G/LIC/N/3/USA/15  
 
5 October 2018  
(18-6158) Page: 1/35 
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 (2018)  
UNITED STATES 
The following communication, dated 28 September 2018, is being circulated at the request of the 
delegation of the United States.  
 
_______________  
 
 
Table of contents  
 
1   DEPARTMENT OF AG RICULTURE  ................................ ................................ .................  2 
1.1   Plants and plant products  ................................ ................................ ............................  2 
1.2 Animals and animal products  ................................ ................................ .........................  3 
1.3 Sugar ................................ ................................ ................................ ..........................  5 
1.4 Certain dairy products  ................................ ................................ ................................ ... 8 
2   DEPARTMENT OF CO MMERCE ................................ ................................ ....................  11 
2.1   International Trade Administration  ................................ ................................ ..............  11 
2.1.1    Steel ................................ ................................ ................................ ....................  11 
3   DEPARTMENT OF EN ERGY  ................................ ................................ .........................  13 
3.1   Natural gas  ................................ ................................ ................................ ..............  13 
4   DEPARTMENT OF IN TERIOR  ................................ ................................ .....................  15 
4.1   US Fish and Wildlife Service  ................................ ................................ .......................  15 
4.1.1    Fish and wildlife (including endangered species)  ................................ ........................  15 
5   DEPARTMENT OF JU STICE  ................................ ................................ ........................  19 
5.1   Bureau of Alcohol, Tobacco, Firearms and Explosives  ................................ ....................  19 
5.1.1    Firearms and ammunition  ................................ ................................ .......................  19 
5.1.2    Firearms, ammunition and defense articles  ................................ ...............................  21 
5.1.3    Explosives ................................ ................................ ................................ .............  22 
5.2   Drug Enforcement Administration  ................................ ................................ ...............  24 
5.2.1    Controlled substances and listed chemicals  ................................ ...............................  24 
6   DEPARTMENT OF TR EASURY  ................................ ................................ .....................  27 
6.1   Alcohol and Tobacco Tax and Trade Bureau  ................................ ................................ . 27 G/LIC/N/3/USA/15  
 
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  6.1.1    Distilled spirits (beverages); wine and malt beverages  ................................ ...............  27 
6.1.2    Distilled spirits or alcohol for industrial use (Including alcohol for fuel use)  ...................  29 
6.1.3    Tobacco Products  ................................ ................................ ................................ ... 30 
7   NUCLEAR REGULATO RY COMMISSION  ................................ ................................ ...... 32 
7.1   Nuclear facilities and materials  ................................ ................................ ...................  32 
 
_______________  
 
 
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 introduction  of pests  and diseases.  Permits  are also required  for the import,  
export  or re-export  of terrestrial  plants  that are on the endangered  species  list. Permits  are only 
issued  to a firm or individual  resident  in the United  States.  
 
Purposes and coverage of licensing  
2. Permits are required for:  
 
- plants and plant products for or capable of propagation;  
- fruits and vegetables;  
- 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 permit  system  applies  to products  coming  from all countries  with exceptions.  
 
4. The permit  system  is to protect  against  the entry of plant pests and diseases,  and to protect  
endangered  plant species.  
 
5. The permit  system  for most products  covered  is a statutory  requirement  of Section  412 of the 
Plant Protection  Act, 7 U.S.C.  7712.  The Endangered  Species  Act, which  implements  provisions  of 
the Convention  on International  Trade  in Endangered  Species  (CITES),  establishes  a permit  
system  for certain  plants  on the endangered  species  list. 
 
Procedures  
6. Not applicable.  
 
7. Permit  applications  are effected  by one office,  U.S. Department  of Agriculture,  Permit  Section,  
Unit 136, 4700 River Road,  Riverdale,  Maryland  20737.  Most applications  are not passed  on to 
other  offices  for visas,  note, or approval,  and the importer  does not have to approach  more than 
one administrative  organ.  The exception  to this are the permit  applications  for soil and for plants  
required  to be grown  in post-entry quarantine.  
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  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 maintains  an address  in the United  States  that is specified  on the permit,  and is physically  
present  during  normal  business  hours  at that address  during  any periods  when  articles  are being  
imported  or moved  interstate  under  the permit;  or, if the applicant  is a legal entity  that maintains  
an address  or business  office  in the United  States  with a designated  individual  for service  of 
process, 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. 
 
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 endangered  plants.  Plants  
and plant products  in transit  through  the United  States  require  a PPQ Form 586. Applications  to 
import  soil are contained  in PPQ Form 525. 
 
11. For all plants  and some  plant products,  a phytosanitary  certificate  must accompany  the 
shipment.  Endangered  species  have special  documentation  requirements.  
 
12. There  is no licensing  fee or administrative  charge  for permits  other  than the US$ 70.00  fee per 
permit  for commercial  trade  in endangered  plants.  
 
13. No deposit  or advance  payment  is required  in connection  with the issue of permits.  
 
Conditions of licensing  
14. Permits  are valid for specified  periods  of time, and they can be extended  by re-application.  
The permit  for endangered  or threatened  plants  is valid for two years.  
 
15. There  is no penalty  for non-utilization  of a permit.  
 
16. Permits  are not transferable  between  importers.  
 
17. There are no other  conditions  attached  to the 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;  G/LIC/N/3/USA/15  
 
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  - certain  animal  (livestock)  derived  products  for any reason,  commercial  or research  uses;  
- poultry  and hatching  eggs and other  avian  species;  
- animal  and avian  specimens,  tissues  or blood  products;  
- materials  that have been exposed  to animal  products  capable  of contamination  with disease  
agents;  
- samples  of dairy  products,  hay, straw,  grasses etc.  for scientific  uses from countries  
considered  to be affected  with diseases  such as foot-and-mouth  disease  (FMD);  
- germplasm  - semen  and embryos  (livestock);  
- organisms  that affect  livestock  and avian  species  and various  vectors  of such organisms;  and 
- veterinary  biological  products  including  seeds  and substrates.  
 
3. The permit  system  applies  to animals  coming  from all countries  (except  Canada  and Mexico)  
with some  variation  resulting  from the species  and country  of origin's  disease  status.  Permits  for 
products  apply  to all countries  depending  on disease  status  and type of product.  
 
4. The permit  system  is not used to restrict  the quantity  or value  of imports,  but only to protect  
domestic  agriculture  from the introduction  or entry of animal  diseases  or disease  vectors.  
 
5. The permit  system  is not a statutory  requirement  except  for veterinary  biological  products  
permits.  The pertinent  regulations  are contained  in Title 9 C.F.R.,  Parts 92, 94.7,  94.16,  95.4,  
95.18,  95.19,  95.20  through  98, 104 and 122; and in the following  laws as codified:  21 U.S.C -102 
to 105, 111, 134, 135, 151-159 and 19 U.S.C -1306.  
 
Procedures  
6. Not applicable . 
 
7. (a)  The amount  of time in advance  of importation  within  which  a permit  must be applied  for is 
not specified  in the regulations.  
 
(b) A permit  cannot  be granted  immediately  upon request.  Prior review  of the application  is 
required.  
 
(c) There  are no limitations  as to the period  of the year during  which  permit  applications  may be 
made.  
 
(d) Permit  applications  are effected  by one office.  The importer does not have to approach more 
than one office, a n d  the application  is not passed  on to other  offices  for visa, note or 
approval.  
 
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 forth in VS forms  16-3 and 16-7, 17-129, 
17-128 and APHIS  form 2005.  
 
11. In the case of live animals  and birds,  the original  and copies  of the import  permits  must 
accompany  the shipment  as well as a health  certificate  issued  by the national  veterinary  services  
of the country  of origin.  Copies  of the import  permit  should  also accompany  animal  products  and 
organism  and vector  shipments,  and shipments  of veterinary  biological  products.  
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  12. There  are import -related  user fees associated  with permit  application  review,  inspections  
required  for imports,  testing  and quarantines.  Facilities  manufacturing  veterinary  biologicals  for 
importation  are inspected  under  cooperative  service  agreements.  
 
13. Reservation  fees for quarantine  space  are required  for live animals  and birds.  The amount  of 
the fee varies  according  to the animal  and the bird. 
 
Conditions of licensing  
14. Permits  for animal  products  and organisms  and vectors  vary in length  of their validity,  but are 
generally  for about  one year. Permits  for live animals  and birds are valid for seven  to 60 days,  
depending  on the species.  Permits for veterinary  biological  products for importation  for distribution  
and sale do not have expiration  dates.  
 
15. There  is no penalty  for non-utilization  of a permit.  Application  user fees and quarantine  
reservation  fees are not refundable.  
 
16. Permits  are not transferable  between  importers.  
 
17. There  are no conditions  attached  to the issuance  of a permit.  The applicant  must comply  with 
the terms  of the permit.  The importer  certifies  that the information  on the application  is accurate.  
 
Other procedural requirements  
18. There are no other administrative procedures required prior to importation.  
 
19. Not applicable.  
 
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 results  of the Uruguay  Round  of 
multilateral  trade  negotiations  as reflected  in the provisions  of Schedule  XX (United  States),  
annexed  to the Agreement  Establishing  the World  Trade  Organization.  
 
Under  the raw cane sugar  tariff-rate quota  (TRQ)  administration,  the Secretary  of Agriculture  
establishes  the TRQ quantity  that can be entered  at the lower  tier of import  duty rates,  and the 
United  States  Trade  Representative  (USTR)  currently  allocates  this quantity  among  countries  
based  on a representative  base period  of U.S. sugar  imports  during  1975-81. Certificates  of Quota  
Eligibility  (CQE)  are issued  to the exporting  countries and  must be executed  and returned  with the 
shipment  of sugar  in order  to receive  in-quota  tariff treatment.  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 sugar TRQ in HTS 1701.12.10, 1701.91.10, 1701.99.10, 1702.90.10, and 
2106.90.44. Entry of any sugar allocated to specific countries and areas in the raw and refined sugar 
TRQs does not require a license, but does require a CQE.  A speciality sugar TRQ is also established 
which requires a certificate.  
 
There  is a licensing  system  to implement  the U.S. sugar  re-export  program.  Licenses  are issued  to 
refiners  allowing  them to import  raw sugars  under  HTS 1701.13.20,  1701.14.20  to be further  
processed  and: (1) re-exported  in refined  form,  (2) re-exported  in refined  form in sugar -containing  G/LIC/N/3/USA/15  
 
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  products,  or (3) used for the production,  other  than by distillation,  of polyhydric  alcohol  except  
that used as a substitute  for sugar  in human  food. 
 
3. The CQE system  applies  to those  countries  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 certain  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.  
 
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=div 5.  The regulations  governing  licenses  for the importation  
of sugar  exempt  from quota  are under  7 CFR 1530.  The regulation  may be found  at: 
http://www.ecfr.gov/cgi -bin/text  
idx?SID=6455b5541198c6b98dfbde6641de588e&mc=true&node=pt7.10.1530&rgn=div5 . 
 
Authority  exists  to suspend  each of these  systems  whenever  it is determined  that such action  is 
appropriate.  Notice  of such suspension  shall be published  in the Federal  Register.  
 
Procedures  
6. I. The United  States  Trade  Representative  and the United  States  Department  of Agriculture  
use the Federal  Register,  press  releases,  official  reports,  and government  Internet  web 
sites to provide  information  about  the allocation  of TRQ quantities,  the issuance  of CQE's,  
and the formalities  for filing import  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 Secretary  of Agriculture  to countries  to coincide  with the 
applicable  TRQ year. Certificates  for importing  specialty  sugars  are likewise  issued  to 
importers  to coincide  with the TRQ year. Licenses  issued  to allow quota -exempt  sugar  to be 
imported,  refined  and re-exported  or used in producing  polyhydric  alcohol  are not subject  to 
the TRQ year limitations.  
 
III. Governments  of countries  participating  in the CQE system,  in turn, execute  and issue these  
certificates  to a shipper  or consignee  of a cargo  of sugar  destined  for the United  States.  Sugar  
is allowed  entry into the United  States  at the low-tier tariff rate only if a valid and properly  
executed  CQE is presented  at time of entry to the appropriate  customs  official.  
 
The United  States  Department  of Agriculture,  Foreign  Agricultural  Service  issues  certificates  
for importing  specialty  sugar  to importers,  who annually  apply  and provide  sufficient  evidence  
that the sugar  they intend  to import  fits the definition  of specialty  sugar.  The certificate  is 
presented  to the appropriate  customs  official  at the time of entry.  
 
The Department  of Agriculture  issues  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 specialty  sugar  certificate  does not G/LIC/N/3/USA/15  
 
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  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  the sugar  to a manufacturer  licensed  to use the sugar  in products  for export  or to 
manufacture  inedible  polyhydric  alcohol.  
 
7. Not applicable.  
 
8. There are no provisions  for refusing  to issue CQEs,  specialty  sugar  certificates,  or licenses  for 
importing  quota -exempt sugar other than  failure to meet the ordinary  criteria.  A list of companies 
issued licenses is published on the FAS Web site: 
https://apps.fas.usda.gov/sugars/FASSugarsLicensees.aspx . 
 
Eligibility of importers to app ly 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 o ther 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  loading.  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 certificates  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)  expected  to 
be imported  during  the period  of the certificate,  including  the manufacturers'  or exporters'  usual  
trade  name  or designation  and use of such specialty  sugar;  (5) sufficient  evidence  that it is a 
specialty  sugar(s);  (6) anticipated  consumers  (if known)  at time of application;  and (7) anticipated  
date of entry (if known).  
 
Persons  wishing  to apply  for licenses  to import  sugar  for re-export  must submit  the following  in 
writing  to the Licensing  Authority:  (1) the name  and address  of the applicant;  (2) the address  at 
which  the applicant  will maintain  the required  records;  and (3) the address(es)  of the applicant's  
processing  plant(s).  In the case of refined  sugar  re-exports,  the applicant  must provide  the 
polarity  of the product  including  the formula  for calculating  the refined  sugar  in the product.  All 
applicants  must enter  into a documentation  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  Protection  computer  system,  which  automatically  accepts  or rejects  each 
attempt  to enter  raw sugar  on the license.  
 
12. No. 
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  13. A licensee  operating  under  the Refined  Sugar  Re-export  Program  may establish  a bond or a 
letter  of credit  in favour  of the U.S. Department  of Agriculture  to charge  program  sugar  in 
anticipation  of the export  or transfer  of refined  sugar,  the export  of sugar  in sugar  containing  
products,  or the production  of certain  polyhydric  alcohols.  The bond or letter  of credit  may cover  
entries made either  during the  period  of time  specified  in the bond (a  term bond)  or for a specified  
entry  (a single  entry  bond).  The amount  of the bond or letter  of credit  shall be equal  to 20 cents  
per pound  of sugar  to be entered  under  the license.  If a licensee  fails to qualify  for credit  to a 
license  within  the specified  time period  of the date of export  or use of 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  sugar,  converted  to raw value  that 
should  have been exported  in compliance  with this part. 
 
A bond or letter  of credit  is not necessary  if export  credits  exceed  the quantity  of imports  charged  
to the license.  
 
Conditions of licensing  
14. The CQEs are valid only for the quota  period  for which  they are issued.  A certificate  for 
specialty  sugar  is valid only for the TRQ year in which  it is used.  Under  the Refined  Sugar  
Re-export  Program,  the licenses  may be revoked  upon written  notice  to the license  holders  by the 
Licensing  Authority.  
 
15. There is no penalty for non-utilization.  
 
16. Licenses issued under the Refined Sugar Re -export Program and Specialty Sugar Import 
Certificates are not transferable between importers.  
 
17. There are no other conditions attached to issuing certificates.  
 
Other procedural requireme nts 
18. No other procedures are required.  
 
19. Not applicable.  
 
1.4 Certain dairy products  
Outline of system  
1. Presidential Proclamation  6763 of 23 December  1994,  modified the Harmonized  Tariff Schedule  
of the United  States  (HTS)  in various  ways that affected  the import  system  for certain  dairy 
products.   The Proclamation  terminated  quantitative  restrictions  that had been imposed  pursuant  
to section  22 of the Agricultural  Adjustment  Act of 1933,  as amended  (7 U.S.C.  624);  proclaimed  
tariff-rate quotas  (TRQs)  for such articles  pursuant  to P.L. 103-465 (the Uruguay  Round  
Agreements  Act); and specified  which  imports  of dairy articles  may require  import  licenses  issued  
in accordance  with the terms  and conditions  in regulations  issued  by the Secretary  of Agriculture.  
 
Purposes and coverage of licensing  
2. The licensing  system  covers  the following  dairy commodities  as defined  in the Additional  U.S. 
notes  to Chapter  4 of the HTS: butter  and fresh or sour cream  containing  over 45% 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.  
 G/LIC/N/3/USA/15  
 
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  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  enters  at the high-tier tariff rate. Dairy  articles  subject  to licensing  cannot  
enter  at the in-quota  rate unless  such imports  are accompanied  by a license.  An article  may be 
entered  only in the name  of the licensee,  or the licensee's  agent  acting  in the licensee's  name  
under  the power  of attorney,  and the quantity  entered  must be owned  by the licensee  on the date 
of entry,  and must be charged  against  the license  in effect.  The licensing  system  was originally  
implemented  as a requirement  of Presidential  Proclamation  3019 for the purpose  of providing  for 
an equitable  distribution  of trade in  dairy products  covered  by Section  22 quotas among  importers,  
users,  and supplying  countries.  Under  a TRQ system,  licensing  serves  the same  trade -stabilizing  
and equity  purposes.  
 
5. The licensing  system  is not a statutory  requirement.  The authority  to make  such allocations  
was delegated  to the Secretary  of Agriculture  by Presidential  Proclamation  3019 of 8 June 1953.  
 
Procedures  
6. I. The procedures  for submitting  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 
2 June 1994,  seeking  comments  on methods  for allocating  Uruguay  Round  TRQs through  
the year 2000,  and comments  on updating  or improving  the existing  regulation.  On 
6 January  1995,  and 2 May 1995,  notices  were published  in the Federal  Register  
amending  the Import  Regulation  to implement  those  U.S. Uruguay  Round  commitments  for 
1995.  The Department  published  the final rule on dairy tariff-rate quota  licensing  in the 
Federal  Register  on 9 October  1996.  The regulation  was modified  on 6 October  2004, to 
accommodate  electronic  web-based  application  procedures. On 27 July 2015,  a revision  to 
the regulation was published in the Federal Register Vol. 80, No. 143, pages  44251 -44258,  
published  after extensive  public  comment.  
 
II. License  applications  must be submitted  annually  during  the application  period  specified  in 
the Import Regulation. Licenses  are generally  issued during the last two weeks of December.  
Licenses are valid beginning in 1 January of each year and are valid for 12 months.  
 
III. Licenses are allocated to importers of dairy products regardless of whether they are producers 
of like products. Unused allocations may not be added to the allocation of the succeeding year. 
The Import  Regulation  provides that licensees  must utilize  85% of the licenses  issued  and 
have the option  to surrender  voluntarily  unused  amounts,  which  are then reallocated,  the 
same  year, to other  eligible  licensees  through  an application  process.  A list of names  of 
licensed  importers  is published  on the FAS website  each year. The list can be found  on the 
internet  at: http://www.fas.usda.gov/programs/dairy -import -licensing -program . 
 
IV. Applications  are processed  to determine  if the eligibility  criteria  in the Import  Regulations  are 
met. In general,  over 500 applications  are reviewed,  and the application  process  is 
completed  within  six weeks.  
 
V. Licenses  are issued  for use beginning  1 January and generally issued  in the last two weeks  of 
December.  
 
VI. Only the Import  Policies  and Export  Reporting  Division,  Office  of Trade  Programs,  Foreign 
Agricultural  Service,  United  States  Department  of Agriculture,  considers  license  applications  on 
dairy 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;  
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  - Designated  licenses  are issued  annually  for certain cheese  articles  to eligible  applicants  who 
are designated  by the government  of the country  of origin as preferred  importers;  
 
- Non-historical  (lottery) licenses  are issued  annually  through  a random  lottery  system.  Licenses  
received  for a specific  cheese  or non-cheese  dairy product  are not renewable  in the following  
year. Eligible  applicants  may apply  annually  for a license.  
 
VIII. Export permits from  foreign countries are not required.  
 
IX. Same as above.  
 
X. Not applicable.  
 
7. For commodities that enter outside the tariff -rate quotas and at the over -TRQ tariff rates, no dairy 
import licenses are required , and there are no limitations regarding quantity.  
 
8. The circumstances  under  which  an application  for a license may  be refused other than failure  to 
meet the ordinary  criteria  is failure  to complete  the application  electronic  form and submit  the full 
documentation  requested  within  the application  deadline  period.  Reasons  for refusal  to accept  an 
application  may be given  to applicants  upon request.  There  are no rights  of appeal.  Failure  to 
receive  a license  by one applicant  does not reduce  access  to the TRQ amounts,  since those  
amounts  will be allocated  to other  applicants.  
 
Eligibility of importers to apply for license  
9. Importers  or manufacturers  of dairy products  are eligible  to apply  for import  licenses  if they 
meet the performance  criteria  set forth in the Import  Regulation  with respect  to the quantity  of 
imports entered  in a previous  12-month period  (1 September -31 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  can also qualify  on the basis of exports,  in which  case licenses  will only be issued  for 
non-cheese  items.  
 
Documentation and other requirements for application for license  
10. information  required  in applications  is set forth in the Dairy  Tariff-Rate Quota  Import  
Licensing  Regulation.  FAS electronic  forms  923, 923A and 923B are required  to be submitted,  
including  copies  of entry and/or  export  summaries  or in the case of manufacturers  on being  listed  
in the Dairy  Plants  Approved  Bulletin.  As a part of the 2015 revision  to the regulation,  the Dairy  
Import  Licensing  Authority  operates  exclusively  via an electronic  system  over the internet  and 
precludes  the use of mail and fax. All applications  and communications  must be done 
electronically,  through  the dedicated  licensing  system,  which  is available  to anyone.  
 
11. At the time of the electronic  filing for import  entry,  a license  number  must be presented  along  
with the other  information  required  for U.S. Customs  import  entry.  The Licensing  Authority  may 
request  copies  of documents  such as the through  bill of lading  and the invoice.  
 
12.-13. A fee is charged  for or associated  with the issuance  of licenses.  For 2018,  a fee of 
US$300.00  is charged.  
 
14. Licenses  are valid from 1 January  through  31 December.  License  validity  cannot  be extended  
into the next quota  year. 
 
15. Licensees  who anticipate  not meeting  the 85 percent  utilization  requirement  may voluntarily  
surrender  unused  amounts  by 1 October;  otherwise  that license  will be cancelled  the following  
year. For historical  licenses,  less than 85 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 issued  through  a random  lottery  
process.  Historical  license  TRQ quantities  can also be reduced  if the licensee  surrenders  his import  
license  for three  consecutive  years,  although  the provisions  with respect  to the reduction  of G/LIC/N/3/USA/15  
 
- 11 - 
 
  historical  licenses  based  on surrenders  of unused quantities  have been suspended  until 2022.  See 
Federal  Register  Vol. 80, No. 143, pages  44251 -44258.  
 
16. Licenses  are not transferable  between  importers.  However,  USDA  may transfer  a license,  in 
the event  that the company  holding  such license  is sold or conveyed  to another  company,  under  
conditions  provided  for in the regulation.  
 
17. No other  conditions  are attached  to the issuance  of a license.  
 
Other procedural requirements  
18. All food imports  are subject  to the requirements  of the Food,  Drug and Cosmetic  Act and the 
Fair Packaging  and Labelling  Act, including  sanitation  and labelling  requirements,  and milk products  
are subject  as well to the Federal  Import  Milk Act. These  requirements  are administered  by the 
Food and Drug Administration  (FDA).  The importation  of certain  dairy products  is regulated  by both 
FDA and the Animal  and Plant Health  Inspection  Service  (APHIS).  Importers  should  contact  
FDA in regard  to FDA requirements  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 31 December  2002,  as part of the 
section  201 safeguard  action  on certain  steel products.  On 11 March  2005,  the Department  of 
Commerce  issued  an interim  final rule continuing  the program  for four years  under  new statutory  
authority  unrelated  to the safeguard  action. The  Department  also modified  the product  coverage  
of the program,  removing  certain  previously  covered  downstream  products  from the licensing  
requirements.  On 5 December  2005,  the Department  published  a final rule that made  final an 
interim  final rule that expanded  and extended  the Steel Import  Monitoring  and Analysis  (SIMA)  
system  until 21 March  2009.  Although  there  were no changes  from the interim  final rule, this 
document  provides  details  about  the current  SIMA  system  as detailed  in the final rule. On 
8 March  2009,  following  publication  of a preliminary  rule (73 FR 75624)  and final rule (74 FR 
11474),  the authority  to continue  the licensing  system  was extended  until 21 March  2013.  
No other  changes  were made.  On 15 February  2013, the authority  was extended  until 
21 March  2017,  similarly  following  publication  of a preliminary  (77 FR 67593)  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 5 January  2017,  the authority  was extended  until 21 March  2022,  following  
publication  of a preliminary  (81 FR 70650)  and final rule (82 FR 1183)  (G/LIC/N/3/USA/13,  
8 November  2016).  No other  changes  were made.  
 
Purposes and Coverage of Licensing  
2. The  steel import  licensing  program  covers  all basic steel mill products.  Certain  downstream  
steel products  previously  covered  by the system,  pipe fittings  and flanges,  have been removed  
from the system  and the licensing  requirements.  In total there  are over 700 products  covered,  
each identified  by HTS number;  the full list is available  at:  
http://enforcement.trade.gov/steel/license/index.html   
(Please  note there  were official  U.S. harmonized  tariff system  code changes  in January 2006, 
January 2007, February 2007, July  2007,  January  2008,  July 2008,  January  2009,  July 2009,  
January  2010,  July 2010,  January  2011,  July 2011;  January  and July 2012;  January  and July 2013;  
January  2014;  January  and July 2017; and January 2018).  
 
3. The steel licensing  system  applies  to goods  originating  in and coming  from all countries.  
 G/LIC/N/3/USA/15  
 
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  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 21 March  2022,  was published  on 5 January  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 
importation  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.  
 
(b) Yes.  The license number is electronically generated, and electronically given to the filer 
immediately upon completing the license information.  
 
(c) No. 
 
(d) No. 
 
8. Applicants are not ref used steel license numbers.  
 
Eligibility of Importers to Apply for Licence  
9. (a) Not applicable.  
 
(b) No. Only registered  users  are permitted  to file steel licenses.  The registration  form is 
available  on the steel import  licensing  website:  
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. Information  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 Tariff  Schedule (HTS)  number,  volume in  kilograms,  and 
value  in U.S. dollars  for each product  imported.  
 
11. The 9-digit steel license  number  is required  as part of the CBP Entry  Summary  for goods  
brought  into the U.S. for consumption.  
 
12. There  is no licensing  fee. 
 
13. There  is no deposit  or advance  payment  requirement  associated  with the issue of licenses.  
 
Conditions of Licensing  
14. Steel import  licenses  may be applied  for up to 60 days prior to the expected  date of 
importation  and until the date of filing of the entry summary  documents,  or in the case of FTZ 
entries,  the filing of CBP Form 214. The license  is valid for 75 days,  but may be used only once.  
 
15. No.  
 
16. No, licenses are not transferable between importers; they are unique for each entry.  
 
17. (a)  No. 
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  (b) No. 
 
Other Procedural Requirements  
18. No.  
 
19. Not applicable.  
 
3  DEPARTMENT OF ENERGY  
3.1  Natural gas  
Outline of system  
1. Imports  of natural  gas, whether  by pipeline  or as liquefied  natural  gas (LNG),  are regulated  
under  Section  3(a) of the Natural  Gas Act (NGA)  (15 U.S.C.  717b(a)),  which  provides  that "no 
person  shall ... import  any natural  gas from a foreign  country  without  first having  secured  an 
order  ... authorizing  it to do so". Section  3(a) also provides  that such orders  shall be issued  
unless,  after opportunity  for hearing,  it is found  that the proposed  importation  will not be 
consistent  with the public  interest.  Authority  over imports  of natural  gas rests with the Secretary  
of Energy.  The Secretary’s authority  to regulate  natural gas imports under Section 3 of the Natural 
Gas Act,  as amended,  has been delegated  to the Assistant  Secretary  for Fossil  Energy pursuant 
to Delegation Order No. 00 -006.02 ( 17 November 2014) and to the Principal Deputy Assistant 
Secretary for Fossil Energy Re -delegation Order No. 00 —002-04-02A ( 20 June 2014).  
 
On 24 October  1992,  the Energy  Policy  Act of 1992 (EPACT  92) was enacted.  Section  201 of 
EPACT  92 amended  Section  3 of the NGA by adding Section 3(c), which  eliminates  the requirement 
that the Department  of Energy  (DOE)  make  a public interest  determination with respect to  natural  
gas imports from "a nation with which there  is in effect  a free trade  agreement  requiring  national  
treatment  for trade  in natural  gas", as well as  for all  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  treatment  for trade  in natural  gas, 
and LNG imports  from other  countries,  are "deemed  to be consistent  with the public  interest,  
and applications  for such importation ...  shall be granted  without  modification  or delay".  
 
Currently,  virtually  all natural  gas import applications  filed with  DOE are reviewed  under  Section  3(c) 
of the NGA . DOE is not required  to evaluate  these  applications to determine whether they are "in 
the public interest". In these cases, the agency does not solicit public comments, or conduct a review 
of the application under the National Environmental Polic y Act. Rather,  after these  import  
applications  are reviewed  for completeness  and legal sufficiency,  DOE prepares  and issues  the 
authorizations  as requested.   
 
In addition,  with respect  to the import  or export  of natural  gas (including  LNG),  the Secretary  of 
Energy  has delegated  authority  to the Federal  Energy  Regulatory  Commission  (FERC)  (Delegation  
Order  No. 00-004.00A  (16 May 2006))  to approve  or disapprove  the construction  and operation  of 
particular  LNG import or export facilities , the site at which  such facilities  shall be located,  and, 
with respect  to natural  gas that involves  the construction  of new domestic  facilities,  the place of 
entry.  
 
Purposes and coverage of licensing  
2. The products covered are natural gas, including liquefied natural gas (LNG), and compressed 
natural gas (CNG).  
 
3. The system applies to goods originating from any country.  
 
4. The licensing is not intended to restrict the quantity or value of natural gas imports.  
 
5. See response to Question 1. Licensing is statutorily required.  
 G/LIC/N/3/USA/15  
 
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  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  NGA Section 3(c)  standards.  
 
(b) An authorization  to import  natural  gas can be granted  as soon as an applicant  has filed a 
legally  sufficient  application,  and as soon as that application  is reviewed  and processed.  
 
(c) There  are no limitations  as to the period  of the year during  which  an application  for 
authorization  to import  natural  gas may be made.  
 
(d) Licensing  applications  are considered  by a single  administrative  office,  the Office  of Fossil  
Energy,  U.S. Department  of Energy,  Forrestal  Building,  1000 Independence  Avenue,  S.W.,  
Washington  D.C. 20585.  
 
8. There  are no circumstances  under  which  an import  authorization  can be refused,  as long as an 
applicant  has submitted  a legally  sufficient  application.  Information  which  must be contained  in 
the application  is specified  in 10 C.F.R.  590.202.  
 
Eligibility of importers to apply for license  
9. All persons,  firms,  and institutions  are eligible  to apply  for authorization  to import  natural  gas. 
Traditionally,  entities  applying  for such authorizations  have been natural  gas pipeline  companies,  
natural  gas producers, terminal operators,  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  about  the 
proposed  import  arrangement,  and exhibits  required  by the rules covering  such applications  set 
forth in DOE regulation  (10 C.F.R.  Part 590).  Section 3(c) of the NGA  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:   
https://www.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 Order  issued  
by DOE, and depends  upon the particular  circumstances  of the import  arrangement.  An import  
authorization  can be extended  upon application  to DOE. 
 
15. There  is no penalty  for non-utilization  of an order  authorizing the  import  of natural  gas. G/LIC/N/3/USA/15  
 
- 15 - 
 
   
16. Authorizations  to import  natural  gas are not transferable  between  importers  without  approval.  
 
17. No conditions  are attached  to an authorization  to import  natural  gas from free trade  
agreement  countries  or authorizations  to import  LNG from any country.  
 
Other procedural requirements  
18. Each import  authorization  order  requires  natural  gas importers  to report  import activity  
monthly  to DOE on Form FE -746. 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 25 August  1980,  the Fish and Wildlife  Service  (the Service)  published  final rules revising  
50 CFR Part 14 (Importation,  Exportation,  and Transportation  of Wildlife)  to implement  provisions  
of a number  of wildlife  laws enforced  by the Service.  Subsequent  updates  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  license  is required  for 
any person  who engages  in business  as an importer  or exporter  of fish or wildlife  unless  that 
person  imports  or exports  certain  excepted  wildlife  or falls within  one of the categories  of persons  
excepted  from the requirement  by the rules.  The licensing  provision  was promulgated  under  
section  9(d) of the ESA [16 U.S.C.  1538(d)]  which  provides  that it is illegal  for any person  to 
engage  in business  as an importer  or exporter  of fish or wildlife  (other  than certain  shellfish  or 
fishery  products)  without  first having  obtained  permission  from the Secretary  of the Interior.  
The licence requirement is found at 50 CFR 14.91 -93.  Presently licensees must:  
 
(1) obtain  an import/export  license  for US$ 100 per year;  
(2) pay inspection  fees that vary depending  on whether  the commodity  involves  live and/or  
protected  wildlife,  and the port of import  or export,  prior to the inspection;  
(3) importers  or exporters  of wildlife  pay fees for actual  costs of inspections  conducted  at special  
times  or locations  at the importer's  or exporter's  request;  
(4) keep certain  records  and retain  them for five years;  
(5) allow Service  inspection  of records  and inventories  of imported  wildlife  or wildlife  to be 
exported;  and 
(6) file any reports  requested  by the Service.  
 
Licensees  who exclusively  import  or export  shipments  that do not 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  license  requirement are  found at  50 CFR 14.92.  Certain  persons exempted  from 
the license  requirement  by 50 CFR 14.92(b)  must still comply with the requirements of  section  9(d) 
of the ESA, which  are to: 
 
(1) keep records  which  fully and correctly  disclose  each importation  or exportation  of 
wildlife  by them;  
(2) keep records  which  fully and correctly  disclose  the subsequent  disposition  by them 
of the imported  or exported  wildlife;  and 
(3) allow Service  inspection  of records  and inventories  of imported  wildlife  or wildlife  
to be exported.  
 G/LIC/N/3/USA/15  
 
- 16 - 
 
  Purposes and coverage of licensing  
2. The licensing  system  covers  all "wildlife"  which  by regulation  means  the same  as "fish or 
wildlife",  which  is defined by  50 CFR 10.12  as follows:  
 
the term "fish or wildlife"  means  any wild animal,  whether  alive or dead,  including  without  
limitation  any wild mammal,  bird, reptile,  amphibian,  fish, mollusc,  crustacean,  arthropod,  
coelenterate,  or other  invertebrate,  whether or not bred,  hatched,  or born in captivity,  and 
including  any part, product,  egg, or offspring  thereof . 
 
3. The licensing  system  applies  to any person  who "engages  in business  as an importer  or exporter  
of wildlife".  That phrase  means  for a person  to devote  time, attention,  labour  or effort  to any 
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 requirement by 50 CFR 14.91(c) and 14.92(b) include:  
 
(1) common  carriers,  when  engaged  as transporters,  not as an importer  or exporter;  
(2) customs  house  brokers  or freight  forwarders  when  engaged  as transporters  or agents,  
not as an importer  or exporter;  
(3) public  museums,  or other public,  scientific,  or educational  institutions,  importing  or 
exporting  wildlife  for research  or educational  purposes  and not for resale;  and 
(4) Federal,  State,  tribal,  or municipal  agencies.  
 
4. The licensing  system  is not intended  to restrict  the quantity  or value  of imports. The  purposes  
of the license  requirement  are to: identify  commercial  importers  and exporters  of wildlife,  require  
records  which  fully and correctly  disclose  each importation  or exportation  of wildlife  and the 
subsequent  disposition  of the wildlife  by the importer  or exporter,  allow the Service  to inspect  
records  required  to be kept and inventories  of imported  wildlife  or wildlife  to be exported,  remove  
repeat  wildlife  law violators  from commercial  wildlife  trade,  improve  communications  between  the 
Service  and commercial  wildlife  importers  and exporters,  and assist  the Service  in its effort  to 
conserve  endangered  and threatened  species  and identify  species  which  may be threatened  or 
endangered.  
 
5. Section  9(d) of the Endangered  Species  Act of 1973 [16 U.S.C.  1538(d)]  makes  it unlawful  "for 
any person  to engage  in business  as an importer  or exporter  of fish or wildlife...without  first 
having  obtained  permission  from the Secretary  [of the Interior]".  By regulation  the term 
"permission"  was treated  as a grant  of authority  to require  a license . Exceptions  to the license  
requirement  can be created  by regulation.  Further,  the coverage  of the license  can be broadened  
or narrowed  by changing  the definition  of either  "fish or  wildlife"  or the phrase  "engage in  business  
as an importer  or exporter  of fish or wildlife".  The system  cannot  be abolished  without  legislation.  
 
Procedures  
6. Not applicable.  
 
7. (a)  No time-limit is set for receiving  an application  in advance  of importation;  however,  the 
Service  has 60 days to process  a license  application  which  must be issued  prior to an 
importation  or exportation.  Title 50 CFR 14.91(a)  states  it is unlawful  for any person  to 
engage  in business  as an importer  or exporter  of wildlife  without  first having  obtained  a 
valid import/export  license  from the Director  (of the Service).  It is required  that applications  
for license  renewals  be received  by the issuing  office  at least 30 days before  the current  
license  expires.  
 
A holder  of an Import/Export  License  may also apply  for a Designated  Port Exception  
Permit  (Title 50  CFR 14.31  to 14.33)  to facilitate  wildlife trade through  a port not designated  
as a wildlife  port, for scientific  purposes,  to minimize  deterioration  or loss and for economic  
hardship.  
 
(b) No. 
 
(c) No. G/LIC/N/3/USA/15  
 
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(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 licenses.  
 
8. Applications must meet the provisions  of 50 CFR 13.11  and 13.12.   Under  50 CFR 13.21(b)  a 
license  may be refused  if: 
 
(1)  the applicant  has been assessed  a civil penalty,  has been convicted  of any civil or 
criminal  provision  of any statute  or regulation  relating  to the activity  for which  the 
application  is filed, if such assessment  or conviction  evidences  a lack of responsibility;  
(2)   the applicant  has failed  to disclose  material  information  required, or has false statements  
as to any material  fact, in connection  with his application;  
(3)   the applicant  has failed  to demonstrate  a valid justification  for the permit  and a 
showing  of responsibility;  
(4)   the authorization  requested  potentially  threatens  a wildlife  or plant population;  or 
(5)   the Director  finds through  further  inquiry  or investigation,  or otherwise,  that the 
applicant  is not qualified.  
 
An applicant  must be notified  in writing  if the application  is denied  and given  reasons  for the 
denial.  If authorized  in the notice  of denial,  the applicant  may submit  further  information,  or 
reasons  why the license  should  be granted.  The final action  by the Director  is considered  the final 
administrative  decision  of the Department  of the Interior.  
 
Eligibility of importers to apply for license  
9. All persons,  firms,  and institutions  are eligible  to apply  for a license  (unless  they have failed  to 
meet issuance  criteria  as established  in 50 CFR 13). The Privacy  Act prohibits  published  lists of 
importers  or exporters.  
 
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,  last four numbers of 
the social security number,  occupation,  and business  or institutional  affiliation, if any,  
having  to do with the wildlife  to be covered  by the license ; 
(3) if the applicant  is a corporation,  firm, partnership,  institution,  or agency,  either  private  
or public,  the name  and address  of the president,  all partners  and principal  officers,  
the tax identification  number,  and a brief description  of the business,  agency,  Tribe,  or 
institution;  
(4) certification  in the following  language:  
"I hereby  certify  that I have read and am familiar  with the regulations  contained  
in Title 50, Part 13, of the Code of Federal  Regulations  and the other  applicable  
parts in Sub-chapter  B of Chapter  I of Title 50, and I further  certify  that the information  
submitted  in this application  for a permit  is complete  and accurate  to the best of my 
knowledge  and belief.  I understand  that any false statement  herein  may subject  me 
to the suspension  or revocation  of this permit  and to the criminal  penalties  of 
18 U.S.C.  1001";  
(5) date;  
(6) signature  of the applicant;  
(7) a statement  of where  books  or records  concerning  wildlife  imports  or exports  will be kept, 
including  contact  information;  
(8) a statement  of where  inventories  of wildlife  will be stored,  including  contact  information;  
(9) a general  description  of the wildlife  or wildlife  products  to be imported  or exported  
(including  whether  the wildlife  is live, dead,  or a product),  the class of wildlife  to 
be imported  or exported,  such as "mammal"  or "reptile"  and whether  the wildlife  is 
venomous;  and G/LIC/N/3/USA/15  
 
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  (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  license  is only permission  to engage  in business  as an importer  or exporter  of 
wildlife.  Such a license  is in addition  to, and does not supersede, any other requirement  established  
by law for the importation  or exportation  of wildlife.  
 
12. The license fee is US$ 100.00.  
 
13. Applications  must be accompanied  by the license  fee. 
 
Conditions of licensing  
14. License s are valid for one year. The licensee  must apply  for renewal  to the issuing  office  at 
least 30 days before  the current  license  expires.  
 
15. If a licensee  discontinues  engaging  in business  as an importer  or exporter  of wildlife,  the 
licensee  must within  30 days mail the license  and a request  for cancellation  to the issuing  officer.  
 
16. License s are not transferable  between  importers.  Agents  under  the direct  control  of, employed  
by, or under  contract  to the licensee  may carry out the activities  authorized  by the license . 
 
17. (a)  A license  may be amended  with restrictions  on the wildlife  trade that may be conducted,  
including  species,  number  of specimens,  and intended  uses, in cases  where  the applicant  
has previously  violated  wildlife  trade regulations  or otherwise  fails to meet the criteria  for 
applicants  described  in 50 CFR § 13.21  
 
(b) In addition  to the general  conditions  found  in 50 CFR Part 13, under  50 CFR 14.93(b)  
licensees  are subject  to the following  special  conditions  
 
(i) the licensee  shall,  from the effective  date of the license , keep such records  as will fully 
and correctly  disclose  each importation  or exportation  of wildlife  made  by the licensee  
and the subsequent  disposition  made  by the licensee  with respect  to such wildlife.  The 
records  must include  a general  description  of the form of the wildlife,  such as "live",  
"raw hides",  or "fur garments";  the quantity  of wildlife,  in numbers,  weight,  or other 
appropriate  measure;  the common  and scientific  names;  the country  or place of 
origin  of the wildlife,  if known;  the date and place of import  or export;  the date of 
the subsequent  disposition  of the wildlife;  the manner  of disposition,  whether  by 
sale, barter,  consignment,  loan, delivery,  destruction,  or other means;  and the name  
and address  of the person  who received  the wildlife  pursuant  to such disposition,  if 
applicable;  
 
(ii) licensees  shall include  and retain  in their records  copies  of all permits  required  by the 
laws and regulations of the United States and any country of export  or origin;  
 
(iii) licensees  shall maintain  such books and records  for a period  of five years;  
 
(iv) subject to applicable limitations of law, duly authorized Service officers at all reasonable 
times shall, upon notice, be afforded access to the licensee's places of business, an 
opportunity to examine the licensee's  inventory of imported  wildlife or the wildlife to be 
exported and the records required to be kept and an opportunity  to copy such records;  
 
(v) licensees shall, upon written request by the Director, submit within 30 days of such 
request a report containing the information required to be maintained in the records  of 
the licensee.  
 
Other procedural requirements  
18. A licensee  must comply  with the requirements  of 50 CFR Part 14 which  apply  to the 
importation,  exportation,  or transportation  of wildlife  generally.  Further,  a licensee  importing  or 
exporting  a particular  species  may have to comply  with other requirements  found  in 50 CFR G/LIC/N/3/USA/15  
 
- 19 - 
 
  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  notification  of imports  or 
exports  of live or perishable  wildlife.  
 
19. Not applicable.  
 
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 22 U.S.C.  2778),  and the 
National  Firearms  Act (NFA,  at 26 U.S.C.  Chapter  53). Under  the GCA, the United  States  
maintains  a system  of licenses  for persons  engaged  in the business  of manufacturing,  importing,  
or dealing  in firearms,  and for persons  engaged  in the business  of manufacturing  or importing  
ammunition.  ATF administers  GCA import  controls  along  with import  controls  established  by the 
AECA  (discussed  in the below  section,  V(A)2)  through  a system  of import  permits.  In addition,  
under  the NFA, ATF administers  a special  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) the frame  or receiver  of any such weapon;  (c) any firearm  muffler  or firearm  
silencer;  or (d) any destructive  device  (refer  to 18 U.S.C.  § 921(a)(4)  for the GCA definition  of a 
destructive  device  and to § 921(a)(24)  for the GCA definition  of a firearm  silencer).  The term 
"firearm"  does 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 18 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  articles;  ATF also maintains  an up-to-date listing  at its Firearms  and Explosives  Imports  
Branch  ((304)  616-4550).  
 
4. No. Generally,  the GCA licensing  system  prevents  the granting  of licenses  to persons  falling  
within  statutorily determined  prohibited  categories.  Except  as provided  in 18 U.S.C. §  925(d), it is  
generally  unlawful  for any  person  knowingly  to import any  firearm or ammunition.  Import permits  
may be granted  pursuant  to the exceptions  outlined  in 18 U.S.C.  § 925(d),  which  include  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 governments  in the United  States  may 
generally  import  firearms  and ammunition  that otherwise  would  be prohibited  from importation,  
such as nonsporting  firearms  and ammunition,  NFA firearms,  and surplus  military  firearms.  No 
alternative  methods  have been considered.  
 G/LIC/N/3/USA/15  
 
- 20 - 
 
  5. The GCA statute  and regulations  are in 18 U.S.C.,  Chapter  44 and  27 CFR Part 478,  
respectively.  Licensing  is statutorily  mandated  and cannot  be abolished  without  legislative  action.  
Likewise,  firearms  are defined  in the statute.  
 
Procedures  
6. Not applicable.  
 
7. (a) A Federal  Firearms  License  is issued  within  60 days after receipt  of a properly  completed  
application.  Any person  who wishes  to permanently  import  a firearm,  firearm  barrel,  or 
ammunition  into the United  States  must first file 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 single administrative organ (ATF).   
 
8. No additional  circumstances  apply.  The reasons  for any refusal  are given  to the applicant  in 
writing.  In the event  of refusal  to issue a license,  administrative  appeal  may be made  to the 
Director  of the ATF by requesting  a hearing,  further  to United  States  District  Court,  if desired,  by 
filing a petition  for review within  60 days of the denial  or revocation of  license.  Refer to  18 U.S.C.  
§ 923 for a detailed  description  of the process  
 
Eligibility of 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. Applications:  The ATF Form 7 is the application  for a Federal  firearms  license.  The ATF Forms  
6 and 6A are the import  application  and permit:  Application  and Permit  for Importation  of 
Firearms,  Ammunition  and Implements  of War (ATF Form 6, Part I); Release  and Receipt  of 
Imported  Firearms,  Ammunition  and Implements  of War (ATF Form 6A). 
 
11. Proof to United  States  Customs  and Border  Protection  of licensed  status  furnished  by the 
importer  or his agent.  Application  and Permit  for Importation  of Firearms,  Ammunition  and 
Implements  of War (ATF Form 6, Part I); Release  and Receipt  of Imported  Firearms,  Ammunition  
and 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.  
 G/LIC/N/3/USA/15  
 
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  Other procedural requirements  
18. No.  
 
19. Not applicable.  
 
5.1.2   Firearms, ammunition and defense articles  
Outline of system  
1. The United  States  maintains  a system  of registrations  and permits  to control  the permanent  
importation  of arms,  ammunition  and defense  articles.  The law and regulations  of these  imports  
are administered  by ATF pursuant  to the Gun Control  Act of 1968  (GCA,  at 18 U.S.C.  Chapter  44), 
the Arms Export  Control  Act of 1976 (AECA,  at 22 U.S.C.  2778),  and the National  Firearms  Act 
(NFA,  at 26 U.S.C.  Chapter  53). The Department  of State  maintains  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 regulat e 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.  
   
Procedures  
6. Not applicable.  
 
7. (a) A Federal  Firearms  License  is issued  within  60 days after receipt  of a properly  completed  
application.  Any person  who wishes  to permanently  import  a 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 applications is effected by a single administrative organ (ATF).  
 
8. No  additional  circumstances  apply.  The reasons  for refusal  are provided  to the applicant. In  the 
event  of refusal  to issue a 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  request  for an opportunity  to present  additional  information  
and to have a full case review  by the appropriate  ATF officer.  
 
Eligibility of importers to apply for license  
9. All persons, firms , and institutions are eligible to apply for licenses.  
 G/LIC/N/3/USA/15  
 
- 22 - 
 
  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). 
 
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 years:  US$ 1,000  
 
13. No.  
 
Conditions of licensing  
14. Registration: one to five years.  Permit: two  years  from date of issue or until the quantity  
approved  for import  is brought  in, whichever  comes  first. 
 
15.-17.  No.  
 
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.  Background  checks  are 
conducted  to ensure  that anyone  who possesses  explosives  is not otherwise  prohibited  by law.  
 
Purposes and coverage of licensing  
2. Explosive  materials are explosives,  blasting agents,  and detonators.  Permits  are required of all 
users.  Licenses  are required  as stated  in reply to question  1. 
 
3. All countries.  
 
4. No. Purposes  are to protect  against  the misuse  and unsafe  storage  of explosive  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.  
 G/LIC/N/3/USA/15  
 
- 23 - 
 
  7. (a) An application for a license or permit must be approved or denied within 90 days after 
receipt.  Usual turn -around time from receipt of application to issuance of license or permit 
is 90 days. This timing is due to the statutory requirement that ATF perform in -person 
inspections of the business premises and storage facilities of all new and renewing explosives 
license/permit applicants, as well as conduct a background check and interview before 
approving the application.  
 
(b) No. 
 
(c) No. 
 
(d) Yes, consideration of applications is effected by a single administrative organ (ATF).  
 
8. No additional  circumstances  apply.  An application  is granted  provided  the applicant  provides  the 
necessary  information  and meets  the necessary  requirements,  which  include  an in-person  
interview  and facility  inspection.  The reasons  for any refusal  are provided  to the applicant  in 
writing.  In the event  of refusal  to issue or revocation  of a license,  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  Protec tion 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 year 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 conditions apply.  
 
Other procedural requirements  
18. No.  
 
19. Not applicable.  
 G/LIC/N/3/USA/15  
 
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  5.2  Drug Enforcement Administration  
5.2.1   Controlled substances and listed chemicals  
Outline of system  
1. The system  of import  permits,  declarations,  notices,  and quotas  is designed  to restrict  the 
importation  of controlled  substances  and listed  chemicals  to that quantity  necessary  to meet the 
medical,  scientific,  or other  legitimate  needs  of the United  States,  and to monitor  the handlers  of 
such substances.  The system  also establishes  a method  by which  the United  States  can meet its 
international  treaty  obligations  under  the 1961 UN Single  Convention  on Narcotic  Drugs,  the 1971 
UN Convention  on Psychotropic  Substances,  and the 1988 UN Convention  Against  the Illicit Traffic  
in Narcotic  Drugs  and Psychotropic  Substances.  
 
The Drug Enforcement  Administration  (DEA)  serves  as the United  States  competent  authority  for 
the regulatory  provisions  associated  with the above  three  international  conventions  and is 
responsible  for collecting  data and preparing  standard  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 any narcotic  controlled  substance  in Schedules  III, IV, or V or any 
non-narcotic  controlled  substance  in Schedule  III which  the Administrator  has specifically  
designated  by regulation  in Title 21, Code of Federal  Regulations,  Section  1312.30  or 
any non-narcotic  controlled  substance  in Schedule  IV or V which  is also listed  in 
Schedule  I or II of the Convention  on Psychotropic  Substances;  or 
 
(b) Submit  an import  declaration  for all non-narcotic  controlled  substances  in Schedules  III, 
IV, or V, excluding  those  described  in paragraph  (a) above.  (The list of basic classes  
of controlled  substances  covered  under  the authority  of the Controlled  Substances  
Act is listed  in Title 21, Code of Federal  Regulations,  Part 1308);  or 
 
(c) Notify  the Administrator  of the DEA not later than 15 days in advance  prior to importation  
of any listed  chemical  that meets  or exceeds  the threshold  quantities  set by regulation  
or is a listed  chemical  for which  no threshold  has been established.  Substances  defined  
as listed  chemicals  under  the authority of the Controlled  Substances  Act are contained  in 
Title 21, Code of Federal  Regulations,  Part 1310.  Advanced  notice  may be waived  under  
certain  circumstances  as outlined  in Title 21, Code of Federal  Regulations,  
Section  1313.12(c).  
 
(d) 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 
found  by the Attorney  General  to be inadequate;  (b) in any case in which  the Attorney  
General  finds that competition  among  domestic  manufacturers  is inadequate  and will 
not be rendered  adequate  by the registration  of additional  manufacturers;  or (c) in any 
case in which  the Attorney  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,  G/LIC/N/3/USA/15  
 
- 25 - 
 
  Section  1312.13  poses  additional  limitations  on the imports  of narcotic  raw materials.  In effect,  
the importation  of approved  narcotic  raw materials  (opium,  poppy  straw  and concentrate  of 
poppy  straw)  into the United  States  shall have as its source:  
 
 (a) Turke y, 
 (b) India, 
 (c) Spain,  
 (d) France,  
 (e) Poland,  
 (f) Hungary, and  
 (g) Austr alia. 
 
and, at least 80% of the narcotic raw material imported  into the  United  States  shall have  as its 
source  Turkey  and India.  Except  under  conditions  of 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  Substances  Act (effective  1 May 1971).  However,  
the current  system  is mandated  by United  States  law and, as far as controlled  substances  are 
concerned,  is based  upon two international  treaties  (The Single  Convention  on Narcotic  Drugs,  1961 
and the Convention  on Psych otropic  Substances,  1971).  
 
5.  In March  2006,  the United  States  Congress  amended  the Controlled  Substances  Act with passage  
of the Combat  Methamphetamine  Epidemic  Act of 2005 (CMEA).  The CMEA  required  the 
establishment  of a first-time assessment  of annual  need for the listed  chemicals  ephedrine,  
pseudoephedrine,  and 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 phenylpropanolamine  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 
Schedul e I and II controlled substances and the listed chemicals ephedrine, pseudoephedrine, 
and phenylpropanolamine are published in the Federal  Register on or about 1 May of the year 
prior to that to which the quota applies. No quota is established for Schedules I II, 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 re garding 
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. 
Decla rations and notices are submitted as advanced notification of import  only for monitoring 
purposes by the DEA.  G/LIC/N/3/USA/15  
 
- 26 - 
 
   
IV. Not applicable; individual determinations are made.  
 
V.-VI. Applications to import are reviewed upon receipt by the DEA.  
 
VII. The DEA considers  and reviews  for possible  approval,  all applications  for importation  of 
controlled  substances.  Copies  of import  permits  are provided  to United  States  Customs  
and Border  Protection  for monitoring  and certification  purposes.  
 
VIII. Not applicable.   
 
IX.-X. 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  administratively.  
 
(b-c)  Not applicable . 
 
(d) Yes.  The DEA.  
 
8. A registered  importer  can be refused  an importation  if the importer  cannot  demonstrate  the 
legitimate  need in the United  States,  in line with the above  criteria.  
 
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 latest  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.  
 G/LIC/N/3/USA/15  
 
- 27 - 
 
  15. Importation of a controlled  substance  or listed  chemical  which  is made  without  a valid permit,  
notice,  or declaration  is subject  to seizure  and civil  or criminal  penalties.  
 
16.-17. No.  
 
Other procedural requirements  
18. No.  
 
19. Not applicable.  
 
6  DEPARTMENT OF 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. Importers of distilled  spirits,  wine,  and malt beverages  for non-industrial  (beverage)  use are 
required  to have basic permits, issued  under  the Federal  Alcohol  Administration  Act (“FAA Act”), to 
engage  in their respective  businesses.  Similar  permit  requirements  exist for producers  (except  
brewers)  and wholesalers  of distilled  spirits,  wine,  and malt beverages  in the United  States.  The 
primary  purposes  of this requirement  are to protect  the consumer  by oversight  of labelling  and 
advertising,  to prevent  unfair  trade  practices  as required  by the FAA Act, and to enforce  all other  
Federal  laws relating  to spirits,  wine,  and malt beverages,  including  taxes.  Retailers  are not 
required  to obtain  basic permits  under  the FAA Act. 
 
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  Permit”).  
 
3. This permit  system  applies  to goods  imported  into the United  States.  
 
4. No. The  purpose of the  permit system is to  provide an enforcement mechanism  to ensure  that 
importers  comply  with all requirements  of Federal  law relating  to alcohol.  
 
5. The permit system  is a statutory  requirement  of the FAA Act, 27 U.S.C. 201 et  seq. 
(http://www.gpo.gov/fdsys/granule/USCODE -2011-title27/USCODE -2011-title27 -chap8 -subcha pI-  
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 ). Licensing  is a statutory  requirement  and may not be 
abolished  without  legislative  approval.  The designation  of products  requiring  a license  is not 
subject  to administrative  discretion.  
 
Procedures  
6. Not applicable.  
 
7. (a) Permits  are issued  usually  within  six to eight months  after an application  has been filed. 
Under  certain  circumstances,  a permit  can be obtained  within  a shorter  time frame.  Once 
issued,  the permit  remains  valid until annulled,  suspended  or revoked.  
 
(b) Under certain circum stances a permit can be obtained within a shorter time frame.  
 
(c) No. 
 
(d) Yes, the Alcohol and Tobacco Tax and Trade Bureau (TTB) is the sole agency that issues basic permits 
for the importation of alcohol beverages.    G/LIC/N/3/USA/15  
 
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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/g ranule/USCODE -2011-title27/USCODE -2011-title27 -chap8 -  
subchapI -sec204/content -detail.html ). The reasons  for any refusal  are given  to the applicant  in 
writing.  In the event  of refusal  to issue a permit,  administrative  appeals  may be made  to the 
Administrator  of TTB, and then to a Federal  court.     
 
Eligibility of Importers to Apply for License  
9. Any person,  firm, or institution  may apply  for a license.  Individuals  must be citizens  or legal 
residents  of the United  States;  firms or institutions  must be incorporated  in the United  States  and 
have the appropriate  tax ID with the IRS. There  are no registration  fees. TTB publishes  a list of 
authorized  importers  at http://www.ttb.gov/foia/frl.shtml . 
 
Documentation and Other Requirements for Application for License  
10. Refer to TTB Form 5100.24  (http://www.ttb.gov/forms/f510024.pdf ), along  with such 
supporting  documentation  as required.  
 
11. For TTB purposes,  a Certificate  of Age and Origin  (if issued  by country  of origin),  a 
Certification  for Natural  Wine (unless  an exemption  or alternative  certification  applies  pursuant  to 
27 CFR 27.140),  and a Certificate  of Label  Approval  (TTB Form 5100.31  
(http://www.ttb.gov/forms/f510031.pdf )). 
 
12. No. 
 
13. No. 
 
Conditions of Licensing  
14. Continuing,  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 ) A formula approval or laboratory sample analysis may also 
be required prior to applying for a Certificate of Label Approval (TTB Form 5100.51). Additionally,  
any entity  in the United  States  (including  importers)  that sells distilled  spirits,  wine,  or beer to a 
dealer for  resale  must register  as an alcohol  dealer  with TTB before  commencing  operations  for 
the first time. (See 26 U.S.C.  Chapter  51 (http://www.gpo.gov/fdsys/granule/USCODE -2011-
title26/USCODE -2011-title26 -subtitleE -chap51/content -detail.html ). 
 
19. Not applicable.  
 G/LIC/N/3/USA/15  
 
- 29 - 
 
  6.1.2   Distilled spirits or alcohol for industrial use (Including alcohol for fuel use)  
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.  
 
Purposes and Coverage of Licensing  
2. A p 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 
(https://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  action.  The designation  of produ cts requiring  a license  is not subject  
to administrative  discretion.  
 
Procedures  
6. Not applicable.  
 
7. (a) Registrations or operating  permits  under  the Internal  Revenue  Code are usually  issued  
within  six to eight months  after the application  has been filed. Under  certain  
circumstances,  a permit  can be obtained  within  a shorter  time period.  
 
(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 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. 
 G/LIC/N/3/USA/15  
 
- 30 - 
 
  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. 
 
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  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)  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. (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 ) 
 
Purposes and Coverage of Licensing  
2. As noted,  manufacturers  and importers  of tobacco  products  or processed  tobacco  and proprietors  
of export  warehouses  (bonded  internal  revenue  warehouses  for the storage  of 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.  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  products.  The processing  of tobacco  
includes,  but is not limited  to, stemming  (that is, removing  the stem from the tobacco  leaf), 
fermenting,  threshing,  cutting,  or flavouring  the tobacco,  or otherwise  combining  tobacco  with 
non-tobacco  ingredients.  It does not include  curing,  baling,  or packaging  activities.  Those  who 
farm or grow tobacco  or who handle  tobacco  solely  for sale, 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.  G/LIC/N/3/USA/15  
 
- 31 - 
 
   
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  
(https://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-title26 -subtitleE -
chap52 -subchapB -sec5712/content -detail.html ). There  is no discretion  for the executive  branch  to 
change  the products  (http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -2011-
title26 -subtitleE -chap52 -subchapB -sec5713/content -detail.html ) subject  to the permit  
requirements  or to abolish  the permit  system  without  legislative  approva l. 
 
Procedures  
6. Not applicable.  
 
7. (a) Permits are usually issued within six to eight months  after an application has been filed.   
 
(b) No. The Internal  Revenue  Code of 1986 at section  5712 (26 U.S.C.  5712)  sets forth the 
conditions  for determining  whether  a person  qualifies  for a permit,  and these  conditions  
cannot  be met with immediate  licensing.  
 
(c) No. 
 
(d) TTB has sole authority  to issue the permit  required  under  26 U.S.C.  5712 and 5713,  and 
therefore  the importer  does not have to approach  any other agency  in order  to meet the 
application  requirements  for the permit.    
 
8. There are no additional  circumstances  for denying  an application  for a permit  other  than what is 
stated  in 26 U.S.C.  5712 (http://www.gpo.gov/fdsys/granule/USCODE -2011-title26/USCODE -  
2011-title26 -subtitleE -chap52 -subchapB -sec5712/content -detail.html ). The reasons  for any 
refusal  are given to the applicant  in writing.  An applicant  may appeal  the denial  of a permit to the 
Administrator  of TTB, and then to a Federal  court.  
 
Eligibility of 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 
26 August  2013,  are valid for five years  from the effective  date shown  on the permit  and may be 
renewed  for an additional  five years  by making  application  within  30 days of expiration.  
 
15. No. 
 
16. Permits are not transferable to another person.  G/LIC/N/3/USA/15  
 
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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 
 
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 1974,  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 Defense.  
 
The nuclear  facilities  and radioactive  materials  subject  to NRC import  licensing  authority  include:  
production  and utilization  facilities,  special  nuclear  materials,  source  materials,  and by-product  
materials,  including  when  such materials  are contained  in radioactive  waste.  The definition  for 
each of these  terms  is provided  in 10 CFR § 110.2.  
 
These  items  may be imported  under  either  a general  NRC license  or a specific  NRC license.  A 
general  import  license  is effective  and does not require  filing an application  with NRC for review  or 
issuance  of a written  license  document  to a particular  person.  If the general  license  provisions  in 
10 CFR 110.27  do not authorize  an import,  then a specific  import  license  is required.  An 
application  must be filed with NRC for review,  and if approved,  a written  license  document  is 
issued  to a named  person,  authorizing  specific  transactions  to occur  within  a set time period.  
 
Most by-product,  source,  and/or  special  nuclear  materials  are authorized  for import  under  an NRC 
general  license  to the extent  the U.S. consignee  possesses  an appropriate  domestic  authorization  
required  for receipt,  use, or distribution  of the import.  Parties  utilizing  the NRC general  import  
license  in 10 CFR § 110.27  must comply  with applicable  domestic  regulations,  often administered  
by one or more U.S. federal  and/or  state government  agencies.  Depending  on the type and 
quantity  of material  involved,  importers  may be required  to provide  advance  notification  of 
shipment  to NRC and maintain  records  of the transactions  for a period  of three  to five years.  
 
Specific  NRC licenses  are required  for imports  of production  or utilization  facilities,  100 kilograms  
or more per shipment  of irradiated  nuclear  fuel, and any special  nuclear,  source  or by-product  
materials  in the form of radioactive  waste.  
 
On 1 July 2005,  NRC added  new specific  license  requirements  for imports  of certain  radioactive  
sealed  sources  and radionuclides  in bulk form to codify  certain  provisions  of the International  
Atomic  Energy  Agency  (IAEA)  Code of Conduct  on the Safety  and Security  of Radioactive  Sources  
(Code  of Conduct).  Appendix  P was added  to 10 CFR 110, which  lists the radioactive  materials  and 
establishes  Category  1 and 2 threshold  quantities,  requiring  a specific  NRC license  for import  into 
the United States  beginning  28 December 2005.  On 28 July 2010, the  NRC published  a final  rule in 
the Federal  Register  that, among  other  things,  amended  10 CFR Part 110 to allow imports  of 
                                                
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/15  
 
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  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.  
 
On 20 April 2006,  the NRC amended  its regulations  governing  the import  and export  of nuclear  
equipment  and material  to implement  the provisions  of the Energy  Policy  Act of 2005.  This 
amendment  revised  the definition  of by-product  material  to include  discrete  sources  of 
radium -226, accelerator -produced  radioactive material,  and discrete sources of naturally occurring  
radioactive  material.  The specific  import  licenses  required  for imports  of radium -226 that met the 
threshold  values  of the IAEA Code of Conduct  were eliminated  in 2010 (see 75  FR 44072).  
 
On 10 July 2014,  the NRC amended  its regulations  pertaining  to the export  and import  of nuclear  
materials  and equipment  to conform  United  States  export  controls  to the international  export  
control guidelines of  the Nuclear Suppliers Group  (NSG), of which the United States is a  participating  
government,  and to incorporate  by reference  the current  version  of the International  Atomic  
Energy Agency's (IAEA) document, “Nuclear Security Recommendations on Physical  Protection  of 
Nuclear  Material  and Nuclear  Facilities  (INFCIRC/225/Revision  5), January  2011.  
 
Purposes and coverage o f 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  requirements  is not to restrict  quantities  or values  of items  
imported; it  is to protect  public  health  and safety  and the environment,  and maintain  the common  
defense  and security  of the United  States,  by exercising  prudent  controls  over the possession,  use, 
distribution,  and transport  of such items.  
 
5. As mentioned  in reply 1, NRC regulations in 10  CFR Part 110 are issued  pursuant  to the Atomic  
Energy  Act of 1954,  as amended,  and the Energy  Reorganization  Act of 1974,  as amended.  In 
general,  the legislation  defines  the categories  of products  and facilities  that 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 quantities  or values  of items  imported  
under  NRC regulations;  however,  quantities  of material  imported  could  be restricted  by the U.S. 
consignee  domestic  possession  limit. 
 
7. (a)  There is no fixed period  for submitting  a specific  license  application  in advance  of importation,  
although  it must be reviewed  and a license  must be issued  before  the importation  
occurs.  The Commission  does have the authority  to grant  specific  exemptions  from the 
regulations  in 10 CFR Part 110 under  certain  conditions  (10 CFR § 110.10),  and this authority  
has been exercised  for example,  to grant  licenses  within  a short period  of time. 
(b) A specific  license  would  not be granted  immediately  upon request.  Applicants  should  
anticipate  allowing  from one to three  months  (or more)  from the date an application  is 
received  by NRC depending  on the specific  commodity  (e.g.,  a specific  license  for the 
import  of radioactive  waste  requires  several  months'  review).  NRC is required  to 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. Specific import licenses issued  have expiration dates,  G/LIC/N/3/USA/15  
 
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  and can be amended and/or renewed, as long as NRC receives  the request for such action  
before the expiration  date. Once a license expires, it cannot be amended or renewed  
 
(d) An NRC import  license authorizes the import  only and does not confer authority to receive  title 
to, ac quire,  receive,  possess,  deliver,  use or transfer  items  imported.  For certain  specific  
import  license  applications,  the NRC is required  to consult  with and/or  seek concurrences  
from other federal  agencies  (most  commonly  the Departments  of State  and Energy),  although  
final licensing  responsibility  remains  with the NRC. 
 
8. Applications that are deficient  are normally  withdrawn  or returned  without  action.  Although  
NRC has the authority  to deny,  revoke , or suspend  licenses,  it is rarely  exercised.  Reasons  for such 
actions  must be made  known  to an applicant/licensee  who would  have the right to appeal.  Avenues  
for applicants,  licensees,  and members  of the public  to appeal  NRC actions  are given  in Subparts  H, 
I, J and K of 10 CFR Part 110. 
 
Eligibility of importers to apply for a specific license  
9. To be eligible  to apply  for licenses,  all persons,  firms,  and institutions  must have a permanent  
(physical)  address  within  the United  States  where  papers  may be served  and where  records  
required  by the Commission  are maintained  and can be inspected  
 
Documentation and other requirements for application for 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  additional  information,  if necessary,  to conduct  the licensing  review  
required  by the applicable  statutes.  
 
11. the materials  listed  in Appendix  P to 10 CFR Part 110, licensees  must submit  import  
notifications  at least seven  days in advance  of each shipment  and include  the information  listed  
in 10 CFR § 110.50(c).  In addition,  import  forms  customarily  required  by other  U.S. government  
agencies  are also necessary  for all items  imported  under  NRC requirements  (e.g.,  Customs  and 
Border  Protection  and Department  of Commerce  documents).  There  may also be other  reporting  
and advance notification  requirements  for certain  transfers  of nuclear  material  that are established  
by domestic  possession  licenses,  not import  licenses.  
 
12. - 13.  Because the Consolidated Appropriations Act of  2018 currently excludes NRC international 
activities from the fee -recoverable budget in fiscal year 2018, import licensing actions will no longer 
be charged fees as of 24 August 2018.   
 
Conditions of licensing  
14. specific  import  license  is usually  valid for a period  of three  to five years  from the date of 
issuance  but could  be longer  if the applicant  so requests  and the NRC agrees.  
 
15. There is no penalty  for not using a specific  NRC import  license  (i.e., if the items  authorized  for 
import  are not imported);  however, violations of any of the terms and conditions  of an NRC import  
license  are subject  to enforcement  including  imposition  of civil or criminal  penalties.  
 
16. A specific  license  may be transferred  or assigned  to another  person  only with the approval  of 
the Commission.  
 
17. Special conditions  may be added  to specific  licenses  if necessary  to underscore  unique,  new or 
revised  domestic  requirements,  for example,  affecting  transportation  arrangements,  security  
measures  and timing  of advance  notifications.  
 
Other procedural requirements  
18. Since many  materials  authorized  for import  under  specific  or general  NRC licenses  are 
considered  hazardous  and/or  strategically  significant,  additional  arrangements  may be necessary  
in conjunction  with their transportation.  These  arrangements  may involve  physical  protection  
measures,  special  handling  procedures  for health  and safety  purposes,  or advance  notice  of G/LIC/N/3/USA/15  
 
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  pending  receipt  and thus would  not be included  as special  import  license  conditions.  Such 
requirements  normally  apply  to U.S. parties  who transfer  or receive  specific  types  of materials,  
and are not related  to whether  the shipment  originates  from a domestic  or a foreign  source.  
 
19. Not applicable.  
 
__________