G/LIC/N/3/USA/19  
 
28 September 2022  
(22-7291) Page: 1/37 
Committee on Import Licensing  Original: English  
 
 
REPLIES TO QUESTIONNAIRE ON IMPORT LICENSING PROCEDURES1 
NOTIFICATION UNDER ARTICLE 7.3 OF THE  
AGREEMENT ON IMPORT LICENSING (2022)  
UNITED STATES 
The following communication, dated 27 September 2022, is being circulated at the request of the 
delegation of the United States.  
 
_______________  
 
 
Table of Contents  
 
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 dair y 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 
 
1 See document G/LIC/3, Annex, for the Questionnaire.  G/LIC/N/3/USA/19  
 
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  6.1   Alcohol and Tobacco Tax and Trade Bureau  ................................ ................................ . 29 
6.1.1    Distilled spirits (beverages); wine and malt beverages  ................................ ...............  29 
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 AGRIC ULTURE  
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;  
- Earthworms (effective October 1, 2022);  
- 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 products 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 provis ions of the Convention on International Trade 
in Endangered Species (CITES), establishes a permit system for certain plants on the endangered 
species list.  G/LIC/N/3/USA/19  
 
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  Procedures  
6. Not applicable.  
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 excepti on to this are the permit applications for soil and 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 applic ant may appeal to the Administrator in writing within 
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, partnersh ip, corporation, association, joint venture, or other 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 hours at that address during any periods when articles are being imported 
or moved interstate under the permit; or, if the applicant is a legal entity that maintains an address 
or business office in the Unit ed 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 f ile 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 f orth in the PPQ Form 587 (for plants and plant 
products), 588 (application for prohibited material), 546 for plants requiring post -entry quarantine, 
and PPQ 621 for endangered plants. Plants and plant products in transit through the United States 
require a  PPQ Form 586. Applications to import soil are contained in PPQ Form 525, 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 th e 
shipment. Endangered species have special documentation requirements.  
 
12. There is no licensing fee or administrative charge for permits other than the US$ 70.00 fee per 
permit for commercial trade in endangered plants.  
 
13. No deposit or advance payment is required in connection with the issue of permits.  
 
Conditions of licensing  
14. Permits are valid for specified periods of time, and they can be extended by re -application. The 
permit for endangered or threatened plants is valid for two years.  
 
15. There is no penalty for non -utilization of a permit.  
 
16. Permits are not transferable between importers.  
 
17. Almost all permits used for the import of plants and plant products have specific import 
conditions, which are listed on the permit applicatio n. 
 
Other procedural requirements  
18. There are no other administrative procedures required prior to importation.  
 
19. Not applicable.  
 G/LIC/N/3/USA/19  
 
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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 a nimal 
products/by -products, organisms and vectors, and veterinary biological products, to protect U.S. 
livestock and poultry against the introduction of diseases that do not exist in the United States.  
 
Purposes and coverage of licensing  
2. Permits are req uired for:  
 
Live animals, including:  
 
- Livestock and poultry and other species ( i.e., zoo animals, pet birds) that may carry diseases 
that could affect US livestock and poultry;  
- animal semen, ova, embryos;  
- hatching eggs.  
 
Certain animal (livestock and/or poultry) derived products for any reason, commercial or research 
uses;  
 
Animal products:  
 
- for human consumption ( e.g., meat, milk, eggs, casings, processed products containing 
meat);  
- animal by-products not for human consumption ( e.g., bones, hides/skins, fetal bovine serum)  
- for animal consumption (pet food/treats and animal feed ingredients, etc.);  
- organisms and vec tors able to transmit or harbour  animal diseases  
- 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 pr oducts, monoclonal antibodies.  
 
Veterinary Biologics (for research, transit, general distribution):  
 
- Livestock and poultry pathogens ( e.g., bacteria, viruses, fungi, TSE agents, protozoa);  
- Derivative of livestock and poultry pathogens ( e.g., recombinan ts, 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 regula ted live animals coming from all countries (with some 
exceptions for Canada and Mexico) with some variation based on the species and the country of 
origin's disease status. Permits for animal products apply to all countries depending on disease 
status, spe cies of animal, type of product, and intended use.  
 
4. The permit system is not used to restrict the quantity or value of imports, but only to protect 
domestic agriculture from the introduction or entry of animal diseases or disease vectors.  
 
5. The permit  system is not a statutory requirement except for veterinary biological products permits 
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 i n 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.  
 G/LIC/N/3/USA/19  
 
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  (b) A permit cannot be granted immediately upon request. Prior review of the application is 
required.  
(c) There are no limitations as to the period of the year during which permit applications may be 
made.  
(d) For animal products, by -products, and organisms and vectors, the permits are effected by one 
office. For Live animals, permits can be effected by one office and jointly with Port Services. 
The application is not passed on to other offices for visa, note or approval, and the importer 
does not have to approac h 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, a permit for a particular time 
period could be refused if space at a Quarantine Station is not available. An outbreak of a particular 
disease in the exporting country could be a cause to revoke a permit which was issued prior to the 
disease outbreak. Reasons for refusal are given to the applicant. N o 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 thro ugh the eFile (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, 16-79, 17 -129, 
17-128 and APHIS form 2005.  
 
11. In the case of live animals, copies of the import permits must accompany the shipment as well 
as an original health certificate issued by the national veterinary services (competent authority) of 
the country of origin. D epending on the import requirements for a specific commodity, copies of the 
import permit should also be accompanied by either a health certificate issued by the national 
veterinary services (competent authority) of the country of origin or processing, or shipper’s 
declaration, for certain shipments of animal products, and organisms and vectors.  Copies of the 
import permit should accompany shipments of veterinary biological products.  
 
12. There are import -related user fees associated with permit applicatio n review, inspections 
required for imports, testing and quarantines. Facilities manufacturing veterinary biologicals for 
importation are inspected under cooperative service agreements.  
 
13. Reservation fees for quarantine space are required for live animal s 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 fo r live animals and birds are valid for seven 
to 60 days, depending on the species. Permits for veterinary biological products for importation for 
distribution and sale do not have expiration dates.  
 
15. There is no penalty for non-utilization of a permit. Application user fees and quarantine 
reservation fees are not refundable.  
 
16. Permits are not transferable between importers.  
 
17. In the case the permit outlines import conditions, 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.  G/LIC/N/3/USA/19  
 
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  19. Not applicable.   
 
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 Proclamation 6763 of December 1994 authorizes the Secretary of 
Agriculture to establish for each fiscal year the quantity of sugar s and syrups that may be entered 
at the lower tariff rates of tariff -rate quotas. The tariff -rate quotas cover sugars and syrups described 
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 rates, and the 
United States Trade Representative (USTR) currently allocates this quantity among countries based 
on a repre sentative base period of U.S. sugar imports during 1975 -81. Certificates of Quota Eligibility 
(CQE) are issued to the exporting countries and must be executed and returned with the shipment 
of sugar in order to receive in -quota tariff treatment. Regulation s 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 u nder 7 CFR 1530. Licenses are issued to refiners allowing them to import 
raw sugars to be further processed and: (1) re -exported in refined form, (2) re -exported in refined 
form in sugar -containing products, or (3) used for the production, other than by di stillation, 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 1 701.12.10, 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 refine d 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.  
 
3. The CQE system applies to those 40 countri es 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 
productio n 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 refin ed sugars not 
widely available in the United States at the low -tier tariff rate. These refined sugars fulfil demand in 
niche 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 CQEs are issued under 15 CFR 2011, Sub -part A. Certificates for specialty sugar are issued 
pursuant to 15 CFR 2011, Sub -part B. The regulation may be found at: http:/ /www.ecfr.gov/cgi -
bin/text -idx?SID&node=pt15.3.2011&rgn=div5 . The regulations governing licenses for the 
importation of sugar exempt from quota are under 7 CFR 1530. The regulation may be found at: 
https://www.ecfr.gov/current/title -7/subtitle -B/chapter -XV/part -1530. Authority exists to suspend 
each of these systems whenever it is determined that such action is appropriate. Notice of such 
suspension shall be published in th e Federal Register.  G/LIC/N/3/USA/19  
 
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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 about the alloca tion of TRQ quantities, the issuance of CQEs, and the 
formalities for filing import license applications.  
 
II. The sugar TRQ for raw and refined sugar (including specialty sugar) is determined annually 
by the Secretary of Agriculture and announced before the fiscal year for which the TRQ will be 
in effect. CQEs 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 coi ncide 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 limitations.  
 
III. Governments of countries participating in the CQE system , in turn, execute and issue these 
certificates to a shipper or consignee of a cargo of sugar destined for the United States. Sugar 
is allowed entry into the United States at the low -tier tariff rate only if a valid and properly 
executed CQE is presented a t 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 suga r 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 licenses to U.S. sugar refiners to import quota -exempt 
raw cane sug ar. 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 t he 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 importers who satisfy 
the requirements of 15 CFR 2011, Sub -part B. The specialty su gar 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 sugar TRQ is already filled. However, an 
unlimited number of shipments may ent er 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 by the quantitative limit established for the raw sugar TRQ or the 
requirement s 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 
manufacture 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 Licenses is published on the FAS Web site: 
http://ap ps.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.  
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  Eligibility of importers to apply for License  
9. CQEs for in -quota raw sugar are issued by the government of the exporting country to rec ipients 
of their choosing. All importers are eligible to apply for certificates for specialty sugars. There is a 
list of currently authorized specialty sugar importers and instructions to apply for a certificate at: 
http://www.fas.usda.gov/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 identified by the expor ting 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 
address of consignee; ex pected 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 information: (1) na me 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 manufacturers' 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 documentation agreeme nt 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 auth entication.  
 
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 Department of Agriculture fo r 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 sugar 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 of 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 export or use of corr esponding 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 contra ct 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 difference is greater. The di fference 
shall be multiplied by the quantity of refined sugar, converted to raw value that should have been 
exported in compliance with this part.  
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  A bond or letter of credit is not necessary if export credits exceed the quantity of imports 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 Program, 
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 not tran sferable 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 program, 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, 19 94, modified the Harmonized Tariff Schedule 
of the United States (HTS) in various ways that affected the import system for certain dairy products. 
The Proclamation terminated quantitative restrictions that had been imposed pursuant to section 22 
of the Agr icultural 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 issue d in accordance with the 
terms and conditions in regulations issued by the Secretary of Agriculture.  
 
Purposes and coverage of licensing  
2. The licensing system covers the following dairy commodities as defined in the Additional U.S. 
notes to Chapter 4 of the HTS: butter and fresh or sour cream containing over 45 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 (note 16); blue -mould cheese (note  17); 
Cheddar cheese (note 18); American cheese other than Cheddar (note 19); Edam and Gouda cheese 
(note 20); Italian -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 force of the Urug uay 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 su ch 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 en try 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 covered by Secti on 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/19  
 
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  5. The licensing system is a statutory requirement. The authority to make such allocations was 
delegated to t he 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 codified in 7 CFR 6.20 -6.36. The electronic 
application forms designated by the Licensing Authority, which are readily available from the 
Department, provide complete information on the TRQs and allocations by supplying country. 
Limitations on the size of individual lic enses are in the regulation. An Advanced Notice of 
Proposed Rule -making was published in the Federal Register on 2 June  1994, seeking 
comments on methods for allocating Uruguay Round TRQs through the year 2000, and 
comments on updating or improving the exi sting 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 quot a 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, N o. 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 December. 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 p roducers 
of like products. Unused allocations may not be added to the allocation of the succeeding year. 
The Import Regulation requires that licensees must utilize 85% of the licenses issued and 
have the option to surrender voluntarily unused amounts, whic h 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/d airy-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. Licenses ar e 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 Regul ation are met;  
- Designated licenses are issued annually for certain 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 throug h 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/19  
 
- 11 - 
 
  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 a pplicants.  
 
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 imp orts 
entered in a previous 12 -month period (1 September -31 August), and, for manufacturers, the 
specified level of dairy production in a previous 12 -month period. In addition, manufacturers must 
be listed in USDA's "Dairy Plants Surveyed". The required doc umentation providing proof of 
importation must be submitted with 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 operates 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 doc uments 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 will 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 u nused license shares following an announcement by the 
Licensing 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 betwee n 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 licens e. 
 G/LIC/N/3/USA/19  
 
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  Other procedural requirements  
18. All food imports are subject to the requirements of the Food, Drug and Cosmetic Act and the 
Fair Packaging and Labelling Act, including sanitation and labelling requirements, and milk products 
are subject as well to the Federal Import Milk Act. These requirements are administered by the Food 
and Drug Administration (FDA). The importation of certain dairy products is regulated by both FDA 
and the Animal and Plant Health Inspection Service (APHIS). Importers should cont act FDA in regard 
to FDA requirements and APHIS in regard to APHIS 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 Decemb er 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 action.  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 rule 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 extende d until 21 March  2017, similarly following 
publication of a preliminary (77 FR 67593) and final rule (78  FR 11090) (G/LIC/N/1/USA/6/Add.2 
and G/LIC/N/1/USA/6/Add.2/Corr.1). On 5 January 2017, the authority was extended until 
21 March  2022, following public ation of a preliminary (81 FR 70650) and final rule (82 FR 1183) 
(G/LIC/N/3/USA/13, 8 November 2016). No other changes were made. 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 melte d and poured (the country of 
melt and pour); and codifying eligibility for use of the low -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 were official U.S. harmonized 
tariff system code changes in January 2006, January 2007, February 2007, July 2007, January 2008, 
July 2008, January 2009, July 2009, January 2010, July 2010, January 2011, July 2011; January 
and July 2012; January and July 2013; January 2014; 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 imp orts 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 available 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/19  
 
- 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 t he 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 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 use rs 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) numbe r, 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 goods brought 
into the U.S. for consumption.  
 
12. There is no licensing fee.  
 
13. There is n o 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 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.  G/LIC/N/3/USA/19  
 
- 14 - 
 
  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 Ma rch 2021, 
the regulations were stayed until 28 June (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 pursuant to  Commerce's authority under  the Census Act, as amended 
(the Census Act) ( 13 U.S.C. 301 (a) and 302), Commerce establ ished 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 aluminum 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 H TS 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 
Analysis System  (https://www.federalregister.gov/documents/2020/09/11/2020 -19753/steel -
import -monitoring -and-analysis -system ). 
 
Procedures  
6. Not applicable.  
 
7.(a)  Aluminum import licenses may be applied for up to 60 days prior to the expected date of 
importation a nd 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 electro nically given to the filer 
immediately upon completing the license information.  
 
(c) No. 
 
(d) No. 
 
8. Applicants are not refused aluminum license numbers.  
 
Eligibility of importers to apply for License  
9.(a)  Not applicable.  
 
(b) No. Only registered users a re permitted to file aluminum licenses.  
 G/LIC/N/3/USA/19  
 
- 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 r egistration 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 aluminum license number is required as part of the CBP Entry Summary for goods 
brought into t he 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. Aluminum import licenses may be applied for up to 60 days prior to the expe cted 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 interest. 
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 Innovation pursuant to Delegation Order No. S1-DEL-S4-2022-2 
(13 June 2022). 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-FE1-2022, issued on 13 June 2022.  
 
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 amendment, imports G/LIC/N/3/USA/19  
 
- 16 - 
 
  of natur al 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 f or 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 wheth er 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. Rather, 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 (includin g LNG), the Secretary of 
Energy has delegated authority to the Federal Energy Regulatory Commission (FERC) (Delegation 
Order No. S1 -DEL-FERC-2006 (16 May 2006)) to approve or disapprove the construction and 
operation of particular facilities, the site at w hich 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 imports.  
 
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) Licensing 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 f or 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/19  
 
- 17 - 
 
  Documentation and other requirements for applic ation 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 document incorporating basic information about the 
proposed import arrangement, and exhib its 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 process 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 agreement countries) 
and LNG imports from other countries must be granted by DOE "withou t 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 from nations with which the United States 
does not have a free trade agreement requ iring national treatment for trade in natural gas, DOE 
must determine whether the import proposal is "in the public interest". Those applications are 
subject to the administrative procedures specified in 10 C.F.R. Part 590.  
 
11. DOE's application procedure s are described at the following website:  
https://www.energy.gov/fecm/how -obtain -authorization -import -andor -export -natural -gas-and-lng 
 
12. A filing fee of US$50.00 is charged for each applic ation.  
 
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. There is no penalty for non -utilization of an order to import natural gas.  
 
16. Authorizations to import natural gas are not transferable between importers 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 transactio ns 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 25 August 1980, the Fish and Wildlife Service (the Service) published final rules revisi ng 
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 were made in 1985, 1987, 
1992, 1994, 1996, 1998, 1999, 2002, 2004, 2007, 2008, 200 9, 2012 and 2019 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 exporter of fish or 
wildlife unless that person impor ts or exports certain excepted wildlife or falls within one of the G/LIC/N/3/USA/19  
 
- 18 - 
 
  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 
Interior.  
 
The license requirements are found at 50 C FR 14.91 -93. Presently, applicants must comply with the 
following, in addition to the general permit requirements found in 50 CFR part 13, all applicable 
requirements of 50 CFR part 14 and subchapter B of chapter 1 of Title 50, and any specific conditions 
or authorizations described on the face of, or on an annex to, the import/export license:  
 
(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 , prior to the inspection;  
(3) at the importer's or exporter's request, pay fees for actual costs of inspections conducted at 
special times or locations;  
(4) keep certain records and retain them for five years;  
(5) allow Service inspection of records and i nventories 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 contain 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, if enrolled in the Service Low Risk Fee 
Exemption Program.  
 
Exceptions to the license requirement are found at 50 CFR 14.92. Certain persons exempted from 
the license requirement by 50 CFR 14.92(b) must still comply with the requirements of section  9(d) 
of the 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 cov erage of licensing  
2. The licensing system covers all "wildlife" regulated by the Service, 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 al ive 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 off spring thereof.  
 
3. The licensing system applies to any person who "engages in business as an importer or exporter 
of wildlife".  
 
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 non -commer cial research or educational purposes; 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 a re to: comply with the Endangered Species Act, identify commercial 
importers and exporters of wildlife, require records which fully and correctly disclose each G/LIC/N/3/USA/19  
 
- 19 - 
 
  importation or exportation of wildlife and the subsequent disposition of the wildlife by the imp orter 
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 and  commercial wildlife importers and exporters, and 
assist the Service in its effort to conserve endangered and threatened species and identify species 
which may be threatened or endangered.  
 
5. Section 9(d) of the Endangered Species Act of 1973 [16 U.S.C. 1538(d)] makes it unlawful "for 
any person to engage in business as an importer or exporter of fish or wildlife...without first having 
obtained permission from the Secretary [of the Interior]". By regulation the term "permission" was 
treated as a gr ant 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 bu siness 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 online on the eLicense (electronic 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 applicat ion which must 
be issued prior to an importation or exportation. 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 
(50 CFR 14.31 -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 Serv ice law enforcement regional permit 
offices (permitsWestLE@fws.gov  and permitsEastLE@fws.gov ). 
 
8. Applications must meet the provisions of 50 CFR 13.11 and 13.12. Un der 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 a ssessment or conviction evidences a lack of responsibility;  
(2) the applicant has failed to disclose material information required, or has made false 
statements as to any material fact, in connection with his application;  
(3) the applicant has failed to de monstrate a valid justification for the permit and a showing of 
responsibility;  
(4) the authorization requested potentially threatens a wildlife or plant population; or  
(5) the Director finds through further inquiry or investigation, or otherwise, that the applicant is 
not qualified.  
 
An applicant must be notified in writing if the application is denied and given reasons for the denial. 
If authorized in the notice of denial, the applicant may submit further information or reasons why 
the license should be granted. Upon appeal, the final action by the Regional Director or Director 
constitutes the final administrative decision of the Department of the Interior.  
 G/LIC/N/3/USA/19  
 
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  Eligibility of importers to apply for License  
9. All persons, firms, and institu tions under the jurisdiction of the United States  are eligible to apply 
for a license (unless they have failed to meet issuance criteria as established in 50 CFR part 13). 
The Privacy Act prohibits published lists of importers or exporters.  
 
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 foreign 
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, fir m, partnership, institution, or agency, either private or 
public, the name and address of the president, all partners and principal officers, the tax 
identification number, and a brief description of the business, agency, Tribe, or institution;  
(4) certifi cation in the following language:  
"I hereby certify that I have read and am familiar with the regulations contained in Title 50, 
Part 13, of the Code of Federal Regulations and the other applicable parts in Sub -chapter B of 
Chapter I of Title 50, and I fur ther certify that the information submitted in this application 
for a permit is complete and accurate to the best of my knowledge and belief. I understand 
that any false statement herein may subject me to the suspension or revocation of this permit 
and to the criminal penalties of 18 U.S.C. 1001";  
(5) date;  
(6) signature of the applicant;  
(7) a statement of where books or records concerning wildlife imports or exports will be kept, 
including contact information;  
(8) a statement of where inventories of wildl ife 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 agent located in the Unite d 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 does not supersede, any ot her 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 license and a request f or 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 b e amended with restrictions on the wildlife trade that may be conducted, 
including species, number of specimens, and intended uses, in cases where the applicant has 
previously violated wildlife trade regulations or otherwise fails to meet the criteria for 
applicants described in 50 CFR § 13.21.  
 G/LIC/N/3/USA/19  
 
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  (b) In addition to the general conditions found in 50 CFR Part 13, under 50 CFR 14.93(b) licensees 
are subject to the following special conditions:  
 
(i) the licensee shall, from the effective date of the license, ke ep such records as completely 
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 f orm of the wildlife, such as "live", 
"raw hides", or "fur garments"; the quantity of wildlife, in numbers, weight, or other 
appropriate measure; the common and scientific names; the country or place of origin 
of the wildlife, if known; the date and place o f import or export; the date of the 
subsequent disposition of the wildlife; the manner of disposition, whether by sale, 
barter, consignment, loan, delivery, destruction, or other means; and the name and 
address of the person who received the wildlife pursu ant 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 book s 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 li censee'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 c ontaining 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, 
exportation, or transportation of wildlife generally. Further, a licensee importing or exporting a 
particular species may have to comply with other requirements found in 50 CFR Parts  10-23 and 
other State or Federal laws, including permitting requirements under federal st atutes 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 Ex plosives (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 (N FA, at 26 U.S.C. Chapter 53). Under the GCA, the United States maintains a system 
of licenses for persons engaged in the business of manufacturing, importing, or dealing in firearms, 
and for persons engaged in the business of manufacturing or importing amm unition. 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 tax for persons e ngaged 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.  
 G/LIC/N/3/USA/19  
 
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  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 receiver 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). 
The term "firearm" does no t 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" is based 
on the definition of "machinegun" in the NFA which provides, in part, that a machinegun is any 
weapon which shoots, is designed to shoot, or can be readily restored to shoot, automatically more 
than one shot, without manual reloading, by a single function of the trigger (refer to 26 U.S.C. § 
5845(b) for the complete definition of "machinegun"). The NFA also provides definitions for other 
relevant product terms such as "any other weapon." A complete list of relevant definitions can be 
found in the GCA in 18 U.S.C. § 921 and in the NFA in 26 U.S.C. § 5845.  
 
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 a lso 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 imports for 
scientific or rese arch purposes, imports of firearms that are generally recognized as particularly 
suitable for or readily adaptable to sporting purposes, excluding surplus military firearms, and other 
exceptions. In addition, Federal, State, and local governments in the Un ited 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 file 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 h earing, 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 importers to apply for Li cense  
9. All persons, firms, and institutions are eligible to apply for licenses.  G/LIC/N/3/USA/19  
 
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Documentation and other requirements for application for License  
10. Applications: The ATF Form 7 is the application for a Federal firearms license. The ATF Forms  6 
and 6A a re 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).  
 
11. Proof to United St ates 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 Firearms, Ammunition and D efense 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 armour  piercing 
ammunition. US$3,000.00 ($1 ,000 p er year) for importers of destructive devices, ammunition for 
destructive devices, or armor piercing ammunition. These licenses are renewed every three years. 
Special occupational tax fees apply for NFA firearms. See also AECA registration fees (discussed in 
the below section, V(A)2).  
 
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 approved for import is brought in, w hichever 
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 pursuant 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 
maintains a similar system of cont rols 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 authorized 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 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. 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.  G/LIC/N/3/USA/19  
 
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  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). Licens ing is statutorily mandated and cannot be abolished without 
legislative action.  
 
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 permanentl y 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 
Defense Articles.  
 
(b) No. A licen se 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 advised 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 i mporters 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 Fir earms, 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 yea rs:  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 is brought in, whichever comes first.  
 
15.-17. No.  
 G/LIC/N/3/USA/19  
 
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  Other procedural requirements  
18. No.  
 
19. Not applicable.  
 
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 ex plosives, 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 materials. 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 administrative di scretion.  
 
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 appro ving 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 a nd 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, administrative 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 eli gible 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.  G/LIC/N/3/USA/19  
 
- 26 - 
 
  11. Proof to United States Customs and Border Protection of licensed or permitte d status furnished 
by importer or his agent. Explosives must be classified and marked per United States Department 
of Transportation standards.  
 
12. Yes. 
 
- US$200.00 per license for three years; and US$100.00 for renewal for three years;  
- US$100.00 per U ser-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 six 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 valid 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 
importat ion of controlled substances and listed chemicals to that quantity necessary to meet the 
medical, scientific, or other legitimate needs of the United States, and to monitor the handlers of 
such substances. The system also establishes a method by which the United States can meet its 
international treaty obligations under the 1961 UN Single Convention on Narcotic Drugs, the 1971 
UN Convention on Psychotropic 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 collecting data and preparing standard yea rly 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 List I chemical or drug product co ntaining 
ephedrine, pseudoephedrine, or phenylpropanolamine, the importer must apply to the DEA for 
registration as an importer. The registration application must be approved by the DEA and is issued 
annually. Upon registration approval and prior to each i mportation,  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 d esignated by regulation in 
Title 21, Code of Federal Regulations, Section 1312.30 or any non -narcotic controlled G/LIC/N/3/USA/19  
 
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  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 
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 that meets or exceeds the threshold quantities set by regulation or is a 
listed chemical for which no threshold has been established. Substances defined as listed 
chemicals under the authority of the 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 fo r 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 necessar y to provide for the medical, scientific, or other 
legitimate needs of the United States (a) during an emergency in which domestic supplies are 
found by the Attorney General to be inadequate; (b) in any case in which the Attorney General 
finds that competi tion 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 finds that such controlled substance is in limited quantities exclusively fo r 
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 Fe deral Regulations, Section  1312.13 
poses additional limitations on the imports of narcotic raw materials. In effect, the importation of 
approved narcotic raw materials (opium, poppy straw and concentrate of poppy straw) into the 
United States shall have as  its source:  
 
(a) Turkey,  
(b) India,  
(c)  Spain,  
(d) France,  
(e) Poland,  
(f) Hungary, and  
(g) Australia.  
 
and, at least 80% of the narcotic raw material imported into the United States shall have as its 
source Turkey and India. Except under conditions of i nsufficient 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 sub stances 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 St ates 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 Psychotropic 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 need for the listed chemicals ephedrine, 
pseudoephedrine, and phenylpropanolamin e and a quota system to provide for those legitimate 
needs. Further, the CMEA amended Title 21, United States Code, Section 952 by adding the three 
listed chemicals (ephedrine, pseudoephedrine, and phenylpropanolamine) to existing language 
concerning impor tation of controlled substances. The 2007 assessment of annual needs for 
ephedrine, pseudoephedrine, and phenylpropanolamine set upper limits on the quantity of these 
listed chemicals and products containing these chemicals that can be produced in or impor ted to the G/LIC/N/3/USA/19  
 
- 28 - 
 
  United States. The assessment was published as a Final Notice in the Federal Register in September 
2007. Also pursuant to the CMEA, import and production quotas were established in July 2007 which 
set in place a process for licensed firms to obt ain individual quota amounts.  
 
The system of registration of importers and the system of quotas (for Schedule I and II drugs) are 
statutory requirements established in the Comprehensive Drug Abuse Prevention and Control Act of 
1970, Part C (Sections 301, 3 02, 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 impor ters who have 
demonstrated the medical, scientific, or other legitimate need for the imported substance. 
Declarations and notices are submitted as advanced notification of import only for monitoring 
purposes by the DEA.  
 
IV. Not applicable; individual dete rminations 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 Authorization 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 substances in compliance with the international drug control 
treaties. I2ES eq uips Governments with a paperless system that supports the issuance and 
exchange of electronic import and export authorizations for controlled substances to expedite 
communication among Governments and reduce the dependency on postal services because 
impor t 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 non -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 wai ved administratively.  
 
(b)-(c) Not applicable.  
 
(d) Yes. The DEA.  G/LIC/N/3/USA/19  
 
- 29 - 
 
  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.  
 
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 registration with the DEA.  
 
Documentation and other requirements for applicati on 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 consignor; (b) foreign port and 
country of export; (c) United States po rt 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 c urrent 
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 the 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 G/LIC/N/3/USA/19  
 
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  Federal laws relating to spirits, wine, and malt beverages, includin g taxes. Retailers are not required 
to obtain basic permits under the FAA Act.  
  
Purposes and coverage of licensing  
2. Persons seeking to engage in the business of importing distilled spirits, wine, or malt beverages, 
as defined in the FAA Act, into the Un ited 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 of 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 requirements, 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 requiring 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 fort h the circumstances in which an application for a permit may be denied 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-title27/U SCODE -2011-title27 -chap8 -subchapI -
sec204/content -detail.html ). The reasons for any refusal are given to the applicant i n writing. In the 
event of refusal to issue a permit, administrative appeals may be made to the Administrator of TTB, 
and then to a Federal court.  
 
Eligibility of importers to apply for License  
9. Any person, firm, or institution may apply for a license. I ndividuals 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. TTB publishes a list of 
authorized importers at http://www.ttb.gov/foia/frl.shtml . 
 
Documentation and other requirements for application for License  
10. Refer to TTB Form 5100.24 ( http://www.t tb.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 app lies pursuant to 27 CFR 
27.140), and a Certificate of Label Approval (TTB Form 5100.31 
(http://www.ttb.gov/forms/f510031.pdf )). 
 
12. No.  
 G/LIC/N/3/USA/19  
 
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  13. No.  
 
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 procedural 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 Certific ate of Label Approval (TTB Form 5100.31 - 
http://www.ttb.gov/forms/f510031.pdf ) are required. Additionally, any entity in the United States 
(including importers) that sells distilled spirits, wine, or  beer to a dealer for resale must register as 
an alcohol dealer with TTB before commencing operations for the first time. (See 26 U.S.C. Chapter 
51 ( http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleE -
chap51/content -detail.h tml). 
 
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 permit s. 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 ap ply 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 use may be required. Alcohol or distilled 
spirits as defined in 26 U.S.C. 5002(a) ( http://www.gpo.gov/f dsys/granule/USCODE -2011-
title26/USCODE -2011-title26 -subtitleE -chap51 -subchapA -partI-subpartA -sec5002/content -
detail.html ) includes denatured spirits. Such alcohol may only be received 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 pre vent 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/granule/CFR -2002-title27 -vol1/CFR -2002-title27 -vol1-part19/content -
detail.html ). The licensing system was created by statute and may not be abolished without G/LIC/N/3/USA/19  
 
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  legislative action. The designation of products requiring a license is not subject to administrative 
discretion.  
  
Procedures  
6. Not applicable.  
 
7.(a) Registrations or operating permits under the Internal Revenue Code are usually issued 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 cir cumstances, 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 c ircumstances for denying an application for a permit are stated in 26 U.S.C. 5271 
(http://www.gpo.gov/fdsys/gr anule/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 refusal 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 citizens or legal 
residents of the United States; firms or institutions must be incorporated in the United States and 
have the ap propriate 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/f511074.pdf ), as appropriate, along with such supporting 
docume ntation 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.  
 G/LIC/N/3/USA/19  
 
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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/fdsys/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 (bonde d 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 engagi ng 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 to bacco 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 app ly for and obtain a permit from TTB before engaging in 
such businesses. Tobacco products are defined in the Internal Revenue Code as cigarettes, cigars, 
smokeless tobacco (that is, chewing tobacco or snuff), pipe tobacco, and roll your own tobacco. 
Manufac turers 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, bal ing, or packaging activities. Those who farm or grow tobacco or who 
handle tobacco solely for sale, shipment, or delivery to a manufacturer of tobacco products or 
processed 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 products 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 processed 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/content -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 th ese 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 r equirements for the permit.  
 G/LIC/N/3/USA/19  
 
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  8. There are no additional circumstances for denying an application for a permit other than what is 
stated in 26 U.S.C. 5712 ( http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-
title26 -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 impo rters 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 wi th 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 required.  
 
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 applicat ion 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 permi t denied if no activity has taken place or been reported 
under such permit for a period of one year immediately prior to the application for renewal. 
Permits may also be revoked for the reasons listed under 26 U.S.C. 5713.  
 
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 a pply 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.  
 G/LIC/N/3/USA/19  
 
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  The nuclear facilities 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 waste. 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 lic ense 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 transac tions 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 produ ction or utilization facilities (except major 
components of a utilization facility imported for end -use at a utilization facility licensed by NRC), 
100 kilograms or more per shipment of irradiated nuclear fuel, and any special nuclear, source or 
by-product  materials in the form of radioactive waste.  
 
On 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 Agenc y (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 lis ted in Appendix P under a general 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 
notific ation 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 20 April 2006, the NRC amended its regulations governing the import and export of nuclear 
equipmen t 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 naturall y occurring 
radioactive 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 pertain ing 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 i ncorporate by reference 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 (except major components of a utilization facility imported for 
end-use at a utilizati on facility licensed by NRC); special nuclear material; source material and by -
product material.  G/LIC/N/3/USA/19  
 
- 36 - 
 
  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 passin g through the United States.  
 
4. The purpose of adopting licensing requirements is not to restrict quantities or values of items 
imported; it is to protect public health and safety and the environment and maintain the common 
defense and security of the Uni ted States, by exercising prudent controls over the possession, use, 
distribution, and transport of such items.  
 
5. As mentioned 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 are subject to 
licensing controls with some 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; however, 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 must 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 ma ke 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, pos sess, deliver, use or transfer items imported. For certain specific 
import license applications, the NRC may decide to consult with and/or seek views 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 returned 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, licensees, and members of the public to appeal NRC actions are given in Subparts H, 
I, 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.  
 
Docume ntation and other requirements for application for License  
10. Information required in an application 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 sit e. 
NRC may request additional information, if necessary, to conduct the licensing review required by 
the applicable statutes.  G/LIC/N/3/USA/19  
 
- 37 - 
 
  11. For the materials listed in Appendix P to 10 CFR Part 110, licensees must submit import 
notifications at least seven days in a dvance of each shipment and include the information listed in 
10 CFR § 110.50(c). In addition, import forms customarily required by other U.S. government 
agencies are also necessary for all items imported under NRC requirements (e.g., Customs and 
Border Pr otection and Department of Commerce documents). There may also be other reporting and 
advance notification requirements for certain transfers of nuclear material that are established by 
domestic possession licenses, not import licenses.  
 
12. No fees are ch arged 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. Ther e 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 civi l 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 domesti c 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 purpose s, or advance notice of pending receipt and thus 
would not be included as special import license conditions. Such requirements normally apply to U.S. 
parties who transfer or receive specific types of materials and are not related to whether the 
shipment or iginates from a domestic or a foreign source.  
 
19. Not applicable.  
 
__________