G/LIC/N/3/USA/14  
 
22 January 2018  
(18-0547) Page: 1/36 
Committee on Import Licensing  Original: English  
 
 
 REPLIES TO QUESTIONN AIRE ON IMPORT LICEN SING PROCEDURES  
 
NOTIFICATION UNDER A RTICLE 7.3 OF THE AG REEMENT  
ON IMPORT LICENSING PROCEDURES (201 7) 
UNITED STATES 
The following communication, dated 18  January  2018, is being circulated at the request of the 
delegation of the United States.  
 
_______________  
 
  G/LIC/N/3/USA/14  
 
- 2 - 
 
  Table of contents  
 
 
1   DEPARTMENT OF AGRICULTURE  ................................ ................................ ..................  3 
1.1   Plants and plant products  ................................ ................................ .............................  3 
1.2  Animals and animal products  ................................ ................................ .........................  4 
1.3  Sugar  ................................ ................................ ................................ ..........................  6 
1.4  Certain dairy products  ................................ ................................ ................................ ... 9 
2   DEPARTMENT OF COMMER CE................................ ................................ .....................  12 
2.1   International Trade Administration  ................................ ................................ ................ 12 
2.1.1    Steel ................................ ................................ ................................ ...................... 12 
3   DEPARTMENT OF ENERGY  ................................ ................................ ..........................  14 
3.1   Natural gas  ................................ ................................ ................................ ................ 14 
4   DEPARTMENT OF INTERI OR ................................ ................................ ......................  16 
4.1   US Fish and Wildlife Service  ................................ ................................ ......................... 16 
4.1.1    Fish and wildlife (including endangered species)  ................................ .......................... 16 
5   DEPARTMENT OF JUSTIC E ................................ ................................ .........................  20 
5.1   Bureau of Alcohol, Tobacco, Firearms and Explosives  ................................ ...................... 20 
5.1.1    Firearms and ammunition  ................................ ................................ ......................... 20 
5.1.2    Firearms, ammunition and defense articles  ................................ ................................ .22 
5.1.3    Explosives ................................ ................................ ................................ ............... 23 
5.2   Drug Enforcement Administration  ................................ ................................ ................. 24 
5.2.1    Controlled substances and listed chemicals  ................................ ................................ .24 
6   DEPARTMENT OF TREASU RY ................................ ................................ ......................  28 
6.1   Alcohol and Tobacco Tax and Trade Bureau  ................................ ................................ ...28 
6.1.1    Distilled spirits (beverages); wine and malt beverages  ................................ ................. 28 
6.1.2    Distilled spirits or alcohol for industrial use (Including alcohol for fuel use)  ..................... 29 
6.1.3    Tobacco Products  ................................ ................................ ................................ .....31 
7   NUCLEAR REGULATORY C OMMISSION  ................................ ................................ ....... 33 
7.1   Nuclear facilities and materials  ................................ ................................ ..................... 33 
 G/LIC/N/3/USA/14  
 
- 3 - 
 
  1  DEPARTMENT OF AGRICU LTURE  
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 in troduction of pests and diseases.  Permits are also required for the import, 
export or re -export of terrestrial plants that are on the endangered species list.  Permits are only 
issued to a firm or individual resident in the United States.  
 
Purposes and coverage of licensing  
2. Permits are required for:  
 
- plants and plant products for or capable of propagation;  
- fruits and vegetables;  
- grains;  
- certain cut flowers (roses, gardenia, lilac, camellia, rhododendron and azalea);  
- cotton and cotton covers;  
- sugar cane bagasse;  
- broom corn and straw;  
- certain rice products;  
- bags, bagging, brassware;  
- logs, lumber, other manufactured wood products;  
- soil and quarry products;  
- plants and plant products in transit through the United States.  
 
3. The perm it system applies to products coming from all countries with exceptions.  
 
4. The permit system is to protect against the entry of plant pests and diseases, and to protect 
endangered plant species.  
 
5. The permit system for most products covered is a statutory requirement of Section 412 of the 
Plant Protection Act, 7 U.S.C. 7712.  The Endangered Species Act, which implements provisions of 
the Convention on International Trade in Endangered Specie s (CITES), establishes a permit 
system  for certain plants  on the endangered species list.  
 
Procedures  
6. Not applicable.  
 
7. Permit applications are effected by one office, U.S. Department of Agriculture, Permit Section, 
Unit 136, 4700 River Road, Riverdale, Maryland 20737.  Most applications are not passed on t o 
other offices for visas, note , or approval, and the importer does not have to approach more than 
one administrative organ.  The exception to this are the permit applications for soil and for plants 
required to be grown in post -entry quarantine.  
 
8. There  are no circumstances other than failure to meet standard criteria under which a permit 
may be refused.  Reasons for refusal are given to the applicant.  No appeal procedures are 
specified in the legislation.  
 
Eligibility of importers to apply for license  
9. Any individual, partnership, 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 maintain s 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 maintain s 
an address or business office in the United States with a designated individual for service of 
process, there is no registration fee.  There is no published list of authorized importers.  There is a 
US$ 70.00 fee for plants and plant products regulated by  CITES or ESA.  G/LIC/N/3/USA/14  
 
- 4 - 
 
  Documentation and other requirements for application for license  
10. The information required in applications is set forth in the PPQ Form 587 (for plants and plant 
products), 588 (application for prohibited material), and PPQ 621 for endang ered plants.  Plants 
and plant products in transit through the United States require a PPQ Form 586.  Applications to 
import soil are contained in PPQ Form 525.  
 
11. For all plants and some plant products, a phytosanitary certificate must accompany the 
shipment.  Endangered species have special documentation requirements.  
 
12. There is no licensing fee or administrative charge for permits other than the US$ 70.00 fee per 
permit for commercial trade in endangered plants.  
 
13. No deposit or advance payment is  required in connection with the issue of permits.  
 
Conditions of licensing  
14. Permits are valid for specified periods of time, and they can be extended by re -application.  
The permit for endangered or threatened plants is valid for two years.  
 
15. There is no penalty for non -utilization of a permit.  
 
16. Permits are not transferable between importers.  
 
17. There are no other conditions attached to the issuance of a permit other than for plants 
requiring post -entry growing.  
 
Other procedural requirements  
18. There are no other administrative procedures required prior to importation.  
 
19. Not applicable.  
 
1.2  Animals and animal products  
Outline of system  
1. Import permits are required for the importation of certain animals and animal products, 
organisms and  vectors, and veterinary biological products, to protect U.S. livestock and poultry 
against the introduction of diseases that do not exist in the United States.  
 
Purposes and coverage of licensing  
2. Permits are required for:  
 
-   domestic  farm livestock and other species that may carry diseases that could affect US 
livestock and poultry;  
-   certain animal (livestock) derived products for any reason, commercial or research uses;  
-   poultry and hatching eggs and other avian species;  
-   animal and avian specimens, tissues or blood products;  
-   materials that have been exposed to animal products capable of contamination with disease 
agents;  
-   samples of dairy products, hay, straw, grasses etc. for scientific uses from countries 
considered  to be affected with diseases such as foot -and-mouth disease (FMD);  
-   germplasm - semen and embryos (livestock);  
-   organisms that affect livestock and avian species and various vectors of such organisms;  
and 
-   veterinary biological products includin g seeds and substrates.  
 
3. The permit system applies to animals coming from all countries (except Canada and Mexico) 
with some variation resulting from the species and country of origin's disease status.  Permits for 
products apply to all countries depend ing on disease status and type of product.  G/LIC/N/3/USA/14  
 
- 5 - 
 
  4. The permit system is not used to restrict the quantity or value of imports, but only to protect 
domestic agriculture from the introduction or entry of animal diseases or disease vectors.  
 
5. The permit system is not a statutory requirement except for veterinary biological products 
permits.  The pertinent regulations are contained in Title 9 C.F.R., Parts 92, 94.7, 94.16, 95.4, 
95.18, 95.19, 95.20 through 98, 104 and 122; and in the following laws as codified:  21 U.S.C -102 
to 105, 111, 134, 135, 151 -159 and 19 U.S.C -1306.  
 
Procedures  
6. Not applicable . 
 
7. (a)  The amount of time in advance of importation within which a permit must be applied for is 
not specified in the regulations.  
 
(b) A permit cannot be granted immediately upon request.  Prior review of the application is 
required.  
 
(c) There are no limitations as to the period of the year during which permit applications may 
be made.  
 
(d) Permit applications are effected by one office.  The application i s not passed on to other 
offices for visa, note or approval, and the importer does not have to approach more than 
one administrative office.  
 
8. In general, there are no circumstances other than failure to meet ordinary criteria under which 
a permit may be  refused.  In the case of live animals or animal products, poultry, or birds, a 
permit for a particular time period  could be refused if space at a Quarantine Station is not 
available.  An outbreak of a particular disease in the exporting country could be a  cause to revoke 
a permit which was issued prior to the disease outbreak.  Reasons for refusal are given to the 
applicant.  No appeal procedures are specified in the legislation or regulations.  
 
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.  
 
Documentation and other requirements for application for license  
10. The information required in applications is set fort h in VS forms 16 -3 and 16 -7, 17 -129, 
17-128 and APHIS form 2005.  
 
11. In the case of live animals and birds, the original and copies of the import permits must 
accompany the shipment as well as a health certificate issued by the national veterinary service s 
of the country of origin.  Copies of the import permit should also accompany animal products and 
organism and vector shipments, and shipments of veterinary biological products.  
 
12. There are import -related user fees associated with permit application re view, 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 animals a nd birds.  The amount of 
the fee varies according  to the animal and the bird.  
 
Conditions of licensing  
14. Permits for animal products and organisms and vectors vary in length of their validity, but are 
generally for about one year. Permits for live animals and birds are valid for seven to 60 days, 
depending on the species. Permits for veterinary biological products for importation for distribution 
and sale do not have expiration dates.  
 G/LIC/N/3/USA/14  
 
- 6 - 
 
  15. There is no penalty for non -utilization of a permit.  Applic ation user fees and quarantine 
reservation fees are not refundable.  
 
16. Permits are not transferable between importers.  
 
17. There are no conditions attached to the issuance of a permit.  The applicant must comply with 
the terms of the permit .  The import er certifies that the information on the application is accurate.  
 
Other procedural requirements  
18. There are no other administrative procedures required prior to importation.  
 
19. Not applicable.  
 
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 sugars and syrups that may be 
entered at the lower tariff rates of tariff -rate quotas.  The tariff -rate quotas cover sugars and 
syrups described 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 result s 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, t he Secretary of Agriculture 
establishes the TRQ quantity that can be entered at the lower tier of import duty rates, and the 
United  States Trade Representative (USTR) currently allocates this quantity among countries 
based on a representative base period o f 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.  Regulations governing the 
Certificate of Quota Eligibility program are published in Title  15, Part 2011 of the Code of Federal 
Regulations.  
 
Purposes and coverage of licensing  
2. The products covered by the raw sugar TRQ are described in HTS 1701.13.10  and 1701.14.10, 
and the refined su gar TRQ in HTS 1701.12.10, 1701.91.10, 1701.99.10, 1702.90.10 , and 
2106.90.44.  Entry of any sugar allocated to specific countries and areas in the raw and refined 
sugar TRQs does not require a license, but does require a CQE.  A speciality sugar TRQ is al so 
established which requires a certificate.   
 
There is a licensing system to implement the U.S. sugar re -export program.  Licenses are issued to 
refiners allowing them to import raw sugars under HTS 1701.13.20, 1701.14.20 to be further 
processed and: (1)  re-exported in refined form, (2) re -exported in refined form in sugar -containing 
products, or (3) used for the production, other than by distillation, of polyhydric alcohol except 
that used as a substitute for sugar in human food.  
 
3. The CQE system appli es to those countries and areas from which sugar is imported under the 
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 the  production of 
polyhydric alcohol apply to imports from all countries.  
 
4. The purpose of the CQE is to provide exporters access to the U.S. domestic market at the 
low-tier tariff.  The purpose of the certificate for specialty sugar is to allow entry of ce rtain refined 
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.  
 G/LIC/N/3/USA/14  
 
- 7 - 
 
  5. The CQE's 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.  T he regulation may be found at:   
http://www.ecfr.gov/cgi -bin/text -
idx?SID=6455b5541198c6b98dfbde6641de588e&mc=true&node=pt7.10.1530&r gn=div5 . 
 
Authority exists to suspend each of these systems whenever it is determined that such action is 
appropriate.  Notice of such suspension shall be published in the Federal Register.  
 
Procedures  
6. I. The United States Trade Representative and the U nited States Department of Agriculture 
use the Federal Register, press releases, official reports, and government Internet web 
sites to provide information about the allocation of TRQ quantities, the issuance of CQE's, 
and the formalities for filing import  license applications.  
 
II. The sugar TRQ for raw and refined sugar (including specialty sugar) is determined annually 
by the Secretary of Agriculture and announced before the fiscal year for which the TRQ will 
be in effect.  CQE's are issued by the Secret ary of Agriculture to countries to coincide with 
the applicable TRQ year.  Certificates for importing specialty sugars are likewise issued to 
importers to coincide with the TRQ year.  Licenses issued to allow quota -exempt sugar to 
be imported, refined and re-exported or used in producing polyhydric alcohol are not 
subject to the TRQ year 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 des tined for the United States.  
Sugar is allowed entry into the United States at the low -tier tariff rate only if a valid and 
properly executed CQE is presented at time of entry to the appropriate customs official.  
 
 The United States Department of Agricultu re, Foreign Agricultural Service issues 
certificates for importing specialty sugar to importers, who annually apply and provide 
sufficient evidence that the sugar they intend to import fits the definition of specialty 
sugar.  The certificate is presented t o 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 sugar.  The licenses have no expiration date.  
 
IV.-VI. Not applicable.  
 
VII. The United States Department of Agriculture administers the licensing and certificate 
systems.  
 
VIII. The certifying authority designated by the participating country issues CQEs to the shipper 
or consignee of sugar.  The maximum quantity of sugar to be shipped with each CQE shall 
not exceed 10,000 short tonnes.  Specialty sugar certificates are issued to importers who 
satisfy the requirements of 15 CFR 2011, Sub -part B. The specialty sugar certificate may 
cover more than one type of refined specialty sugar.  Issuance of a s pecialty 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 enter until the TRQ is fully 
subscribed.  
 
IX.-X. Not applicable.  
 
XI Under the provisions of the Refined Sugar Re -Export Program licensed refiners may enter 
raw sugar unrestricted by the quantitative limit established for the raw sugar TRQ or the 
requirements of CQEs, as long as they export an equivalent quantity of refined sugar or 
transfer th e 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 G/LIC/N/3/USA/14  
 
- 8 - 
 
  issued licenses is published on the FAS Web 
site: http://apps.fas.usda.gov/sugars/FASSugarsLic ensees.aspx . 
 
Eligibility of importers to apply for license  
9. All importers are eligible to apply for certificates for specialty sugars.  There is a list of currently 
authorized specialty sugar importers at: http://www.fas.usda.gov/programs/sugar -import -
program/applying -specialty -sugar -certificate .  Only United  States refiners can apply for licenses to 
import quota -exempt sugar.  
 
Documentation and ot her requirements for application for license  
10. Each CQE must be numbered and identified by the foreign 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 loadi ng.  The following information may also be included (if known):  the name and 
address of consignee; expected date of departure; expected date of arrival in the United  States; 
and expected port(s) of arrival in the United States.  
 
Applications for certifica tes to import specialty sugar(s) must be in writing and must provide the 
following information: (1) name and address of applicant; (2) anticipated quantity of imports;  
(3) the appropriate six -digit HTS number; (4) a description of the specialty sugar(s) e xpected 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 agreement with the Licensing Authority.  
  
11. TRQ sugar entered from countries that participate in the certificate system must be 
accompanied by a CQE that has been signed by the certifying authority in the country of origin and 
affixed with a seal or form of authentication.  
 
A certificate issued by the Department  of Agriculture authorizing importation of specialty sugar(s) 
must be presented to the appropriate customs official at the time of entry.  
 
FAS enters the licenses issued by the Department of Agriculture for entry of sugar exempt from 
quota for re -export in refined form or for the production of polyhydric alcohol into the U.S. 
Customs and Border Protecti on 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 productio n 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 corresponding sugar in an 
amount sufficient to offset the charge  to the license for that corresponding sugar, payment shall 
be made to the U.S. Treasury.  The payment shall be equal to the difference between the Number 
11 contract price and the Number 14 contract price (New York Coffee, Sugar and Cocoa Exchange) 
in effect on the last market day before the date of entry of the sugar or the last market day before 
the end of the period during which export or use was required, whichever difference is greater.   
The difference shall be multiplied by the quantity of refined s ugar, converted to raw value that 
should have been exported in compliance with this part.   
 G/LIC/N/3/USA/14  
 
- 9 - 
 
  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 vali d 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 transferable between importers.  
 
17. There are no other conditions att ached to issuing certificates.  
 
Other procedural requirements  
18. No other procedures are required.  
 
19. Not applicable.  
 
1.4  Certain dairy products  
Outline of system  
1. Presidential Proclamation 6763 of December 23, 1994, modified the Harmonized Tariff Schedule 
of the United States (HTS) in various ways that affected the import system for certain dairy 
products.  The Proclamation terminated quantitative restrictions that had been imposed pursuant 
to section 22 of the Agric ultural Adjustment Act of 1933, as amended (7 U.S.C. 624); proclaimed 
tariff-rate quotas (TRQs) for such articles pursuant to P.L. 103 -465 (the Uruguay Round 
Agreements Act); and specified which imports of dairy articles may require import licenses issued 
in accordance with the terms and conditions in regulations issued by the Secretary of Agriculture.  
 
Purposes and coverage of licensing  
2. The licensing system covers the following dairy commodities as defined in the Additional U.S. 
notes to Chapter 4 of the HTS:  butter and fresh or sour cream containing over 45 per cent by 
weight of butterfat (note 6); dried skim milk (note 7); dried whole milk (note 8); dried buttermilk 
and whey (note  12); butter substitutes (note 14); other cheese, NSPF (note 16); blue -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 Uruguay Round Agreement.  Under 
the TRQ system, the in -quota quantity of imports enters at the low -tier tariff rate, and the 
over-quota quantity enter s at the high -tier tariff rate.  Dairy articles subject to licensing cannot 
enter at the in -quota rate unless such imports are accompanied by a license.  An article may be 
entered only in the name of the licensee, or the licensee's agent acting in the lice nsee's name 
under the power of attorney, and the quantity entered must be owned by the licensee on the date 
of entry, and must be charged against the license in effect.  The licensing system was originally 
implemented as a requirement of Presidential Procl amation 3019 for the purpose of providing for 
an equitable distribution of trade in dairy products covered by Section 22 quotas among importers, 
users, and supplying countries.  Under a TRQ system, licensing serves the same trade -stabilizing 
and equity pur poses.  
 
5. The licensing system is not a statutory requirement.  The authority to make such allocations 
was delegated to the Secretary of Agriculture by Presidential Proclamation 3019 of June 8, 1953.  
 G/LIC/N/3/USA/14  
 
- 10 - 
 
  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 licenses are in the regulation.  
An Advanced Notice of Proposed Rule -making was published in the Federal Register on 
June 2, 1994, seeking  comments on methods for allocating Uruguay Round TRQs through 
the year 2000, and comments on updating or improving the existing regulation.  On 
January 6, 1995, and May 2, 1995, notices were published in the Federal Register 
amending the Import Regulation  to implement those U.S. Uruguay Round commitments for 
1995.  The Department published the final rule on dairy tariff -rate quota licensing in the 
Federal Register on October 9, 1996.  The regulation was modified on October 6, 2004, to 
accommodate electroni c web -based application procedures .   On  July 27, 2015, a revision 
to the regulation was published in the Federal Registe r Vol. 80, No. 143, 
pages  44251 -44258, published after extensive public comment.   
 
II. License applications must be submitted annuall y during the application period specified in 
the Import Regulation.  Licenses are  generally  issued during the last two weeks of 
December.  Licenses are valid beginning in January  1 of each year and are valid for 
12 months.   
 
III. Licenses are allocated to  importers of dairy products regardless of whether they are 
producers of like products.  Unused allocations may not be added to the allocation of the 
succeeding year.  The Import Regulation requires that licensees must utilize 85% of the 
licenses issued an d have the option to surrender voluntarily unused amounts , which are 
then reallocated, the same year, to other eligible licensees through an application process.  
A list of names of licensed importers is published on the FAS website each year.  The list 
can be found on the internet at : http://www.fas.usda.gov/programs/dairy -import -
licensing -program . 
 
IV. Applications are processed to determine if the eligibility criteria in the Import Regulations 
are met.  In general, over 500 applications are reviewed, and the application process is 
completed within six weeks.  
 
V. Licenses are issued for use beginning 1 J anuary and generally issued in the last two weeks 
of December.  
 
VI. Only the  Import Policies and Export Reporting Division, Office of Trade Programs, Foreign  
Agricultural Service, United States Department of Agriculture, considers license 
applications on d airy products.  
 
VII. Licenses are issued to:  
 
- Historical licensees are issued each year for the same volume of imports from the same 
supplying countries provided applications are submitted, and the eligibility criteria, license 
use provisions, and other requirements of the Import Regulation are met;  
 
- Designated licenses are issued annually for certain cheese articles to eligible applicants 
who are designated by the government of the country of origin as preferred importers;  
 
- Non-historical (lottery) l icenses are issued annually through a random lottery system.  
Licenses received for a specific cheese or non -cheese dairy product are not renewable in 
the following year.  Eligible applicants may apply annually for a license.  
 
VIII. Export permits from for eign countries are not required.  
 
IX. Same as above.  
 
X. Not applicable.  
 
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.  G/LIC/N/3/USA/14  
 
- 11 - 
 
  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 deadlin e period.  Reasons for refusal to accept an 
application may be given to applicants upon request.  There are no rights of appeal.  Failure to 
receive a license by one applicant does not reduce access to the TRQ amounts, since those 
amounts will be allocated  to other applicants.  
 
Eligibility of importers to apply for license  
9. Importers or manufacturers of dairy products are eligible to apply for import licenses if they 
meet the performance criteria set forth in the Import Regulation with respect to the quan tity of 
imports entered in a previous 12 -month period (1 September -31 August), and , for manufacturers, 
the specified level of dairy production in a previous 12 -month period.  In addition, manufacturers 
must be listed in USDA's "Dairy Plants Surveyed".  The  required documentation providing proof of 
importation must be submitted with application forms.  Importer  license eligibility is established 
primarily on the basis of proof of importation of the item  during a specified representative period.  
Applicants c an 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 Q uota 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 el ectronic 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 i mport entry, a license number must be presented along 
with the other information required for U.S. Customs import entry.  The Licensing Authority may 
request copies of documents such as the through bill of lading and the invoice.  
 
12.-13. A fee is charged for or associated with the issuance of licenses.  For 201 8, a fee of 
US$300.00 is charged.  
 
14. Licenses are valid from January 1 through December  31.  License validity cannot be extended 
into the next quota year.   
 
15. Licensees who anticipate not meetin g the 85 percent utilization requirement may voluntarily 
surrender unused amounts by October  1; otherwise that license will be cancelled the following 
year.  For historical licenses, less than 85 percent 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 unused license shares following an 
announcement by the Licensing Authority.  Such licenses are is sued 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 s urrenders of unused quantities have been suspended until 2022.   See 
Federal Register Vol. 80, No. 143, pages 44251 -44258.  
 
16. Licenses are not transferable between importers.  However, USDA may transfer a license, in 
the event that the company holding su ch license is sold or conveyed to another company, under 
conditions provided for in the regulation.  
 
17. No other conditions are attached to the issuance of a license.  
 
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 G/LIC/N/3/USA/14  
 
- 12 - 
 
  by both FDA and the Animal and Plant Health Inspection Service (APHIS).  Importers should 
contact FDA in regard to FDA requirem ents and APHIS in regard to APHIS requirements.  
 
19. Not applicable.  
 
2  DEPARTMENT OF COMMER CE 
2.1  International Trade Administration  
2.1.1   Steel  
Outline of Systems  
1. The original U .S. steel licensing program was established on December 31, 2002, as part of the 
section 201 safeguard action on certain steel products.  On March 11, 2005, the Department of 
Commerce issued an interim final rule continuing the 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 December 5, 2005, the Department published a final rule that made final an 
interim final rule th at expanded and extended the Steel Import Monitoring and Analysis (SIMA) 
system until March 21, 2009.  Although there were no changes from the interim final rule, this 
document provides details about the current SIMA system as detailed in the final rule.  On March 
18, 2009, following publication of a preliminary rule (73 FR 75624) and final rule (74 FR 11474), 
the authority to continue the licensing system was extended until March  21, 2013.  No other 
changes were made.  On February 15, 2013, the authority w as extended until March 21, 2017, 
similarly following publication of a preliminary (77 FR 67593) and final rule (78 FR 11090) 
(G/LIC/N/1/USA/6/Add.2 and G/LIC/N/1/USA/6/Add.2/Corr.1).   No other changes were made.  On 
January 5 , 2017, the authority was exte nded until March 21 , 2022, following publication of a 
preliminary (81 FR 70650) and final rule (82 FR 1183) (G/LIC/N/3/USA/13, 8 November 2016).  
No other changes were made.  
 
Purposes and Coverage of Licensing  
2. The steel import licensing program covers a ll 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 b y HTS number; the full list is available on 
http://enforcement.trade.gov/steel/license/index.html  (Please note there were official U.S. 
harmonized tariff system code changes in January 2 006, January 2007, February 2007, July  2007, 
January 2008, July 2008, January 2009, July 2009, January 2010, July  2010, January 2011, 
July 2011; January and July 2012; January and July 2013; January 2014; and January 2017).  
 
3. The steel licensing system a pplies to goods originating in and coming from all countries.  
 
4. This licensing is not intended to restrict the quantity or value of imports.  It is designed to 
provide fast and reliable statistical information on steel imports to both the government and the 
public.  
 
5. The final rule extending the system until March 21, 2022, was published on January 5, 2017, in 
the Federal Register (82 FR 1183).  A copy is also available on the steel licensing website,  
http://enforcement.trade.gov/steel/license/index.html .  
 
Procedures  
6. Not applicable.  
 
7. (a) Steel import licenses may be applied for up to 60 days prior to the expected date of 
importat ion and until the date of filing of the entry summary documents, or in the case of 
FTZ entries, the filing of Customs and Border Protection (CBP) Form 214.  The license is 
valid for 75 days.  
 G/LIC/N/3/USA/14  
 
- 13 - 
 
  (b) Yes.  The license number is electronically generated, and el ectronically 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 Licence  
9. (a) Not applicable.  
 
(b) No.  Only registered us ers are permitted to file steel licenses.  
 
 The registration form is available on the steel import licensing website: 
http://enforcement.trade.gov/steel/license/index.html .  The registrant fills in the 
requested demographic 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.  Infor mation of registered users is kept confidential.  
 
Documentation and Other Requirements for Application for Licence  
10. The license filer submits demographic information from the registration, and entry specific 
information detailing 10 -digit Harmonized Ta riff Schedule (HTS) number, volume in kilograms , and 
value in U.S. dollars for each product imported.  
 
11. The 9 -digit steel license number is required as part of the CBP Entry Summary for goods 
brought into the U.S. for consumption.   
 
12. There is no lic ensing fee.  
 
13. There is no deposit or advance payment requirement associated with the issue of licenses.  
 
Conditions of Licensing  
14. Steel import licenses may be applied for up to 60 days prior to the expected date of 
importation and until the date of f iling of the entry summary documents, or in the case of FTZ 
entries, the filing of CBP Form 214.  The license is valid for 75  days, but may be used only once.  
 
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/14  
 
- 14 - 
 
  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 f irst 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.  Authorit y 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 pursuant to Delegation Order No. 00 -002.00N (July  11, 
2013).  This authority has been further re -delegated from the Under Secretary to the Assistant 
Secretary for Fossil Energy under Re -delegation Order No. 00 -002.04F (July 11, 2013).  
 
On October 24, 1992, the Energy Policy Act of 1992 (EPACT 92) was ena cted.  Section 201 of 
EPACT 92 amends Section 3 of the NGA by in effect eliminating the Department of Energy's (DOE) 
need to make a public interest finding for natural gas imports from "a nation with which there is in 
effect a free trade agreement requirin g national treatment for trade in natural gas", and for 
imports of liquefied natural gas (LNG).  Pursuant to the amendment, imports of natural gas (and 
LNG) from countries with which the United States has a free trade agreement calling for national 
treatme nt for trade in natural gas, and LNG imports from other countries, are "deemed to be 
consistent with the public interest, and applications for such importation shall be granted without 
modification or delay".  
 
Currently, virtually all natural gas import ap plications filed with DOE are reviewed under EPACT 92 
standards.  DOE is not required to evaluate these applications to determine whether they are "in 
the public interest".  In these cases, the agency does not solicit public comments, or conduct a 
review o f 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 proc ess than cases that do not 
fall under EPACT.  
 
In addition, with respect to the import or export of natural gas (including LNG), the Secretary of 
Energy has delegated authority to the Federal Energy Regulatory Commission (FERC) (Delegation 
Order No. 00 -004.00A (May 16, 2006)) to approve or disapprove t he construction and operation of 
particular facilities, the site at which such facilities shall be located, and, with respect to natural 
gas that involves the construction of new domestic facilities, the place of entry.  
 
Purposes and coverage of licensing  
2.  The products covered are natural gas, including liquefied natural gas (LNG), and compressed 
natural gas (CNG).  
 
3.  The system applies to goods originating from any country.  
 
4.  The licensing is not intended to restrict the quantity or value of natura l 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 EPACT 92 standards.  
 G/LIC/N/3/USA/14  
 
- 15 - 
 
  (b) An authorization to import natural gas can be granted as soon as an applicant has filed a 
legally sufficient application, and as soon as that application is reviewed and processed.  
(c) There are no limitations as to the period of the year during which an application for 
authorization to import natural gas may be made.  
 
(d) Licensing  applications are considered by a single administrative organ, the Office of Fossil 
Energy, U.S. Department of Energy, the Forrestal Building, 1000 Independence Avenue, 
S.W., Washington D.C. 20585.  
 
8.  There are no circumstances under which an import auth orization 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, firm s, and institutions are eligible to apply for authorization to import natural gas.  
Traditionally, entities applying for such authorizations have been natural gas pipeline companies, 
natural gas producers, natural gas marketers, and utility companies.  
 
Documentation and other requirements for application for license  
10.  Import authorization proceedings are initiated by the filing of an application.  The application 
is not a standard form , but rather an individual document incorporating basic information ab out 
the proposed import arrangement, and exhibits required by the rules covering such applications 
set forth in DOE regulation (10 C.F.R. Part 590).  EPACT 92 has 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 "without modification or delay".  As 
a result, DOE's action of issuing such import authorizations is ministerial in nature.  
 
For applications involving gas (other than LNG) imports from nations with which the United States 
does not have a free trade agreement requiring national treatment for trade in natural gas, DOE 
must determine whether the import proposal is "in the public interest".  Those applications are 
subject to the administrative procedures specified in 10 C.F.R. Part 590.  
 
11.  DOE’s application procedures are described at the following website: 
http://energy.gov/fe/services/natural -gas-regulation/how -obtain -authorization -import -andor -
export -natural -gas-and-lng. 
 
12.  A filing fee of US$ 50.00 is charged for each application.  
 
13.  There is no deposit or advance payment requirement associated with the issuance of an order 
to import natural gas . 
 
Conditions of licensing  
14.  The duration of a natural gas import authorization usually is specified in the Opinion and 
Order issued by DOE, and depends upon the particular circumstances of the import arrangement.  
An import authorization can be extende d 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 authoriza tion to import natural gas from free trade 
agreement countries or authorizations to import LNG from any country.   
 G/LIC/N/3/USA/14  
 
- 16 - 
 
  Other procedural requirements  
18.  Each import authorization order requires natural gas importers to report sales information 
monthly to DOE.  Information reported includes volume, price, names of sellers and buyers, and 
other details of the import transactions.  
 
19.  Not applicable.  
 
4  DEPARTMENT OF INTERI OR 
4.1  US Fish and Wildlife  Service  
4.1.1   Fish and wildlife ( including  endangered species)  
Outline of system  
1. On August 25, 1980, the Fish and Wildlife Service (the Service) pu blished final rules revising 
50 CFR Part 14 (Importation, Exportation, and Transportation of Wildlife) to implement provisions 
of a number of wildlife laws enforced by t he Service.  Subsequent updates were made in 1985, 
1987, 1994, 1996, 1998, 1999, 2002, 2004, and 2009.  As part of that rulemaking and under 
authority of the Endangered Species Act of 1973 (ESA), an import/export licence is required for 
any person who enga ges in business as an importer or exporter of fish or wildlife unless that 
person imports or exports certain excepted wildlife or falls within one of the categories of persons 
excepted from the requirement by the rules.  The licensing provision was promulg ated 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 pe rmission from the Secretary of the Interior.   
 
The licence requirement is found at 50 CFR 14.91 -93.  Presently licensees must:  
 
(1) obtain an import/export license for US$ 100 per year;  
(2) pay inspection fees  that vary depending on whether the commodity involves live and/or  
 protected wildlife, and the port of import or export, prior to the inspection;  
(3) importers or exporters of wildlife pay fees for actual costs of inspections conducted at  
 special times or locations at the importer's or exporter's r equest;  
(4) keep certain records and retain them for five years;  
(5) allow Service inspection of records and inventories of imported wildlife or wildlife to be  
 exported; and  
(6) file any reports requested by the Service.  
 
On an interim basis, licensees w ho exclusively import or export shipments that do not contain live 
or protected wildlife, contain 25 or fewer wildlife products, and contain a value of $5,000 or less of 
wildlife products are exempted from the designated port base inspection fee.       
 
Exceptions to the licence requirement are found at 50 CFR 14.92.  Certain persons exempted from 
the licence requirement by 50 CFR 14.92(b) must still comply with the requirements of 
section  9(d) of the ESA, which are to:  
 
(1) keep records which fully and cor rectly 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 coverage of licensing  
2. The licensing system covers all "wildlife" which by regulation means the same as "fish or 
wildlife", which is defined by 50 CFR 10.12 as follows:  
 
the term "fish or wildlife" means any wild animal, whether alive or dead, including without 
limitation any wild mammal, bird, reptile, amphibian, fish, mollusc, crustacean, arthropod, G/LIC/N/3/USA/14  
 
- 17 - 
 
  coelenterate, or other invertebrate, whether or not bred, hatched, or bo rn in captivity, and 
including any part, product, egg, or offspring thereof.  
 
3. The licensing system applies to any person who "engages in business as an importer or exporter 
of wildlife".  That phrase means for a person to devote time, attention, labour or effort to any 
activity for gain or profit that involves the importation or exportation of wildlife whether or not 
such person is an importer or exporter within the meaning of the customs laws of the 
United  States.  
 
Persons excepted from the licence requ irement by 50 CFR 14.91(c) and 14.92(b) include:  
 
(1) common carriers, when engaged as transporters, not as an importer or exporter;  
(2) customs house brokers  or freight forwarders when engaged as transporters  or agents,  not 
as an importer or exporter ; 
(3) public museums, or other public, scientific, or educational institutions, importing or 
 exporting wildlife for research or educational purposes and not for resale; and  
(4) Federal, State, tribal, or  municipal agencies.  
 
4. The licensing system is not inte nded to restrict the quantity or value of imports.  The purposes 
of the licence requirement are to:  identify commercial importers and exporters of wildlife, require 
records which fully and correctly disclose each importation or exportation of wildlife and  the 
subsequent disposition of the wildlife by the importer or exporter, allow the Service to inspect 
records required to be kept and inventories of imported wildlife or wildlife to be exported, remove 
repeat wildlife law violators from commercial wildlife  trade, improve communications between the 
Service 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 regul ation the term 
"permission" was treated as a grant of authority to require a licence.  Exceptions to the licence 
requirement can be created by regulation.  Further, the coverage of the licence can be broadened 
or narrowed by changing the definition of eith er "fish or wildlife" or the phrase "engage in business 
as an importer or exporter of fish or wildlife".  The system cannot be abolished without legislation.  
 
Procedures  
6. Not applicable.  
 
7. (a)  No time -limit is set for receiving an application in advance of importation; however, the 
Service has 60 days to process a licence application which must be issued prior to an 
importation or exportation.  Title 50  CFR 14.91(a) states it is unlawful for any person to 
engage in business as an importer or exporter of wildlife without first having obtained a 
valid import/export licence from the Director (of the Service).  It is required that 
applications for licence renewals be received by the issuing office at least 3 0 days before 
the current licence expires.   
 
 A holder of an Import/Export License may also apply for a Designated Port Exception 
Permit (Title 50 CFR 14.31 to 14.33) to facilitate wildlife trade through a port not 
designated as a wildlife port, for scien tific purposes, to minimize deterioration or loss and 
for economic hardship.   
 
(b) No. 
 
(c) No. 
 
(d) Applications are submitted to and processed by Service law enforcement regional offices.  
The Special Agent in Charge, Office of Law Enforcement, of each office has been delegated 
authority to issue licences.  
 G/LIC/N/3/USA/14  
 
- 18 - 
 
  8. Applications must meet the provisions of 50 CFR 13.11 and 13.12.  Under 50 CFR 13.21(b) a 
licence may be refused if:  
(1) the applicant has been assessed a civil penalty, has been convicted of any c ivil or criminal  
 provision of any statute or regulation relating to the activity for which the application is 
 filed, if such assessment or conviction evidences a lack of responsibility;  
(2) the applicant has failed to disclose material information requi red, or has made false 
 statements as to any material fact, in connection with his application;  
(3) the applicant has failed to demonstrate a valid justification for the permit and a showing of 
 responsibility;  
(4) the authorization requested potentially t hreatens 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 th e 
denial.  If authorized in the notice of denial, the applicant may submit further information, or 
reasons why the licence should be granted.  The final action by the Director is considered the final 
administrative decision of the Department of the Interio r. 
 
Eligibility of importers to apply for license  
9. All persons, firms, and institutions are eligible to apply for a licence (unless they have failed to 
meet issuance criteria as established in 50 CFR 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;  
(2) 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 licence;  
(3) if the applicant is a corporation, fi rm, 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) certification in the following language:  
 "I hereby certify that I have read and am familiar with the regulations contained in 
Title 50, Part 13, of the Code of Federal Regulations and the other applicable parts in 
Sub-chapter B of Chapter I of Title 50, and I f urther 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 wi ldlife 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 
United States who will maintain the records required under the import/export license.    
  
11. An import/export licence is only permission to engage in business as an importer or exporter 
of wildlife.  Such a licence is in addition to, and does not supersed e, any other requirement 
established by law for the importation or exportation of wildlife.  
 
12. The licence fee is US$ 100.00.  
 G/LIC/N/3/USA/14  
 
- 19 - 
 
  13. Applications must be accompanied by the licence fee.  
 
Conditions of licensing  
14. Licences are valid for one year.  The licensee must apply for renewal to the issuing office at 
least 30 days before the current licence expires.  
 
15. If a licensee discontinues engaging in business as an importer or exporter of wildlife, the 
licensee must within 30 days mail the licence and a request for cancellation to the issuing officer.  
 
16. Licences are not transferable between importers.  Agents under the direct control of, employed 
by, or under contract to the licensee may carry out the activities authorized by the licence.  
 
17. (a)  A license may be amended with restrictions on the wildlife trade that may be conducted,  
including species, number of specimens, and intended uses, in cases where the applicant 
has previously violated wildlife trade regulations or otherwise fails to meet the  criteria for 
applicants described in 50 CFR § 13.21.  
 
(b) In addition to the general conditions found in 50 CFR Part 13, under 50 CFR 14.93(b) 
licensees are subject to the following special conditions:  
 
(i) the licensee shall, from the effective date of t he licence, keep such records as will 
fully and correctly disclose each importation or exportation of wildlife made by the 
licensee and the subsequent disposition made by the licensee with respect to such 
wildlife.  The records must include a general descr iption of the form of the wildlife, 
such as "live", "raw hides", or "fur garments"; the quantity of wildlife, in numbers, 
weight, or other appropriate measure; the common and scientific names; the 
country or place of origin of the wildlife, if known; the d ate and place of import or 
export; the date of the subsequent disposition of the wildlife; the manner of 
disposition, whether by sale, barter, consignment, loan, delivery, destruction, or 
other means; and the name and address of the person who received the  wildlife 
pursuant to such disposition, if applicable;  
 
(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 mai ntain such books and records for a period of five years;  
 
(iv) subject to applicable limitations of law, duly authorized Service officers at all 
reasonable times shall, upon notice, be afforded access to the licensee's places of 
business, an opportunity t o examine the licensee's inventory of imported wildlife or 
the wildlife to be exported and the records required to be kept and an opportunity 
to copy such records;  
 
(v) licensees shall, upon written request by the Director, submit within 30 days of such 
request a report containing the information required to be maintained in the 
records of the licensee.  
 
Other procedural requirements  
18.  A licensee must comply with the requirements of 50 CFR Part 14 which apply to the 
importation, exportation, or transport ation of wildlife generally.  Further, a licensee importing or 
exporting a particular species may have to comply with other requirements found in 50 CFR Parts 
10-23 and other State or Federal laws, including permitting requirements under federal statutes 
such as the Endangered Species Act, the Bald and Golden Eagle Protection Act, the Marine 
Mammal Protection Act, the Wild Bird Conservation Act, the Migratory Bird Treaty Act, and the 
Lacey Act, for injurious wildlife.  A licensee must provide advance notifi cation of imports or exports 
of live or perishable wildlife.   
 
19. Not applicable.  
 G/LIC/N/3/USA/14  
 
- 20 - 
 
  5  DEPARTMENT OF JUSTIC E 
5.1  Bureau of Alcohol, Tobacco, Firearms and Explosives  
5.1.1   Firearms and ammunition  
Outline of system  
1. The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) administers licensing provisions 
under three statutes and implementing regulations: the Gun Control Act of 1968 (GCA, at 
18 U.S.C. Chapter 44), the Arms Export Control Act of 1976 (AECA, at 2 2 U.S.C. 2778), and the 
National Firearms Act (NFA, at 26 U.S.C. Chapter 53).  Under the GCA, the United States 
maintains a system of licenses for persons engaged in the business of manufacturing, importing, 
or dealing in firearms, and for persons engaged in the business of manufacturing or importing 
ammunition.  ATF administers GCA import controls along with import controls established by the 
AECA (discussed in the below section, V(A)2)  through a system of import permits.  In addition, 
under the NFA, ATF a dministers a special occupational tax for persons engaged in the business of 
importing, manufacturing, or dealing in NFA firearms.  ATF also maintains a system of registration 
for NFA firearms which include machine guns, silencers, and destructive devices.   
 
Purposes and coverage of licensing   
2.  See reply to question 1.  Under the GCA, "firearm" means (a) any weapon (including a starter 
gun) which will or is designed to or may readily be converted to expel a projectile by the action of 
an explosive; (b) t he 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 silen cer).  The term 
"firearm" does not include an antique firearm (defined in 18 U.S.C. § 921(a)(16)).  The GCA also 
provides definitions for other relevant product terms including but not limited to "shotgun" and 
"rifle."  Under the GCA, "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 1 8 U.S.C. § 921 and in the NFA in 
26 U.S.C. § 5845.   
 
3.  All countries except those proscribed by the Department of State from which imports are 
denied entry into the United States.  Refer generally to 27 CFR 447.52 for proscribed countries and 
defense ar ticles; ATF also maintains an up -to-date listing at its Firearms and Explosives Imports 
Branch ((304) 616 -4550).  
 
4.  No.  Generally, the GCA licensing system prevents the granting of licenses to persons falling 
within statutorily determined prohibited cat egories.  Except as provided in 18 U.S.C. § 925(d), it is 
generally unlawful for any person knowingly to import any firearm or ammunition.  Import permits 
may be granted pursuant to the exceptions outlined in 18 U.S.C. § 925(d), which include imports 
for scientific or research purposes, imports of firearms that are generally recognized as particularly 
suitable for or readily adaptable to sporting purposes, excluding surplus military firearms, and 
other exceptions.  In addition, Federal, State, and local gov ernments in the United States may 
generally import firearms and ammunition that otherwise would be prohibited from importation, 
such as nonsporting firearms and ammunition, NFA firearms, and surplus military firearms.  No 
alternative methods have been cons idered.  
 
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.  
 G/LIC/N/3/USA/14  
 
- 21 - 
 
  7. (a) A Federal Firearms Licence 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 with ATF and obtain an approved ATF 
Form 6—Application and Permit for Importation of Firearms, Ammunition and Implements 
of War.  
 
(b)  No.  A license cannot be granted immediately on request.  
 
(c)  No. 
 
(d) Yes, the application is considered by a sing le 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 reques ting a hearing, further to United States District Court , if desired , by 
filing a petition for review within 60 days of the denial or revocation of license.  Refer to 18 U.S.C. 
§ 923 for a detailed description of the process.  
 
Eligibility of importers to ap ply for license  
9.  All persons, firms , and institutions are eligible to apply for licenses.  
 
Documentation and other requirements for application for license  
10.  Applications:  The ATF Form 7 is the application for a Federal firearms license.  The ATF Fo rms 
6 and 6A are the import application and permit: Application and Permit for Importation of 
Firearms, Ammunition and Implements of War (ATF Form 6, Part I); Release and Receipt of 
Imported Firearms, Ammunition and Implements of War (ATF Form 6A).  
 
11.  P roof to United States Customs and Border Protection of licensed status furnished by the 
importer or his agent. Application and Permit for Importation of Firearms, Ammunition and 
Implements of War (ATF Form 6, Part I); Release and Receipt of Imported Firear ms, Ammunition 
and Implements of War (ATF Form 6A).  
 
12.  Yes.  US $ 150.00 ($50 per year) for importers of firearms other than destructive devices or 
ammunition for firearms other than destructive devices, or ammunition other than armor  piercing 
ammunition.  US$ 3,000.00 ($1000 per year) for importers of destructive devices, ammunition for 
destructive devices , or armor piercing ammunition.  These licenses are renewed every three years. 
Special occupational tax fees apply for NFA firearms .  See also 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, 
whichever comes first.  The validity of a license can be extended by renewal application for license 
and new application for import permit.  
 
15.-17.  No.  
 
Other procedural requirements  
18.  No.  
 
19.  Not ap plicable.  
 G/LIC/N/3/USA/14  
 
- 22 - 
 
  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 arms, ammunition and defense articles.  The law and regulations of these im ports 
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 main tains a similar system of controls 
relative to exports and temporary imports.  
 
Purposes and coverage of licensing  
2.  Persons engaged in the business of importing defense articles on the U.S. Munitions Import List 
must be registered.  Actual importation is  authorized by use of ATF Form 6.   
 
3.  All countries except those proscribed by the Department of State from which imports are 
denied entry into the United States.  Refer generally to 27 CFR 447.52 for proscribed countries and 
defense articles; ATF also maintains an up -to-date listing at its Firearms and Explosives Imports 
Branch ((304) 616 -4550).  
 
4.  Primary purpose is to regulate international trafficking in arms consistent with U.S. national 
security and foreign policy interests.  No alternative methods have been considered.  
 
5.  Arms Export Control Act of 1976; 22 U.S.C. 2778; 27 CFR Part 447; and Executive 
Order  13637 (78 F.R. 16129).  Licensing is statutorily mandated and cannot be abolished without 
legislative action.  
   
Proced ures 
6.  Not applicable.  
 
7. (a) A Federal Firearms Licence is issued within 60 days after receipt of a properly completed 
application.  Any person who wishes to permanently import a defense article on the U.S. 
Munitions Import List into the United States  must first file with ATF and obtain an approved 
ATF Form 6 —Application and Permit for Importation of Firearms, Ammunition and 
Implements of War.  
 
(b) No.  A license cannot be granted immediately on request.  
 
(c) No. 
 
(d) Yes, consideration of license appl ications 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 license, administrative appeals may be made through the Director of 
the ATF.  If a permit is denied, revoked, suspended, or revised, the importer or applicant shall be 
advised in writing of the decision and the reasons therefor .  Within 30 days of receipt, the 
applicant or importer may file a written reques t for an opportunity to present additional 
information and to have a full case review by the appropriate ATF officer.  
 
Eligibility of importers to apply for license  
9.  All persons, firms , and institutions are eligible to apply for licenses.  
 
Documentation  and other requirements for application for license  
10.  ATF Form 4587 and ATF Form 6.  No supporting documentation is required.  
 
11.  Applications and Permit for Importation of Firearms, Ammunition and Implements of War (ATF 
Form 6, Part I).  Release and  Receipt of Imported Firearms, Ammunition and Implements of War 
(ATF Form 6A).  G/LIC/N/3/USA/14  
 
- 23 - 
 
  12.  A fee for registration is charged, but not for the permit.  
 
 Amount of fee:  
 
 One year:  US$ 250  
 Two years:  US$ 500  
 Three years:  US$ 700  
 Four years:  US$ 850  
 Five yea rs:  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.  
 
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 possessing 
explosives and to ensure the safe and secure storage of explosives.  Bac kground checks are 
conducted to ensure that anyone who possesses explosives is not otherwise prohibited by law.   
 
Purposes and coverage of licensing  
2.  Explosive materials are explosives, blasting agents , and detonators.  Permits are required of all 
users.  Licenses are required as stated in reply to question  1. 
 
3.  All countries.  
 
4.  No.  Purposes are to protect against the misuse and unsafe storage of explosive 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 
discretion.  
 
Procedures  
6.  Not applicable.  
 
7. (a) An application for a license or permit must be approved or denied within 90 days after 
receipt.  Usual turn -around time from receipt of application to issuance of license or permit 
is 90 days.  This timing is due to the statutory requirement that ATF perfo rm in -person 
inspections of the business premises and storage facilities of all new and renewing 
explosives license/permit applicants, as well as conduct a background check and interview 
before approving the application.  
 
(b) No. G/LIC/N/3/USA/14  
 
- 24 - 
 
  (c) No. 
 
(d) Yes, conside ration of applications is effected by a single administrative organ (ATF).  
 
8.  No additional circumstances apply.  An application is grant ed provided the applicant provides 
the necessary information and meets the necessary re quirements, which include an i n-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 eligible to apply for licenses.  
 
Documentation and other requirements for application for license  
10.  Application on ATF Forms 5400.13/5400.16, Application for License or Permit.   
 
11.  Proof to United States Customs and Border Protection of licensed or permitted status 
furnished by importer or his agent.   Explosives must be classified and marked per United States 
Department of Transportation standards.  
 
12.  Yes.  
 
 US$ 200.00 per license for three years; and  
 US$ 100.00 for renewal for three years;  
 US$ 100.00 per User -permit per three years; and  
 US$ 50.00 for User -permit renewal for three years;  
 US$ 75.00 per User -limited permit (non -renewable) valid for one year or one transaction;  
 US$25.00 per Limited permit valid for one year or up to six transactions;  
 US$12.00 Limited permit renewal for one yea r or up to six transactions.  
 
13.  No.  
 
Conditions of licensing  
14.  Licenses are valid for three years.  Previously, licenses were valid for one year.  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 conditio ns apply.  
 
Other procedural requirements  
18.  No.  
 
19.  Not applicable.  
 
5.2  Drug Enforcement Administration  
5.2.1   Controlled substances and listed chemicals  
Outline of system  
1.  The system of import permits, declarations, notices, and quotas is designed to restrict the 
importation of controlled substances and listed chemicals to that quantity necessary to meet the G/LIC/N/3/USA/14  
 
- 25 - 
 
  medical, scientific , or other legitimate needs of the United St ates, 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 Psychotrop ic 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 t he above three international conventions and is 
responsible for collecting data and preparing standard yearly statistical reports regarding the 
manufacture, import/export, and consumption of drugs and chemicals regulated by the 
conventions.    
 
Purposes and  coverage of licensing  
2.  In order to import any controlled substance, or List I chemical or drug product containing 
ephedrine, pseudoephedrine, or phenylpropanolamine, the importer must apply to the DEA for 
registration as an importer.  The registration application must be approved by the DEA and is 
issued annually.  Upon registration approval and prior to each importation , the registered importer 
must:  
 
(a) Apply for and receive a permit to import any Schedule I or Schedule II controlled 
substance, or an y narcotic controlled substance in Schedules III, IV, or V or any 
non-narcotic controlled substance in Schedule III which the Administrator has specifically 
designated by regulation in Title 21, Code of Federal Regulations, Section 1312.30 or any 
non-narco tic controlled substance in Schedule IV or V which is also listed in Schedule I or 
II of the Convention on Psychotropic Substances; or  
 
(b) Submit an import declaration for all non -narcotic controlled substances in Schedules  III, 
IV, or V, excluding those described in paragraph (a) above.  (The list of basic classes of 
controlled 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 unde r the authority of the Controlled Substances Act are contained in Title 
21, Code of Federal Regulations, Part 1310.  Advanced notice may be waived under certain 
circumstances as outlined in Title 21, Code of Federal Regulations, Section 1313.12(c).  
 
 Crude opium, poppy straw, concentrate of poppy straw or coca leaves may be imported in 
such amounts as the Attorney General finds to be necessary to provide for medical, 
scientific, or other legitimate purposes. Controlled substances in Schedule I or II , or 
narcotic substances in Schedule III, IV or V may be imported if the Attorney General finds 
it to be necessary to provide for the medical, scientific, or other legitimate needs of the 
United States (a) during an emergency in which domestic supplies are f ound by the 
Attorney General to be inadequate; (b) in any case in which the Attorney General finds 
that competition among domestic manufacturers is inadequate and will not be rendered 
adequate by the registration of additional manufacturers; or  (c) in any  case in which the 
Attorney General finds that such controlled substance is in limited quantities exclusively for 
scientific, analytical, or research uses.  
 
3.  In general, the import restrictions apply to all controlled substances and listed chemicals, 
regardless of the country of origin.  However, Title 21, Code of Federal Regulations, Section 
1312.13 poses additional limitations on the imports of narcotic raw materials.  In effect, the 
importation of approved narcotic raw materials (opium, poppy straw an d concentrate of poppy 
straw) into the United  States shall have as its source:  
 
(a) Turkey,  
(b) India,  
(c) Spain,  
(d) France,  
(e) Poland,  G/LIC/N/3/USA/14  
 
- 26 - 
 
  (f) Hungary, and  
(g) Australia.  
 
and, at least 80 per cent of the narcotic raw material imported into the United State s shall have as 
its source Turkey and India.  Except under conditions of insufficient supplies of narcotic raw 
materials, not more than 20 percent of the narcotic materials imported annually shall originate in 
Spain, France, Poland, Hungary, and Australia.    
 
4.  The system is designed to restrict the quantity of imports of controlled substances and listed 
chemicals (not monetary value) and to maintain a monitoring system.  Previous systems were 
used prior to the import requirements of the Controlled Substa nces Act (effective May 1, 1971).  
However, the current system is mandated by United States law and, as far as controlled 
substances are concerned, is based upon two international treaties (The Single Convention on 
Narcotic Drugs, 1961 and the Convention o n 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 o f annual need for the listed chemicals ephedrine, 
pseudoephedrine, and phenylpropanolamine and a quota system to provide for those legitimate 
needs.  Further, the CMEA amended Title 21, United States Code, Section  952 by adding the three 
listed chemicals (ephedrine, pseudoephedrine, and phenylpropanolamine) to existing language 
concerning importation of controlled substances.  The 2007 assessment of annual needs for 
ephedrine, pseudoephedrine , and phenylpropanolami ne set upper limits on the quantity of these 
listed chemicals and products containing these chemicals that can be produced in or imported to 
the United States.  The assessment was published as a Final Notice in the Federal Register in 
September  2007.  Also  pursuant to the CMEA, import and production quotas were established in 
July 2007 which set in place a process for licensed firms to obtain individual quota amounts.  
 
The system of registration of importers and the system of quotas (for Schedule I and II drugs) are 
statutory requirements established in the Comprehensive Drug Abuse Prevention and Control Act 
of 1970, Part C (Sections 301, 302, 303, 306) and the import requirements established in the 
Controlled Substances Import and Export Act (Sections 1002 , 1007 and 1008) (21 United States 
Code, Sections 822, 823, 826, 953, 957 and 958) and implementing regulations.  The Controlled 
Substances Act 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 May 1 of the year prior to that to which the quota applies.  No quota is established 
for Schedules III, IV or V controlled substances or other listed chemicals.  Additional notice 
of regulations is published in Title 21, Code of Federal Regulations, Parts 1300 to End.  
 
II. Quotas for legitimate need are determined on an annual basis, but determinations 
regarding importations are made at the time of individual applications.  
 
III. Import permits are issued pursuant to applications by registered importers who have 
demonstrated the medical, scientific , or other legitimate need for the imported substance.  
Declarations and notices are submitted as advanced notification of import only for 
monitoring purposes by the DEA.  
 
IV. Not applicable; individual determinatio ns 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.   
 G/LIC/N/3/USA/14  
 
- 27 - 
 
  VIII. Not ap plicable.   
 
IX.-X. Not applicable.  
 
XI. Controlled substances on permits may only be imported for  legitimate needs of the 
United  States.  
 
7.  Schedules III, IV, and V non -narcotic controlled substances are subject to import declarations, 
and importers are  subject to registration with the DEA.  
 
(a) Importation may be made only by approved, registered importers.  An import declaration 
must be filed 15 days in advance of the proposed date of import.  In special circumstances, 
the 15 days may be waived adminis tratively.  
 
(b-c)  Not applicable.  
 
(d) Yes.  The DEA.  
 
8.  A registered importer can be refused an importation if the importer cannot demonstrate the 
legitimate need in the United States, in line with the above criteria.  
 
Eligibility of importers to apply  for licence  
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 application for licence  
10.  The information required for an import permit is set forth in Title 21, Code of Federal 
Regulations, Section 1312.12 and includes: (a) name, address, and business of consignor; (b) 
foreign port of export; (c) United States port of entry; (d)  the late st date shipment will leave a 
foreign port; (e) name of carrier or vessel; (f) amount; (g) importer's allotment for the year;  (h) 
stock on hand of the controlled substance desired to be imported; and (g) the total number of 
kilograms of said allotment for  which 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  
Importers/Exporters (Controlled 
Substances)  $1,523  
Importers/Exporters (Chemical)  $1,523 
 
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.  G/LIC/N/3/USA/14  
 
- 28 - 
 
  19. Not applicable.  
 
6  DEPARTMENT OF TREASU RY 
6.1  Alcohol and Tobacco Tax and Trade Bureau  
6.1.1   Distilled spirits (beverages); wine and malt beverages  
Outline of Systems  
1.  Import ers 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 i n 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 label ling and 
advertising, to prevent unfair trade practices as required by the FAA Act, and to enforce all other 
Federal laws relating to spirits, wine , and malt beverages, including taxes.  Retailers are not 
required to obtain basic permits under the FAA Act.    
 
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 United States must apply for a Federal Basic 
Importer’s Permit (“Importer’s Per mit”).   
 
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/US CODE -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 d esignation 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 month s after an application has been filed.  
Under certain circumstances , a permit can be obtained within a shorter time fr ame.  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 agenc y that issues 
basic permits for the importation of alcohol beverages.    
 
8.  27 U.S.C. §204(a) sets forth the circumstances in which an application for a permit may be 
denied (http://www.gpo.gov/fdsys/granule/USCODE -2011-title27/USCODE -2011-title27 -chap8 -
subchapI -sec204/content -detail.html ).  The reasons for any refusal are given to the applicant in 
writing.  In the event of re fusal to issue a permit, administrative appeals may be made to the 
Administrator of TTB, and then to a Federal court.    
 G/LIC/N/3/USA/14  
 
- 29 - 
 
  Eligibility of Importers to Apply for License  
9.  Any person, firm , or institution may apply for a license.  Individuals must be citizens or legal 
residents of the United States; firms or institutions must be incorporated in the United States and 
have the appropriate tax ID with the IRS. There are no registration fees.  TTB publishes a list of 
authorized importer s 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.ttb.gov/forms/f510024.pdf ), along with such 
suppor ting 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 cert ification applies 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. 
 
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 the 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 Certificate of Label Approval (TTB Form 5100.31 - 
http://www.ttb.gov/forms/f510031.pdf ) are required.  Additionally, any entity in the United States 
(including importers) that sells di stilled spirits, wine, or beer to a dealer for resale must register as 
an alcohol dealer with TTB before commencing operations for the first time.  (See 26 U.S.C. 
Chapter 51 ( http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -
subtitleE -chap51/content -detail.html ). 
 
19. Not applicable.  
 
6.1.2   Distilled spirits or alcohol for industrial use (Including alcohol for fuel u se) 
Outline of Systems  
1.  The Internal Revenue Code  of 1986  requires that producers of distilled spirits or alcohol for 
industrial purposes have permits.  If distributors or users want to obtain industrial spirits or alcohol 
without paying the excise tax under 26 U.S.C. 5001 ( http://www.gpo.gov/fdsys/granule/USCODE -
2011-title26/USCODE -2011-title26 -subtitleE-chap51 -subchapA -partI-subpartA -sec5001/content -
detail.html ), then they must apply for a permit.  Industrial alcohol is exempt from taxation if used 
as authorized by law.  The permit system is a means to control these authorized uses.  
 G/LIC/N/3/USA/14  
 
- 30 - 
 
  Purposes and C overage 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/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26 -subtitleE -chap51 -subchapA -partI-subpartA -sec5002/content -
detail.html ) includes denatured spirits.  Such alcohol may only be 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 prevent tax fraud.   
 
5. Please see:  26 U.S.C. 5171 (http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26 -subtitleE -chap51 -subchapB -sec5171/content -detail.html ), 26 U.S.C. 
5181 (http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleE -
chap51 -subchapB -sec5181/content -detail.html ), 27 CFR Part 19 
(http://www.gpo.gov/fdsys/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 
legislative acti on.  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 month s after  the application has been filed.  Under certain 
circumstances, a permit can be obtained within a shorter time frame.  
 
(b) Under certain circumstances, a permit can be obtained within a shorter time frame.  
 
(c) No. 
 
(d) Yes.  TTB is the only agency with whom an importer of distilled spirits or alcohol for 
industrial use (including alcohol for fuel use) must deal to secure this permit.  
 
8.  The circumstances for denying an application for a permit are stated in 26 U.S.C. 5271 
(http://www.gpo.gov/fdsys/granule/USCODE -2010-title26/USCODE -2010-title26 -subtitleE -
chap51 -subchapD -sec5271/content -detail.html ).  The reasons for any refusal are given to the 
applicant in writing.  In the event of 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 per son, firm , or institution may apply for a license.  Individuals must be citizens or legal 
residents of the United States; firms or institutions must be incorporated in the United States and 
have the appropriate tax ID with the IRS.   There are no registrati on fees.  
 
Documentation and Other Requirements for Application for License  
10.  Application for Operating Permit - TTB Form 5110.25 (http://www.ttb.gov/forms/f511025.pdf ); 
Alcohol for fuel use - TTB Form 5110.74 ( http://www.ttb.gov/forms/f511074.pdf ), as appropriate, 
along with such supporting documentation as required.  
 
11.  Ordinary commercial papers.  
 
12.  No. 
 
13.  No. 
 G/LIC/N/3/USA/14  
 
- 31 - 
 
  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.  
 
6.1.3   Tobacco Products  
Outline of Systems  
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 (bonded internal 
revenue warehouses for the storage of tobacco products or cigarette papers or tubes or any 
processed tobacco, upon which the internal revenue tax has not been paid, for subsequent export) 
must apply for and obtain a permit from  TTB before engaging in such businesses.  The primary 
purpose of these permits is to ensure proper collection of Federal excise tax revenue from tobacco 
products.  
 
Purposes and Coverage of Licensing  
2.  As noted, manufacturers and importers of tobacco prod ucts or processed tobacco and 
proprietors of export warehouses (bonded internal revenue warehouses for the storage of tobacco 
products or cigarette papers or tubes or any processed tobacco, upon which the internal revenue 
tax has not been paid, for subsequ ent export) must apply for and obtain a permit from TTB before 
engaging in such businesses.  Tobacco products are defined in the Internal Revenue Code as 
cigarettes, cigars, smokeless tobacco (that is, chewing tobacco or snuff), pipe tobacco, and roll 
your own tobacco.  Manufacturers of tobacco products and export warehouse proprietors are 
required to maintain a bond related to their Federal excise tax liability.  Processed tobacco is any 
tobacco that has undergone processing, but does not include tobacco p roducts.  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 do es not include curing, baling, or packaging activities.  Those 
who farm or grow tobacco or who handle tobacco solely for sale, shipment, or delivery to a 
manufacturer of tobacco products or processed 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 di scretion for the executive 
branch  to change the products ( http://www.gpo.gov/fdsys/granule /USCODE -2011-G/LIC/N/3/USA/14  
 
- 32 - 
 
  title26/USCODE -2011-title26 -subtitleE -chap52 -subchapB -sec5713/content -detail.html ) subject to 
the permit requirements or to abolish the permit system without legislative approval.     
 
Procedures  
6.  Not applicable.  
 
7. (a) Permits are usually issued within six to eight months  after an application has been filed.   
 
(b) No.  The Internal Revenue Code of 1986 at  section  5712 (26 U.S.C. 5712) sets forth the 
conditions for determining whether a person qualifies for a permit, and  these conditions 
cannot be met with immediate licensing.  
 
(c) No. 
 
(d) TTB has sole authority to issue the permit required under 26 U.S.C. 5712 and 5713, and 
therefore the importer does not have to approach any other agency in order to meet the 
applicatio n requirements for the permit.   
 
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 applica nt may appeal the denial of  a permit to the 
Administrator of TTB, and then to a Federal court.  
 
Eligibility of Importers to Apply for Licence  
9.  Any person, firm , or institution may apply for a license.  Individuals must be citizens or legal 
residents of the United States; firms or institutions must be incorporated in the United States and 
have the appropriate tax ID with the IRS.   There are no registration fees.   There is no published 
list of authorized importers.  
 
Documentation and Other Requirements for  Application for License  
10.  Refer to TTB Form 5230.4 ( http://www.ttb.gov/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  
August 26, 2013, are valid for five years from the effective date shown on the permit and may be 
renewed for an additional  five years by making application within 30 days of expiration.  
 
15.  No. 
 
16.  Permits are not transferable to another person.  
 
17. (a) Not applicable.  
 
(b) An application for the renewal of a permit as an importer of tobacco products or processed 
tobacco  may be rejected and the permit denied if no activity has taken place or been 
reported under such permit for a period of one year immediately prior to the application for 
renewal.   Permits may also be revoked for the reasons listed under 26 U.S.C. 5713.  
 G/LIC/N/3/USA/14  
 
- 33 - 
 
  Other Procedural Requirements  
18.  TTB has no other administrative procedures, apart from permit requirements, required prior to 
importation.  
 
19.  Not applicable.  
 
7  NUCLEAR REGULATORY C OMMISSION  
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 1 974, as amended.1  
These regulations apply to all persons in the United States although certain exemptions exist for 
the U.S. Department of Energy and the U.S. Department of Defen se.   
 
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 provide d in 10 CFR § 110.2.  
 
These items may be imported under either a general NRC license or a specific NRC license.  A 
general import license is effective and does not require filing an application with NRC for review or 
issuance of a written license document to a particular person.  If the general license provisions in 
10 CFR 110.27 do not authorize an import, then a specific import license is required.  An 
application must be filed with NRC for review, and if approved, a written license document is 
issued to a named person, authorizing specific transactions to occur within a set time period.   
 
Most by -product, source, and/or special nuclear materials are authorized for import under an NRC 
general license to the extent the U.S. consignee possesses an appropria te 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 l icenses are required for imports of production or utilization facilities, 100  kilograms 
or more per shipment of irradiated nuclear fuel, and any special nuclear, source or by -product 
materials in the form of radioactive waste.  
 
On July 1, 2005, NRC added n ew specific license requirements for imports of certain radioactive 
sealed sources and radionuclides in bulk form to codify certain provisions of the International 
Atomic Energy Agency (IAEA) Code of Conduct on the Safety and Security of Radioactive Source s 
(Code of Conduct).  Appendix P was added to 10 CFR 110, which lists the radioactive materials and 
establishes Category 1 and 2 threshold quantities, requiring a specific NRC license for import into 
the United States beginning December 28, 2005.  On July 28, 2010, the NRC published a final rule 
in the Federal Register  that, among other things, amended 10 CFR Part 110 to allow imports of 
Category 1 and Category 2 quantities of material listed in Appendix P under a 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 notification requirement prior to shipment as set forth in §  110.50.   The rule 
change requires notification seven days  in advance of shipments for imports authorized under the 
general license.  
 
                                                
1 A copy of 10 CFR Part 110 containing the Nuclear Regulatory Commission Regulations governing the 
Export and Import of Nuclear Equipment and Material is available for consultation in the Secretariat (Market 
Access Division).  G/LIC/N/3/USA/14  
 
- 34 - 
 
  On April 20, 2006, the NRC amended its regulations governing the import and export of nuclear 
equipment and material to implement the p rovisions of the Energy Policy Act of 2005.  This 
amendment revised the definition of by -product material to include discrete sources of 
radium -226, accelerator -produced radioactive material, and discrete sources of naturally occurring 
radioactive material .  The 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 July 10, 2014, the NRC amended its regulations pertaining to the export and import of nuclear  
materials and equipment to conform United States export controls to the international export 
control guidelines of the Nuclear Suppliers Group (NSG), of which the United States is a 
participating government , and to incorporate by reference the current version of the International 
Atomic Energy Agency's (IAEA) document, “Nuclear Security Recommendations on Physical 
Protection of Nuclear Material and Nuclear  Facilities (INFC IRC/225/Revision 5), January 2011.  
 
Purposes and coverage of licensing  
2.  As noted in reply 1, an NRC license – either general or specific – is required for imports of 
production and utilization facilities; special nuclear material; source material and by -product 
material.  
 
3.  The licensing requirements apply to goods originating in and coming from all countries, but do 
not apply to transhipments, i.e., those which are just passing through the United States.  
 
4.  The purpose of adopting licensing requirem ents is not to restrict quantities or values of items 
imported; it is to protect public health and safety and the environment, and maintain the common 
defense and security of the United States, by exercising prudent controls over the possession, 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 def ines the categories of products and facilities that need to be subject to 
licensing controls with minimum discretion in definitions left to administrative determination.  
 
Procedures  
6.  There are no restrictions specifically designed to limit the quantitie s 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), a nd 
this authority has been exercised for example, to grant licenses within a short period of 
time. 
(b) A specific license would not be granted immediately upon request. Applicants should 
anticipate allowing from one to three months (or more) from the date an application is 
received by NRC depending on the specific commodity (e.g., a specific license for the 
import of radioactive waste requires several months' review).  NRC is required to make 
copies of every application received available to the public for minimum of 30 days before 
issuing a license.  This is to provide interested parties with an opportunity to submit 
written comments on the application or request a hearing (see 10 CFR § 110.70 and 
§ 110.82).   
 
(c) There are no limitations as to the period of the year during which a specific import license 
application can be submitted to NRC.  NOTE: Specific import licenses issued have 
expiration dates, and can be amended and/or renewed, as long as NRC receives the 
request for such action before the expirati on date.  Once a license expires, it cannot be 
amended or renewed.  
 G/LIC/N/3/USA/14  
 
- 35 - 
 
  (d) An NRC import license authorizes the import only and does not confer authority to receive 
title to, acquire, receive, possess, deliver, use or transfer items imported.  For certain 
specific import license applications, the NRC is required to consult with and/or seek 
concurrences from other federal agencies (most commonly the Departments of State and 
Energy), although final licensing responsibility remains with the NRC.  
 
8.  Applicati ons 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 th e right to appeal.  
Avenues for applicants, licensees, and members of the public to appeal NRC actions are given in 
Subparts H, I, J and K of 10 CFR Part 110.  
 
Eligibility of importers to apply for a specific license  
9.  To be eligible to apply for license s, all persons, firms, and institutions must have a permanent 
(physical) address within the United States where papers may be served and where records 
required by the Commission are maintained and can be inspected.  
 
Documentation and other requirements for  application for a specific 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 
site.  NRC may request ad ditional information, if necessary, to conduct the licensing review 
required by the applicable statutes.  
 
11.  For the materials listed in Appendix P to 10 CFR Part 110, licensees must submit import 
notifications at least seven days in advance of each ship ment 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 Protection and Depar tment 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.  Fees are charged for processin g license applications in accordance with the fee schedule in 
10 CFR § 170.21 and § 170.31 (e.g., for fiscal year 2015, the fees for import applications range 
from US$ 1,300 to US$ 17,400).  
 
13.  The appropriate fee must accompany applications submitted fo r specific import licenses, 
otherwise processing will be delayed.  
 
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 th e NRC agrees.  
 
15.  There is no penalty for not using a specific NRC import license (i.e., if the items authorized for 
import are not imported); however, violations of any of the terms and conditions of an NRC import 
license are subject to enforcement including imposition of civil or criminal penalties.  
 
16.  A specific license may be transferred or assigned to another person only with the approval of 
the Commission.  
 
17.  Special conditions may be added to specific licenses if necessary to underscore u nique, new or 
revised domestic requirements, for example, affecting transportation arrangements, security 
measures and timing of advance notifications.  
 
Other procedural requirements  
18.  Since many materials authorized for import under specific or general  NRC licenses are 
considered hazardous and/or strategically significant, additional arrangements may be necessary 
in conjunction with their transportation.  These arrangements may involve physical protection 
measures, special handling procedures for health  and safety purposes, or advance notice of G/LIC/N/3/USA/14  
 
- 36 - 
 
  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 wh ether the shipment originates from a domestic or a foreign source.  
 
19.  Not applicable.  
 
__________