by them of the 
imported or exported wildlife; and  
(3) allow Service inspection of records and inventories of imported wildlife or wildlife to be 
exported.  
 
Purposes and cove rage of licensing  
2. The licensing system covers all "wildlife" which by regulation means the same as "fish or wildlife", 
which is defined by 50 CFR 10.12 as follows:  
 
the term "fish or wildlife" means any wild animal, whether alive or dead, including without 
limitation any wild mammal, bird, reptile, amphibian, fish, mollusc, crustacean, arthropod, 
coelenterate, or other invertebrate, whether or not bred, hatched, or born in captivity, and 
including any part, product, egg, or offspring thereo f. 
 
3. The licensing system applies to any person who "engages in business as an importer or exporter 
of wildlife". That phrase means for a person to devote time, attention, labour  or effort to any 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 educational purposes and not for resale; and  
(4) Federal, State, tribal, or municipal agencies.  
 
4. 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 violators from commercial wildlife trade, improve communications between the Service G/LIC/N/3/USA/18  
 
- 19 - 
 
  and commercial wildlif e importers and exporters, and assist the Service in its effort to conserve 
endangered and threatened species and identify species which may be threatened or endangered.  
 
5. Section 9(d) of the Endangered Species Act of 1973 [16 U.S.C. 1538(d)] makes it un lawful "for 
any person to engage in business as an importer or exporter of fish or wildlife...without first having 
obtained permission from the Secretary [of the Interior]". By regulation the term "permission" 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". The system cannot be abolished without legislation.  
 
Procedures  
6. Not applicable.  
 
7.(a) Currently, licenses are issued by two regional Office of Law enforcement offices and the 
applicants may apply on -line on the eLicense (el ectronic Import/Export license) module or 
mail in their applications for processing.  No time -limit is set for receiving an application 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 or 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 expires.  
 
A holder of an Import/Export License may also apply for a Designated Port Exception Permit 
(Title 50 CFR 14.31 to 14.33) to facilitate wildlife trade through a port not designated as a 
wildlife port, for scientific purposes, to minimize deterioration or loss and for economic 
hardship.  
 
(b) No. 
 
(c) No. 
 
(d) Applications are submitted to and processed by Service law en forcement regional permit 
offices  (permitsWestLE@fws.gov and permitsEastLE@fws.gov).  
 
8. 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 relating to the activity for which the application is filed, 
if such assessment or conviction evidences a lack of responsibility;  
(2) the applicant has failed to di sclose material information required, or has made false 
statements as to any material fact, in connection with his application;  
(3) the applicant has failed to demonstrate a valid justification for the permit and a showing of 
responsibility;  
(4) the author ization requested potentially threatens a wildlife or plant population; or  
(5) the Director finds through further inquiry or investigation, or otherwise, that the applicant is 
not qualified.  
 
An applicant must be notified in writing if the application is d enied 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. The final action by the Director is considered the final administrative 
decision of t he Department of the Interior.  
 
Eligibility of importers to apply for License  
9. 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). The Privacy Act prohibits published lists of 
importers or exporters.  
 G/LIC /N/3/USA/18  
 
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  Documentation and other requirements for application for License  
10. The following information is required:  
 
(1) applicant's name, mailing address, and phone number, including the U.S. address for forei gn 
applicants;  
(b) if the applicant is an individual, the applicant 's date of birth, 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 insti tution;  
(4) certification in the following language:  
"I hereby certify that I have read and am familiar with the regulations contained in Title 50, 
Part 13, of the Code of Federal Regulations and the other applicable parts in Sub -chapter B of 
Chapter I of Title 50, and I further certify that the information submitted in this application 
for a permit is complete and accurate to the best of my knowledge and belief. I understand 
that any false statement herein may subject me to the suspension or revocation of this permit 
and to the criminal penalties of 18 U.S.C. 1001";  
(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 i nventories of wildlife will be stored, including contact information;  
(9) a general description of the 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 applicants residing or located outside of the United States conducting commercial activities, 
the name, physical address, and telephone number of their a gent located in the United States 
who will maintain the records required under the import/export license.  
 
11. 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 d oes not supersede, any other requirement established 
by law for the importation or exportation of wildlife.  
 
12. The license fee is US$ 100 .  
 
13. Applications must be accompanied by the license fee.  
 
Conditions of licensing  
14. 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.  
 
15. If a licensee discontinues engaging in business as an importer or exporter of wildlife, the licensee 
must within 30 days mail the lice nse and a request for cancellation to the issuing officer.  
 
16. 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.  
 
17.(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 me et 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 dat e of the license, keep such records as will fully 
and correctly disclose each importation or exportation of wildlife made by the licensee 
and the subsequent disposition made by the licensee with respect to such wildlife. The 
records must include a general description of the form of the wildlife, such as "live", G/LIC/N/3/USA/18  
 
- 21 - 
 
  "raw hides", or "fur garments"; the quantity of wildlife, 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 receive d the wildlife pursuant to such disposition, if 
applicable;  
 
(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 of law, duly authorized Service officers at all reasonable 
times shall, upon notice, be afforded access to the licensee's places of business , an 
opportunity to examine the licensee's inventory of imported wildlife or the wildlife to be 
exported and the records 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.  
 
Other procedural requirements  
18. A licensee must comply with the requirements of 50 CFR Part 14 which apply to the importation, 
exportat ion, 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 fe deral 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 Bird Treaty Act, and the Lacey Act, for injurious 
wildlife. A licensee must provide  advance notification of imports or exports of live or perishable 
wildlife.  
 
19. Not applicable.  
 
5  DEPARTMENT OF JUSTICE  
5.1  Bureau of Alcohol, Tobacco, Firearms and Explosives  
5.1.1   Firearms and ammunition  
Outline of system  
1. 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 manufacturing o r 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 occupational ta x for persons engaged in the business of importing, manufacturing, or dealing 
in NFA firearms. ATF also maintains a system of registration for NFA weapons which include machine 
guns, silencers, and destructive devices.  
 
Purposes and coverage of licensing  
2. See reply to question 1. Under the GCA at 18 U.S.C. § 921(a)(3), "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 recei ver of any such weapon; (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). G/LIC /N/3/USA/18  
 
- 22 - 
 
  The term "f irearm" does not include 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 at 18 U.S.C. § 921(a)(23), "machinegun" i s 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 f unction 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 GC A in 18 U.S.C. § 921 and in the NFA in 26 U.S.C. § 5845.  
 
3. All countries except those restricted by the Department of State from which imports are denied 
entry into the United States. Refer generally to 27 CFR 447.52 for restricted countries and defense 
articles; ATF also maintains an up -to-date listing at its Firearms and Explosives Imports Branch 
((304) 616 -4550).  
 
4. No. Generally, the GCA licensing system prevents the granting of licenses to persons falling within 
statutorily determined prohibited categories. 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 i mports 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, an d 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.  
 
5. The GCA statute and regulations are in 18 U.S.C., Chapter 44 and 27 CFR Part 478, respectively. 
Licensing is statutorily mandated and cannot be abolished without legislative action. Likewise, 
firearms are defined in the statute.  
 
Procedures  
6. Not applicable.  
 
7.(a) A Federal Firearms License is issued within 60 days after receipt of a properly completed 
application. Any person who wishes to permanently import a firearm, firearm barrel, or 
ammunition into the United States must first f ile application with ATF and obtain an approved 
ATF Form 6—Application and Permit for Importation of Firearms, Ammunition and Defense 
Articles.  
 
(b) No. A license cannot be granted immediately on request.  
 
(c) No. 
 
(d) Yes, the application is considered by a single administrative organ (ATF).  
 
8. No additional circumstances apply. The reasons for any refusal are given to the applicant in 
writing. In the event of refusal to issue a 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.  
 
Eligibility of im porters to apply for License  
9. All persons, firms, and institutions are eligible to apply for licenses.  
 
Documentation and other requirements for application for License  
10. Applications: The ATF Form 7 is the application for a Federal firearms license. T he 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).  G/LIC/N/3/USA/18  
 
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  11. Proof to United States Customs and Border Protection of permit status furnished by the importer 
or its agent. Application and Permit for Importation of Firearms, Ammunition and Defense Articles 
(ATF Form 6, Part I); Release and Receipt of Imported Fire arms, Ammunition and Defense Articles 
(ATF Form 6A).  
 
12. Yes. US$ 150.00 ($50 per year) for importers of firearms other than destructive devices or 
ammunition for firearms other than destructive devices, or ammunition other than armor piercing 
ammunition. US$ 3,000.00 ($1000 per 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 A ECA registration fees (discussed in 
the below section, V(A)2).  
 
13. No.  
 
Conditions of licensing  
14. A Federal Firearms License is valid for three years from date of issuance unless revoked. Import 
Permit: two years from date of issue or until quantity app roved for import is brought in, whichever 
comes first. The validity of a Federal Firearms License can be extended by renewal application for 
license.  
 
15.-17. No.   
 
Other procedural requirements  
18. No. 
 
19. Not applicable.  
 
5.1.2   Firearms, ammunition and defense articles  
Outline of system  
1. The United States maintains a system of registrations and permits to control the permanent 
importation of firearms, ammunition and defense articles. The law and regulations of these imports 
are administered by ATF purs uant to 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). The Department of State and the Department of Commerce 
mainta ins a similar system of controls relative to exports and temporary imports.  
 
Purposes and coverage of licensing  
2. Persons engaged in the business of importing defense articles on the U.S. Munitions Import List 
must be registered. Actual importation is aut horized by use of ATF Form 6 —Application and Permit 
for Importation of Firearms, Ammunition and Defense Articles . 
 
3. All countries except those restricted by the Department of State from which imports are denied 
entry into the United States. Refer general ly to 27 CFR 447.52 for restricted countries and defense 
articles; ATF also maintains an up -to-date listing at its Firearms and Explosives Imports Branch 
((304) 616 -4550).  
 
4. Primary purpose is to regulate international transfers into the United States of  United States 
Munitions Import List defense articles consistent with U.S. national security and foreign policy. No 
alternative methods have been considered.  
 
5. Arms Export Control Act of 1976 at 22 U.S.C. § 2778; 27 CFR Part 447; and Executive 
Order  13637 (78 F.R. 16129). Licensing is statutorily mandated and cannot be abolished without 
legislative action.  
 
Procedures  
6. Not applicable.  G/LIC /N/3/USA/18  
 
- 24 - 
 
  7.(a) A Federal Firearms License is issued within 60 days after receipt of a properly completed 
application. Any per son who wishes to permanently import a defense article on the U.S. 
Munitions Import List into the United States must first file application with ATF and obtain an 
approved ATF Form 6 —Application and Permit for Importation of Firearms, Ammunition and 
Defens e Articles.  
 
(b) No. A license cannot be granted immediately on request.  
 
(c) No. 
 
(d) Yes, consideration of license applications is effected by a single administrative organ (ATF).  
 
8. No additional circumstances apply. The reasons for refusal are provided to the applicant.  In the 
event of refusal to issue a Federal firearms license, administrative appeals may be made through 
the Director of the ATF. If an import permit is denied, revoked, suspended, or revised, the importer 
or applicant shall be ad vised in writing of the decision and the reasons therefor. Within 30  days of 
receipt, the applicant or importer may file a written request for an opportunity to present additional 
information and to have a full case review by the appropriate ATF officer.  
 
Eligibility of importers to apply for License  
9. All persons, firms, and institutions are eligible to apply for licenses.  
 
Documentation and other requirements for application for License  
10. 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 ). The ATF Form 4587 is the Application to Register as an Importer 
of U.S. Munitions Import List Articles.   
 
11. Proof to United States Customs and Border Protection of permit status furnished by the importer 
or his/her agent. 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).  A fee for registration is charged, but not for the permit.  
 
12. Amount of fee:  
 
One year:   US$ 250  
Two years:   US$ 500  
Three years:  US$ 700  
Four years:   US$ 850  
Five years:   US$ 1,000  
 
13. No. 
 
Conditions of licensing  
14. Registration: one to five years. Permit: two years from date of issue or until the quantity 
approved for import i s brought in, whichever comes first.  
 
15.-17. No.   
 
Other procedural requirements  
18. No. 
 
19. Not applicable.  
 G/LIC/N/3/USA/18  
 
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  5.1.3   Explosives  
Outline of system  
1. The United States maintains a system of registrations and permits to control the importation of 
explosives. All manufacturers, dealers, importers, and possessors of explosive materials are required 
by law to be licensed or permitted. The primary purpose of this licensing system is to keep explosives 
out of the hands of persons prohibited by law from receiving or pos sessing 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.  
 
Purposes and coverage of licensing  
2. Explosive materials are explosives, blasting agents, and detonators. Permits are required of all 
users. Licenses are required as stated in reply to question 1.  
 
3. All countries.  
 
4. No. Purposes are to protect against the misuse and unsafe storage of explosive mate rials. See 
also reply to question 1. No alternative methods have been considered.  
 
5. 18 U.S.C. Chapter 40; 27 CFR Part 555. Licensing is statutorily required and cannot be abolished 
without legislative approval. Designation of products is not subject to a dministrative discretion.  
 
Procedures  
6. Not applicable.  
 
7.(a) An application for a license or permit must be approved or denied within 90 days after receipt. 
Usual turn -around time from receipt of application to issuance of license or permit is 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.  
 
(b) No. 
 
(c) No. 
 
(d) Yes, consideration of applications is effected by a single administrative organ (ATF).  
 
8. No additional circumstances apply. 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. The reasons for any refusal are provided to the applicant in writing. In the 
event of refusal to issue or revocation of a license, administrativ e appeals may be 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.  
 
Eligibility of importers to apply for License  
9. All persons, firms, and institutions are eligible to apply for licenses.  
 
Documentation and other requirements for application for License  
10. Application on ATF Forms 5400.13/5400.16, Application for License or Permit.  
 
11. Proof to United States Customs and Border Protection of  licensed or permitted status furnished 
by importer or his agent. Explosives must be classified and marked per United States Department 
of Transportation standards.  
 
12. Yes. 
 G/LIC /N/3/USA/18  
 
- 26 - 
 
  - US$ 200.00 per license for three years; and US$ 100.00 for renewal for three y ears; 
- US$ 100.00 per User -permit per three years; and US$ 50.00 for User -permit renewal for three 
years;  
- US$ 75.00 per User -limited permit (non -renewable) valid for one year or one transaction; 
US$25.00 per Limited permit valid for one year or up to si x transactions;  
- US$12.00 Limited permit renewal for one year or up to six transactions.  
 
13. No. 
 
Conditions of licensing  
14. Licenses are valid for three years. The validity of a license can be extended by renewal 
application. General user permits are v alid for three years and can be extended by renewal 
application. Intrastate User permits are valid for up to one year or six product uses and are 
renewable. User limited permits are valid for one year and are not renewable.  
  
15.-16. No.  
 
17. No additional  conditions apply.  
 
Other procedural requirements  
18. No. 
  
19. Not applicable.  
 
5.2  Drug Enforcement Administration  
5.2.1   Controlled substances and listed chemicals  
Outline of system  
1. 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 e stablishes 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 Substances, 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 above three international conventions and is 
responsible for collectin g data and preparing standard yearly statistical reports regarding the 
manufacture, import/export, and consumption of drugs and chemicals regulated by the conventions.  
 
Purposes and coverage of licensing  
2. In order to import any controlled substance, or L ist 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 registra tion 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 
substance 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 G/LIC/N/3/USA/18  
 
- 27 - 
 
  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 in advance prior to importation of 
any listed chemical t hat 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 Controlled 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, concentrate 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. Title 21 United States Code, Section 952(a)(1).  Controlled 
substances in Schedule I or II , or narcotic substances in Schedule 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 inad equate; (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 General find s that such controlled substance is in limited quantities exclusively for 
scientific, analytical, or research uses.  Title 21 United States Code, Section 952 (a)(2).  
 
3. 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, pop py straw and concentrate of poppy 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 % of the narcotic raw material imported into the United S tates shall have as its 
source Turkey and India. Except under conditions of insufficient supplies of narcotic raw materials, 
not more than 20 % of the narcotic materials imported annually shall originate in Spain, France, 
Poland, Hungary, and Australia.  
 
4. The system is designed to restrict the quantity of imports of controlled substances and listed 
chemicals (not monetary value) and to maintain a monitoring system. Previous systems were used 
prior to the import requirements of the Controlled Substances Act  (effective 1 May 1971). However, 
the current system is mandated by United States law and, as far as controlled substances are 
concerned, is based upon two international treaties (The Single Convention on Narcotic Drugs, 1961 
and the Convention on Psychotr opic Substances, 1971).  
 
5. 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 nee d for the listed chemicals 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, ps eudoephedrine, and phenylpropanolamine) 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 chemi cals and products containing 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 es tablished in July 2007 which 
set in place a process for licensed firms to obtain individual quota amounts.  
 G/LIC /N/3/USA/18  
 
- 28 - 
 
  The system of registration of importers and the system of quotas (for Schedule I and II drugs) are 
statutory requirements established in the Compreh ensive Drug Abuse Prevention and Control Act of 
1970, Part C (Sections 301, 302, 303, 306) and the import requirements established in the 
Controlled Substances Import and Export Act (Sections 1002, 1007 and 1008) (21 United States 
Code, Sections 822, 823, 826, 952, 953, 957 and 958) and implementing regulations. The Controlled 
Substances Act established criteria by which drugs are controlled in one of five schedules subject to 
import requirements. The system required by statute cannot be abolished without legislative 
approval.  
 
Procedures  
6.I. Annual notice of publications of aggregate production quotas designed to account for all 
Schedule I and II controlled substances and the listed chemicals ephedrine, pseudoephedrine, 
and phenylpropanolamine are  published in the Federal Register on or about 1 May 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.  
 
II. Assessments, estimates, and quotas for legitimate need are determined on an annual basis, 
but determinations regarding importations are made at the time of individual applications.  
 
III. Import permits are issued 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 fo r monitoring 
purposes by the DEA.  
 
IV. Not applicable; individual determinations are made.  
 
V.-VI. Applications to import are reviewed upon receipt by the DEA.  
 
VII. 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.  
 
VIII. Not applicable.  
 
IX.-X. The DEA utilizes the International Import and Export Author ization System (I2ES), an online 
platform developed by the International Narcotic Control Board with the support of the United 
Nations Office on Drugs and Crime, to issue electronic import and export authorizations for 
narcotic drugs and psychotropic subst ances in compliance with the international drug control 
treaties. I2ES equips Governments with a paperless system that supports the issuance and 
exchange of electronic import and export authorizations for controlled substances to expedite 
communication amo ng Governments and reduce the dependency on postal services because 
import and export authorizations are available online.  
 
XI. Controlled substances on permits may only be imported for legitimate needs of the United 
States.  
 
7. Schedules III, IV, and V no n-narcotic controlled substances are subject to import declarations, 
and importers are subject to registration with the DEA.  
 
(a) Importation may be made only by approved, registered importers. An import declaration must 
be filed 15 days in advance of the proposed date of import. In special circumstances, the 15 
days may be waived administratively.  
 
(b)-(c) Not applicable.  
 
(d) Yes. The DEA.  
 
8. A registered importer can be refused an importation if the importer cannot demonstrate the 
legitimate need in the United States, in line with the above criteria.  
 G/LIC/N/3/USA/18  
 
- 29 - 
 
  Eligibility of importers to apply for License  
9. Imports are only approved for the DEA registered importers who must be inspected for adequate 
records, security, state approval, etc., prior to registrati on with the DEA.  
 
Documentation and other requirements for application for License  
10. 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 con signor; (b) foreign port and 
country of export; (c) United States port of entry; (d) the latest date shipment will leave a foreign 
port; (e)  stock on hand of the controlled substance desired to be imported ; (f) name of carrier or 
vessel ; (g) tentative  total allotment to the importer of such controlled substances  for the current 
calendar year; and ( h) the total number of kilograms of said allotment for which permits have 
previously been issued and the total quantity of controlled substance actually imported  during the 
current year to date.  
 
11. Import permit.  
 
12. No fee is levied per import permit. Registration fees are as follows:  
 
Registrant Class  Annual Fee (As of 1 October 2020)  
Importers/Exporters (Controlled Substances)  $1,850  
Importers/Exporters (Chemical)  $1,850  
 
13. No. 
 
Conditions of licensing  
14. 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 t he date the permit 
is issued.  
 
15. Importation of a controlled substance or listed chemical which is made without a valid permit, 
notice, or declaration is subject to seizure and civil or criminal penalties.  
 
16.-17. No.   
 
Other procedural requirements  
18. No. 
 
19. Not applicable.  
 
6  DEPARTMENT OF TREASURY  
6.1  Alcohol and Tobacco Tax and Trade Bureau  
6.1.1   Distilled spirits (beverages); wine and malt beverages  
Outline of system  
1. Importers of distilled spirits, wine, and malt beverages for non-industrial (beverage) use 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 purposes of this requirement are to protect the consumer by oversight of labelling and 
advertising, to prevent unfair trade practices as required by the FAA Act, and to enforce all other 
Federal laws relating to spirits, wine, and malt beverages, including taxes. Retailers are not required 
to obtain basic permits under the FAA Act.  
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  Purposes and coverage of licensing  
2. Persons seeking to engage in the business of importing dist illed 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 "). 
 
3. This permit system applies to goods imported into the United States.  
 
4. No. The purpose o f the permit system is to provide an enforcement mechanism to ensure that 
importers comply with all requirements of Federal law relating to alcohol.  
 
5. 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 -chap8 -subchapI -
sec201 /content -detail.html ). The regulations concerning basic permit require ments, promulgated 
under the FAA Act, are located 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 and may not be abolished 
without legislative approval. The designation of products req uiring a license is not subject to 
administrative discretion.  
 
Procedures  
6. Not applicable.  
 
7.(a) Permits are issued usually within six to eight months after an application has been filed. Under 
certain circumstances, a permit can be obtained within a shorter time frame. Once issued, the 
permit remains valid until annulled, suspended or revoked.  
 
(b) Under certain circumstances a permit can be obtained within a shorter time frame.  
 
(c) No. 
 
(d) Yes, the Alcohol and Tobacco Tax and Trade Bureau (TTB) is the sole agency that issues basic 
permits for the importation of alcohol beverages.  
 
8. 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/USCODE -2011-title27/USCODE -2011-title27 -chap8 -subchapI -
sec204/content -detail.html ). The reasons for any refusal are given to the applicant in writing. In the 
event of refusal to issue a permit, administrative appeals may be made to the Administrator of TTB, 
and th en to a Federal court.  
 
Eligibility of importers to apply for License  
9. 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 Unite d States and 
have the appropriate tax ID with the IRS. There are no registration fees. TTB publishes a list of 
authorized importers at http://www.ttb.gov/foia/frl.shtml . 
 
Documentation and other requirem ents for application for License  
10. Refer to TTB Form 5100.24 ( http://www.ttb.gov/forms/f510024.pdf ), along with such 
supporting documentation as required.  
 
11. 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 5100.3 1 
(http://www.ttb.gov/forms/f510031.pdf )). 
 
12. No. 
 
13. No. 
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  Conditions of licensing  
14. 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 th e permit for a period of more than 
two years.  
 
15. 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.  
 
16. No. 
 
17.(a) No.  
 
(b) No. 
 
Other pr ocedural requirements  
18. Yes. 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 L abel 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 -2011-title26/USCODE -2011-title26 -subtitleE -
chap51/content -detail.html ). 
 
19. Not applicable.   
 
6.1.2   Distilled spirits or alcohol for industrial use (including alcohol for fuel use)  
Outline of System  
1. The Internal Revenue Code of 1986 requires that producers of distilled spirits or alcohol for 
industrial purposes have permits. If distributors 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 -subtitleE -chap51 -subchapA -partI-subpartA -sec5001/content -
detail.html ), then they must apply for a permit.  Industrial alcohol is exempt from taxation if used as 
authorized by law. The permit system is a means to control these authorized uses.  
 
Purposes and coverage of licensing  
2. A permit for the importation of alcohol for industrial u se may be required.  Alcohol or distilled 
spirits as defined in 26 U.S.C. 5002(a) ( http://www.gp o.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26 -subtitleE -chap51 -subchapA -partI-subpartA -sec5002/content -
detail.html ) includes denatured spirits.  Such alcohol may only be receive d into this country by an 
authorized distilled 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.  
 
3. All countries.  
 
4. No. The purpose is to prevent tax fraud.  
  
5. Please see: 26 U.S.C. 5171 ( http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -
2011-title26 -subtitleE -chap51 -subchapB -sec5171/content -detail.html ), 26 U.S.C. 5181 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleE -
chap51 -subchapB -sec5181/content -detail.html ), 27 CFR Part 19 
(http://www.gpo.gov/fdsys/gr anule/CFR -2002-title27 -vol1/CFR -2002-title27 -vol1-part19/content -
detail.html ). The licensing system was created by statute and may no t be abolished without 
legislative action. The designation of products requiring a license is not subject to administrative 
discretion.  
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  Procedures  
6. Not applicable.  
 
7.(a) Registrations or operating permits under the Internal Revenue Code are usually is sued within 
six to eight months after the application has been filed. Under certain circumstances, a permit 
can be obtained within a shorter time frame.  
 
(b) Under certain circumstances, a permit can be obtained within a shorter time frame.  
 
(c) No. 
 
(d) Yes. TTB is the only agency with whom an importer of distilled spirits or alcohol for industrial 
use (including alcohol for fuel use) must deal to secure this permit.  
 
8. The circumstances for denying an application for a permit are stated in 26 U.S.C. 527 1 
(http://www.gpo.gov/fdsys/granule/USCODE -2010-title26/USCODE -2010-title26 -subtitleE -
chap51 -subchapD -sec5271/content -detail.html ). The reasons for any refusal are given to the 
applicant in writing. In the event of refus al to issue an operating permit, administrative appeals may 
be made to TTB's Administrator, and then to a Federal court.  
 
Eligibility of importers to apply for License  
9. Any person, firm, or institution may apply for a license. Individuals must be citizen s 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. There are no registration fees.  
 
Documentation and other requirements for application for License  
10. Application for Operating Permit - TTB Form 5110.25 
(https://www.ttb.gov/images/pdfs/forms/f511025.pdf ); Alcohol for fuel use - TTB Form 5110.74 
(https://www.ttb.gov/images/pdfs/forms/f51 1074.pdf ), as appropriate, along with such supporting 
documentation as required.  
 
11. Ordinary commercial papers.  
 
12. No. 
 
13. No.  
 
Conditions of licensing  
14. Continuing, unless revoked, suspended or surrendered.  
  
15. Permits are subject to revocation if not used for more than two years.  
 
16. No. 
 
17.(a) No. 
 
(b) No.  
 
Other procedural requirements  
18. No. 
 
19. Not applicable.  
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  6.1.3   Tobacco products  
Outline of system  
1. The Internal Revenue Code of 1986 (Title 26 U.S.C. Chapter 52 – please see  
http://www.gpo.gov/fds ys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleA -chap1 -
subchapA -partIV -subpartF -sec52 /content -detail.html ) requires that 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 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.  
 
Purposes and coverage of licensing  
2. As noted, manufacturers and importers of tobacco products or processed tobacco and proprietors 
of export warehouses (bonded internal revenue warehouses for the storage of toba cco 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. Tobacco products are defined i n the Internal Revenue Code as cigarettes, cigars, 
smokeless tobacco (that is, chewing 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 combining 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, sh ipment, or delivery to a manufacturer of tobacco products or 
processed tobacco are not required to obtain from TTB a permit to engage in such activities.  
 
3. All countries.  
 
4. The permit system does not restrict the quantity or value of imported tobacco p roducts or 
processed tobacco. No alternative methods have been considered.  
 
5. 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 proces sed tobacco, 
or as an export warehouse proprietor, qualify for and obtain a permit to engage in such business  
(http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleE -
chap52 -subchapB -sec5712/co ntent -detail.html ). There is no discretion for the executive branch  to 
change  the products  (http://www.gpo.gov /fdsys/granule/USCODE -2011-title26/USCODE -2011-
title26 -subtitleE -chap52 -subchapB -sec5713/content -detail.html ) subject to the permit requirements 
or to abolish the permit system without legislative approval.  
 
Procedures  
6. Not applicable.  
 
7.(a) Permits are usually issued within six to eight months after an application has been filed.  
 
(b) 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 
be met with immediate licensing.  
 
(c) No. 
 
(d) 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.  
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  8. There are no additional circumstances for denying an application for a pe rmit other than what is 
stated in 26 U.S.C. 5712 ( http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-
title26 -subtitleE -chap52 -subchapB -sec5712/content -detail.html ). The reasons for any refusal are 
given to the applicant in writing. An applicant may appeal the denial of a permit to the Administrator 
of TTB, and then to a Federal court.  
 
Eligibility of importers to apply for License  
9. 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. There are no registration fees. There is no published list 
of authorized importers.  
 
Documentation and other requirements for application for License  
10. Refer to TTB Form 5230.4 ( https://www.ttb.gov/images/pdfs/forms/f52304.pdf ), along with 
such supporting documentation as r equired.  
 
11. Not applicable.  
 
12. Not applicable.  
 
13. Not applicable.  
 
Conditions of licensing  
14. Permits for importers of tobacco products or processed tobacco that are 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.  
  
15. No. 
 
16. Permits are not transferable to another person.  
  
17.(a)  Not applicable.  
 
(b) 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 al so be revoked for the reasons listed under 26 U.S.C. 5713.  
 
Other procedural requirements  
18. TTB has no other administrative procedures, apart from permit requirements, required prior to 
importation.  
 
19. Not applicable.   
 
7  NUCLEAR REGULATORY COMMISSION  
7.1  Nuclear facilities and materials  
Outline of System  
1. 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. 
Department of Energy and the U.S. Department of Defense.  
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  The nuclear fac ilities and radioactive materials subject to NRC import licensing authority include: 
production and utilization facilities, special nuclear materials, source materials, and by -product 
materials, including when such materials are contained in radioactive wa ste. The definition for each 
of these terms is provided 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 document 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 appropriate 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 state 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 licenses 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 r adioactive waste.  
 
On 1 July 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 28 December 2005. On 28 July 2010, 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 g eneral license (28 July 2010; 75 FR 
44072). This 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 change requires 
notification seven days in advance of shipments for imports authorized under the general license.  
 
A copy of 10 CFR Part 110 containing the Nuclear Regulatory Commission Regulations governing the 
Export and Import of Nuclear Equipment and Material is available for consultation in the Secretariat 
(Market Access Division).  
 
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 radioa ctive 
material. The specific 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 10 July 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 refe rence the current 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.  
 
Purposes and coverage of licensing  
2. As noted in reply 1, 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.  
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  3. The licensing requirements apply to goods originating in and coming from all countries, but do 
not apply to transhipments, i.e., those which are just passing through the United States.  
 
4. The purpose of adopting licensing requirements is not to restrict quantities or values of item s 
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, use, 
distribution, and transport of such items.  
 
5. As mentione d in reply 1, NRC regulations in 10 CFR Part 110 are issued pursuant to the Atomic 
Energy Act of 1954, as amended, and the Energy Reorganization Act of 1974, as amended. 
In general, the legislation defines the categories of products and facilities that nee d to be subject to 
licensing controls with minimum discretion in definitions left to administrative determination.  
 
Procedures  
6. 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.(a) There is no fixed period for submitting a specific license application in advance of importation, 
although it must be reviewed and a license m ust be issued before the importation occurs. 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.  
 
(b) 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 
received 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).  
 
(c) 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.  
 
(d) 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. 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.  
 
8. Applications that are deficient are normally withdrawn or r eturned without action. Although NRC 
has the authority to deny, to revoke or suspend licenses, it is rarely exercised. Reasons for such 
actions must be made known to an applicant/licensee who would have the right to appeal. Avenues 
for applicants, licensee s, and members of the public to appeal NRC actions are given in Subparts H, 
I, J and K of 10 CFR Part 110.  
 
Eligibility of importers to apply for License  
9. 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.  
 
Documentation and other requirements for application for License  
10. Information required in an applicat ion for a specific license is set out in 10 CFR § 110.31 and   
§ 110.32. 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.  G/LIC/N/3/USA/18  
 
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  11. 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, imp ort forms customarily required by other U.S. government 
agencies are also necessary for 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 noti fication requirements for certain transfers of nuclear material that are established by 
domestic possession licenses, not import licenses.  
 
12. No fees are charged for processing license applications .  
 
Conditions of licensing  
14. A specific import license  is usually valid for a period of three to five years from the date of 
issuance but could be longer if the applicant so requests and the NRC agrees.  
 
15. 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.  
 
16. A specific license may be transferred or assigned to another person only with the approval of 
the Commission.  
 
17. 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.  
 
Other procedural requirements  
18. Since many materials authorized for import under specific 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 procedures for health and safety purposes, or advance notice of  pending receipt and thus 
would not be included as special impo rt 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.  
 
19. Not applicable.  
  
__________