WORLD TRADE  
ORGANIZATION  G/LIC/N/3/USA/6 
14 October 2009 
 (09-5034) 
Committee on Import Licensing Original:   English 
  
 
REPLIES TO QUESTIONNAIRE ON IMPORT LICENSING PROCEDURES
1 
 
Notification under Article 7.3 of the Agreement on Import Licensing Procedures  
 
UNITED STATES 
 
 
 The following communication, dated 29 September 2009, is being circulated at the request of 
the delegation of the United States.   
_______________ 
 
                                                     
 
1 See G/LIC/3, Annex, for the Questionnaire. G/LIC/N/3/USA/6 
Page 2  
 
  TABLE OF CONTENTS 
 
I.
 DEPARTMENT OF AGRICULTURE...................................................................................3  
1. Plants and plant products ...................................................................................................... ..3 
2. Animals and animal products ..................................................................................................4  
3. Sugar .......................................................................................................................... ................6  
4. Certain dairy products ......................................................................................................... ..10 
II. DEPARTMENT OF COMMERCE......................................................................................14  
A. INTERNATIONAL TRADE ADMINISTRATION ..............................................................................14  
1. Steel .......................................................................................................................... ................14  
2. Cement ......................................................................................................................... ............16  
III. DEPARTMENT OF ENERGY .............................................................................................16  
1. Natural gas.................................................................................................................... ...........16  
IV. DEPARTMENT OF INTERIOR ..........................................................................................18  
A. US FISH AND WILDLIFE SERVICE ..............................................................................................18  
1. Fish and wildlife (including endangered species).................................................................18  
V. DEPARTMENT OF JUSTICE..............................................................................................23  
A. BUREAU OF ALCOHOL , TOBACCO , FIREARMS AND EXPLOSIVES ..............................................23  
1. Firearms and ammunition .....................................................................................................23  
B. BUREAU OF ALCOHOL , TOBACCO , FIREARMS AND EXPLOSIVES ..............................................24  
1. Firearms, ammunition and implements of war....................................................................24  
2. Explosives ..................................................................................................................... ...........26  
C. DRUG ENFORCEMENT ADMINISTRATION ..................................................................................27  
1. Controlled substances a nd listed chemicals..........................................................................27  
VI. DEPARTMENT OF TREASURY.........................................................................................31  
A. ALCOHOL AND TOBACCO TAX AND TRADE BUREAU ...............................................................31  
1. Distilled spirits (beverages); wi ne and malt beverages........................................................31  
2. Distilled spirits or alcohol for industrial use (Including alcohol for fuel use) ...................33  
3. Tobacco Products............................................................................................................... .....35  
B. NUCLEAR REGULATORY COMMISSION .....................................................................................37  
1. Nuclear facilities and materials .............................................................................................37  
 
 
   G/LIC/N/3/USA/6 
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  I. DEPARTMENT OF AGRICULTURE 
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 e ndangered 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 ma nufactured 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 Endange red Species Act, which implements provisions of 
the Convention on International Trade in Endanger ed 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 o ffice, U.S. Department of Agriculture, Permit 
Section, Unit 136, 4700 River Road, Riverdale, Ma ryland 20782-1236.  Most applications are not 
passed on to other offices for visas, note or approva l, 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 grow n in post-entry quarantine. 
 8.  There are no circumstances ot her than failure to meet standa rd criteria under which a permit 
may be refused.  Reasons for refusal are given to th e applicant.  No appeal procedures are specified in 
the legislation. 
 G/LIC/N/3/USA/6 
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  Eligibility of importers to apply for license
 
 9. All persons, firms and instituti ons resident in the United States are eligible to apply for 
licenses.  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. 
 
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 mate rial), and PPQ 621 for endangered plants.  Plants 
and plant products in transit through the United St ates 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 ch arge for permits other than the US$70.00 fee per 
permit for commercial trade in endangered plants.  13. No deposit or advance paym ent 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. 
 
2. Animals and animal products 
Outline of system
 
 
1. Import permits are required for the importa tion 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/6 
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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 for Canada and Mexico) with some variation resulting from the species and country of origin's disease status.  Permits for products apply to all countries depe nding 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 en try of animal diseases or disease vectors.  
 5. The permit system is not a statutory require ment 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 re quest.  Prior review of the application is 
required. 
 
(c) There are no limitations as to the period of the year during which permit applications may be 
made. 
 (d) Permit applications are effected by one office.  The application is not passed on to other 
offices for visa, note or approval, and the importe r does not have to approach more than one 
administrative office. 
 8. In general, there are no circumstances other th an 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 coul d be a cause to revoke a permit which was issued 
prior to the disease outbreak;  for example, African Horse Sickness in Spain, Hog Cholera in Europe 
and Bovine Spongiform Encephalopa thy (BSE) in Europe.  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.  G/LIC/N/3/USA/6 
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  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 s hould also accompany animal products and organism 
and vector shipments, and shipments of veterinary biological products.  
12. There are import-related user fees associate d with permit application review, inspections 
required for imports, testing and quarantines.  F acilities 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 a nd organisms and vectors vary in length of their validity, but are 
generally for about one year.  Permits for live an imals 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 th at the information on the application is accurate. 
 
Other procedural requirements
 
 18. There are no other administrative procedures required prior to importation.  19. Not applicable. 
 
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 fis cal year the quantity of sugars a nd syrups that may be entered at 
the lower tariff rates of tariff-rate quotas.  The tari ff-rate quotas cover sugars a nd syrups described in 
HTS subheadings 1701.11, 1701.12, 1701.91, 1701. 99, 1702.90 and 2106.90.  This authority was 
proclaimed to implement the results of the Ur uguay 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  G/LIC/N/3/USA/6 
 Page 7 
 
 
  States Trade Representative (USTR) currently allocates this quantity among countries based on a 
representative base period of U.S. sugar imports  during 1975-81.  The quantities allocated to 
beneficiary countries under the Generalized Syst em of Preferences (GSP), the Caribbean Basin 
Initiative (CBI), and Andean Trade Promotion and Drug Eradication Act receive duty-free treatment.  
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 progra m 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 TR Q are described in HTS 1701.11.10, 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 
sugar 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 ra w sugars under HTS 1701.11.20 to be further processed 
and:  (1) re-exported in refined fo rm, (2) re-exported in refined form in sugar-containing products, or 
(3) used for the production, other than by distilla tion, of polyhydric alcohol except that used as a 
substitute for sugar in human food.  
 
3. The CQE system applies to those countries 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 Suga r 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 exporte rs access to the U.S. domestic market at the 
low-tier tariff.  The purpose of the certificate for spec ialty sugar is to allow entry of certain refined 
sugars not widely available in the United States, wh ich are used in niche mark ets, such as the ethnic, 
organic and gourmet markets.  Licenses for quota-ex empt sugar are intended to increase the utilization 
of excess domestic refining capacity and improve em ployment 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 this Web link:    http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c= ecfr&sid=9d39787cfa54771dd8 b68343a6090 606&rgn=
div5&view=text&node=15:3.2.1.7.10&idno=15 .   The regulations governing licenses for the 
importation of sugar exempt from quota are under 7 CFR 1530.  The regulation may be found at this 
Web link: http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr& tpl=/ecfrbrowse/Title07/7cfr1530_main
_02.tpl . Authority exists to suspend each of these syst ems 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 th e 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 TR Q quantities, the issuance of CQE’s, and the 
formalities for filing import license applications. 
 
II. The sugar TRQ for raw and refined sugar (inc luding 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 Secretar y of Agriculture to countries to coincide with 
the applicable TRQ year.  Certificates for im porting specialty sugars are likewise issued to G/LIC/N/3/USA/6 
Page 8  
 
  importers to coincide with the TRQ year.  Licen ses 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 th e 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, w ho make application each year and provide 
sufficient evidence that the sugar they intend to import fits the definition of specialty sugar.  
The certificate is presented to the appropriat e 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 Agricu lture administers the licensing and certificate 
systems. 
 
VIII. The certifying authority designated by the par ticipating country issues CQE’s 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 cer tificates 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 
guarantee entry at the low-tier rate if the specia lty 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 li mit established for the raw sugar TRQ or the 
requirements of CQE’s, as long as they export an equivalent quantity of refined sugar or 
transfer the sugar to a manufact urer licensed to use the sugar in products for export or to 
manufacture polyhydric alcohol. 
 
7. Not applicable.  8. There are no provisions for refusing to issue CQE’s, specialty sugar certificates, or licenses 
for importing quota-exempt sugar other than failure to meet the ordinary criteria.  A list of companies 
issued licenses is published on the FAS Web 
site: http://www.fas.usda.gov/sugars/FASSugarsLicensees.aspx
.  
 Eligibility of importers to apply for license
 
 9. All importers are eligible to apply for certif icates for specialty sugars.  Only United States 
refiners and United States manufacturers of polyh ydric alcohol can apply for licenses to import 
quota-exempt sugar.  There is no pub lished list of authorized importers. 
  G/LIC/N/3/USA/6 
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  Documentation and other 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 en tered;  (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; e xpected 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 desc ription of the specialty sugar(s) expected to be 
imported during the period of the certificate, incl uding the manufacturers' or exporters' usual trade 
name or designation and use of such specialty suga r;  (5) sufficient eviden ce that it is a specialty 
sugar(s); (6) anticipated consumers (i f known) at time of app lication;  and (7) anticipated date of entry 
(if known). 
 
 Persons wishing to apply for licenses to im port 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 reco rds; and (3) the address(es) of the applicant’s 
processing plant(s).  In the case of refined sugar re-e xports, the applicant must provide the polarity of 
the product including the formula for calculating the re fined sugar in the product.  All applicants must 
enter into a documentation agreem ent with the Licensing Authority. 
  11. TRQ sugar entered from countries that participate in the certificate system must be accompanied by a CQE which has been signed by the cer tifying authority in the country of origin and 
affixed with a seal or form of authentication. 
 
 A certificate issued from the Department of  Agriculture authorizing the importation of 
specialty sugar(s) must be presented to the appropr iate 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 produc tion of polyhydric alcohol into the U.S. Customs 
and Border Protection computer system, which auto matically accepts or rejects each attempt to enter 
raw sugar on the license.    12. No.  
13. A licensee operating under the Refined Suga r 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 s ugar, 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 cr edit 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 corres ponding sugar in an amount sufficient to offset the 
charge to the license for that corresponding sugar, pa yment 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 Ex change) in effect on the last market day before 
the date of entry of the sugar or the last market  day before the end of th e period during which export 
or use was required, whichever difference is great er.   The difference shall be multiplied by the 
quantity of refined sugar, converted to raw value that should have been exported in compliance with 
this part.  G/LIC/N/3/USA/6 
Page 10  
 
   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 CQE’s 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 requirements
 
 18. No other procedures are required.  
19. Not applicable. 
 
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 (U.S .C. 624); proclaimed 
tariff-rate quotas (TRQs) for such articles pursuant to P.L. 103-465; 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 da iry commodities as defined in the Additional 
U.S. notes to Chapter 4 of the HTS:  butter and fresh or sour cream containing over 45 per cent by 
weight of butterfat (note 6);  dried skim milk (not e 7);  dried whole milk (note 8);  dried buttermilk 
and whey (note 12);  butter substitutes (note 14);  other cheese, NSPF (note 16);  blue-mold cheese 
(note 17);  Cheddar cheese (note 18);  American cheese other than Cheddar (note 19);  Edam and Gouda cheese (note 20);  Italian-type cheese (note 21);  Gruyere-process cheese (note 22);  low-fat 
cheese (note 23);  and Swiss/Emmenthaler cheese (note 25). 
 
3. The licensing system applies to dairy products coming from all supplying countries.  4. The licensing system is an administrative tool which governs the importation of certain dairy products which are subject to TRQs resulting from entr y into force of the Uruguay Round Agreement.  
Under the TRQ system, the in-quota quantity of impor ts 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  G/LIC/N/3/USA/6 
 Page 11 
 
 
  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 li censing 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, licensi ng 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 appli cations, eligibility criteria, license use 
requirements and other provisions of the regula tion are codified in 7 CFR 6.20-6.37.  The 
application forms, which are readily availa ble from the Department, provide complete 
information on the TRQs and allocations by s upplying 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 a nd 2 May 1995, notices were published in the 
Federal Register amending the Import Regula tion to implement those U.S. Uruguay Round 
commitments for 1995.  The Department publis hed 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-ba sed application procedures and to modify 
Additional U.S. Notes 2, 16, 17, 18, 19, 20, 21, 22, 23, and 25 to Chapter 4 of the Harmonized Tariff Schedule of the United States (HTS) to re flect the effects of the enlargement of the 
European Union (EU) to 25 countries on 1 May 2004.       
 II. License applications must be submitted annuall y during the application period specified in the 
Import Regulation.  Licenses are issued on 1 January of each year and are valid for 12 months.   
 
III. Licenses are allocated to importers of dairy products regardless of whether they are producers 
of like products.  Unused allocations may not be added to the allocation of the succeeding year.  The Import Regulation requires that licen sees must utilize a specified percentage of 
licenses issued and must voluntarily surrender unused amounts which are then reallocated to 
other eligible licensees through an application pr ocess.  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/itp/imports/usdairy.asp.
 
 IV. When a new quota for a dairy product is announced , the applicants have at least 30 days after 
the announcement of application procedures to submit applications and supporting 
documentation. 
 
V. Applications are processed to determine if th e eligibility criteria in the Import Regulations are 
met.  In general, over 500 applications are re viewed and the application process is completed 
within five weeks. 
 
VI. Licenses are issued for use beginning 1 January and generally issued in the last two weeks of 
December. 
 G/LIC/N/3/USA/6 
Page 12  
 
  VII. 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. 
 VIII. Licenses are issued to: 
 
- historical licensees each year for the same volume of imports from the same supplying 
countries provided applications are submitted,  and the eligibility criteria, license use 
provisions, and other requirements of the Import Regulation are met; 
 
- designated licenses are issued annually for certa in cheese articles to eligible applicants who 
are designated by the government of the count ry of origin as preferred importers.  Any 
quantities available for designation which are not designated will be transferred to the 
non-historical (lottery) license pool; 
 
- non-historical (lottery) licenses are issued annually through a random lottery system.  
Licenses received for a specific cheese or non-ch eese dairy product are not renewable in the 
following year.  Eligible applicants  may apply annually for a license. 
 IX. Export permits from foreign countries are not required.  
X. Same as above. 
 XI. Pursuant to General Note 15 of the HTS, in-quota quantities of TRQ imports may be imported 
which will not enter the commerce of the Unite d States which are imported as samples for 
taking orders, for exhibition, display or samp ling at a trade fair, for research, for use by 
embassies of foreign governments or for testing of equipment, provided
 that written approval 
of the Secretary of Agriculture or his designa ted representative is presented at the time of 
entry.  The Licensing Authority issues ex-quota permits for these entries after careful review 
of applications and documentation as requested. 
 7. At the over-TRQ rates, no dairy import licenses are required and there are no limitations 
regarding quantity. 
 8. The circumstances under which an application fo r a license may be refused other than failure 
to meet the ordinary criteria is failure to comp lete the application form and submit the full 
documentation requested within the application dead line period.  Reasons for refusal to accept an 
application may be given to appli cants 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 Septem ber-31 August), and for manufacturers the specified 
level of dairy production in a previous 12-month peri od.  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.  Historical license eligibility is established primarily on the basis 
of proof of importation of the item, for which application for license is made, during a specified representative period.   G/LIC/N/3/USA/6 
 Page 13 
 
 
  Documentation and other requirements for application for license  
 10. The information required in a pplications is set forth in the Dairy Tariff-Rate Quota Import 
Licensing Regulation.  FAS 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. 
 
 Previously, section 6.36(b) required all submissi ons of application be made by registered or 
certified mail, return receipt requested, with a postmarked receipt.  The Dairy Import Licensing Authority implemented a software program to pe rmit applications for dairy import licenses to be 
submitted electronically over the internet.  Therefore,  the regulation is amende d in various sections to 
permit applications to be submitted over the internet, or by mail.    11. At the time of the actual importation, a license number and control number, which 
corresponds to the importer’s IRS number, a through bill of lading and an invoice must be presented 
to the Port Director of Customs and Border  Protection at the port where entry is made. 
 12-13. As of 1 January 1986, a fee has been charged for or associated with th e issuance of licenses.   
For 2009, a fee of US$ 150.00 is charged.  14. Licenses are valid from 1 January through 31 December.  License validit y cannot be extended 
into the next quota year.   
 15. Licensees who anticipate not meeting the 85 pe r cent utilization requirement may voluntarily 
surrender unused amounts by 1 October or that li cense will be cancelled the following year.  For 
historical licenses, less than 85 percent utilization w ill result in permanent loss of that license, the 
resulting TRQ quantity being moved to the lottery pool. License quantities, which are surrendered, are 
reissued to other licensees who apply for unu sed license shares following an announcement by the 
Licensing Authority.  Such licenses are issued thro ugh a random lottery process.  Historical license 
TRQ quantities can also be reduced if the licensee surrenders his import license for three consecutive 
years.    
16. Licenses are not transferable between importers. 
 17. No other conditions are attach ed to the issuance of a license. 
 Other procedural requirements
 
 
18. All food imports are subject to the requiremen ts of the Food, Drug and Cosmetic Act and the 
Fair Packaging and Labelling Act, including sanitatio n and labelling requirement s, 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 cer tain dairy products is regulated by both FDA 
and the Animal and Plant Health Inspection Serv ice (APHIS).  Importers should contact FDA in 
regard to FDA requirements and APHIS in regard to APHIS requirements. 
 19. Not applicable.  G/LIC/N/3/USA/6 
Page 14  
 
  II. DEPARTMENT OF COMMERCE 
A. I
NTERNATIONAL TRADE ADMINISTRATION  
1. Steel 
Outline of Systems  
 
1. The original US steel licensing program was es tablished on 31 December 2002, as part of the 
section 201 safeguard action on certain steel prod ucts.  On 11 March 2005, the Department of 
Commerce issued an interim final rule continui ng 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 pub lished a final rule that made final an interim 
final rule that expanded and exte nded the Steel Import Monitoring and Analysis (SIMA) system until 
21 March 2009.  Although there were no changes fro m the interim final rule, this document provides 
details about the current SIMA system as detailed in  the final rule.  Prior to the expiration of the 
authority, a new preliminary rule (73 FR 75624) and final rule (74 FR 11474) were published. On 
18 March 2009, the authority to continue the licensing system was extended until 21 March 2013, 
following the publication of the preliminary rule and final rule. No other changes were made. 
 Purposes and Coverage of Licensing
 
2. The steel import licensing program covers a ll basic steel mill products.  Certain downstream 
steel products previously covered by the system, pi pe fittings and flanges, have been removed from 
the system and the licensing requirements.  In to tal there are 750 products covered, each identified by 
HTS number; the full list is available on http://ia.ita.doc.gov/steel/license  (Please note there were 
official harmonized tariff system code changes in January 2006, January 2007, February 2007, July 
2007, January 2008, July 2008, January 2009 and July 2009).  
3. The steel licensing system applies to goods originating in and coming from all countries. 
 4. This licensing is not intended to restrict the quantity or value of imports.  It is designed to 
provide fast and reliable statistical informati on on steel imports to both the government and the 
public.   
5. The final rule extending the system until 21 March 2013 was published on 18 March, 2009, in 
the Federal Register (74 FR 11474).  A copy is  also available on the steel licensing website, 
http://ia/ita/doc.gov/steel/license
. 
 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 en try summary documents, or in the case of FTZ 
entries, the filing of Customs and Border Protec tion (CBP) From 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.  G/LIC/N/3/USA/6 
 Page 15 
 
 
  (d) No. 
 8. Applicants are not refused steel license numbers.  Eligibility of Importers to Apply for Licence
 
9.(a) Not applicable. 
 (b) No.  Only registered users ar e permitted to file steel licenses.  
  The registration form is available on the steel import licensing website: 
http://ia.ita.doc.gov/steel/license
. The registrant fills in the requested demographic information and 
sends it to the steel license team electronically.  Th e team issues the registrant a unique user id to 
access the license module.  There is no registration fee, and licenses are free.  Information of 
registered users is kept confidential.   
Documentation and Other Requirements for Application for License
 
10. The license filer submits demographic inform ation from the registration, and entry specific 
information detailing 10-digit Harmonized Tariff Sc hedule (HTS) number, volume in kilograms and 
value in US dollars for each product imported. 
 
11. The 9-digit steel license number is required as part of the Entry Summary for goods brought 
into the US for consumption.   
 12. There is no licensing fee. 
 
13. There is no deposit or advance payment require ment 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 Customs and Border Protection (CBP) Form 214.  The license is valid for 75 days, but may be used only once. 
 
15. No. 
 16.  No, licenses are not transferable between importers; they are unique for each entry. 
 
17. (a) No. 
 (b) No.  Other Procedural Requirements
 
18. No. 
 
19. Not applicable. 
 G/LIC/N/3/USA/6 
Page 16  
 
  2. Cement 
1. This licensing system terminated in 2009.  Th e system was put into place in connection with 
the Agreement Between the Office of the United St ates Trade Representative and the Department of 
Commerce of the United States of America and the Ministry of Economy of the United Mexican States (Secretaría de Economía) on Trade in Ceme nt (U.S.-Mexico Cement Agreement), signed 
6 March 2006.  The licensing system took effect on 5 April 2007 and was in place for the duration of 
the U.S.-Mexico Cement Agreement, which e xpired on 31 March 2009.  Licenses are no longer 
required.  
III. DEPARTMENT OF ENERGY 
1. Natural gas 
Outline of system
 
 1. Imports of natural gas, whether by pipeline or as liquefied natural gas (LNG), are regulated 
under Section 3 of the Natural Gas Act (NGA) (15 U.S.C. 717b), which provides that "no person 
shall ... import any natural gas from a foreign co untry without first having secured an order ... 
authorizing it to do so".  Section 3 also provid es that such orders shall be issued unless, after 
opportunity for hearing, it is found that the proposed  importation will not be c onsistent with the public 
interest.  Authority over imports of natural gas rest s with the Secretary of Energy.  The Secretary has 
delegated the authority to "authorize" the import to  the Assistant Secretary of Fossil Energy (FE) 
(Delegation Orders Nos. 0204-111 (49 FR 6690, 22 February 1984) and 0204-127 (54 FR 11436, 
20 March 1989)). 
 
In addition, the Secretary has delegated authority to the Federal Energy Regulatory 
Commission (FERC) to regulate the imported natural gas within the domestic gas system (Delegation 
Order No. 0204-112 (49 FR 6690, 22 February 1984)).  FERC responsib ility includes the functions of 
approval or disapproval of the constr uction and operation of particular facilities, the site at which such 
facilities shall be located, and, with respect to natural gas that involves the construction of new 
domestic facilities, the place of entry.  
On 24 October 1992, the Energy Policy Act of 1992 (EPACT) was enacted.  Section 201 of 
EPACT amends Section 3 of the NGA by eliminati ng the Department of Energy's (DOE) need to 
make a public interest finding for natural gas imports  from "a nation with which there is in effect a 
free trade agreement requiring national treatment for tr ade in natural gas", and for imports of liquefied 
natural gas (LNG).  Therefore, natural gas (and LNG) imports between the United States and other 
countries with which the United States has a free tr ade agreement, LNG imports from other countries, 
are "deemed to be consistent with the public inter est, and applications for such importation shall be 
granted without modification or delay". 
 
Currently, virtually all natural gas import a pplications filed with DOE are reviewed under 
EPACT standards.  DOE is not required to evaluate  these applications to determine whether they are 
"in the public interest".  Because DOE's discreti onary authority has been eliminated by EPACT in 
these cases, there is no longer a need to initiate pub lic proceedings or to solicit public comments and 
the National Environmental Policy Act does not appl y.  Rather, after these import applications are 
reviewed for completeness and legal sufficiency , DOE prepares and issues authorizations as 
requested.  Orders granting authorizations are requi red in these cases, but applications take less time 
to process than cases, which do not fall under EPACT.   G/LIC/N/3/USA/6 
 Page 17 
 
 
  Purposes and coverage of licensing  
 2. The products covered are natural gas and liquefied natural gas (LNG). 
 3. The system applies to goods originating from any country, but predominately Canada, 
Mexico, Trinidad & Tobago, and Algeria. 
 4. The licensing is not intended to restrict the quantity or value of natural gas imports.  5. See response to Question 1. 
 
Procedures
 
 6.  Not applicable.  
7.(a) DOE regulations (10 C.F.R. Part 590) speci fy 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 authori zation normally takes less than two weeks if 
reviewed under EPACT 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 organ, the Office of Fossil 
Energy, U.S. Department of Energy, the Fo restal Building, 1,000 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 applicati on.  Information which must be contained in the 
application is specified in 10 C.F.R. 590. 
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 authorizati ons have been natural gas pipeline companies, 
natural gas producers, natural gas marketers and utility companies. 
 
Documentational and other require ments for application for licence
 
 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 exhi bits required by the rules covering such applications set forth 
in DOE regulation (10 C.F.R. Part 590).  EPACT has necessitated creation of a bifurcated process in 
the manner in which DOE reviews applications to im port natural gas.  Applications which involve gas 
imports with nations with which the United Stat es has a free trade agreement and LNG imports from 
other countries must be granted by DOE "without m odification or delay".  As a result, DOE's action 
of issuing such import authorizations is ministerial in nature. 
 
 However, for applications i nvolving gas imports with nations with which the United States 
does not
 have a free trade agreement requiring national tr eatment for trade in natural gas, DOE must G/LIC/N/3/USA/6 
Page 18  
 
  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. There is an application process described at the following website: www.fe.doe.gov
.   
 
12. A filing fee of US$50.00 is charged for each application. 
 13. There is no deposit or advance payment require ment associated with th e issuance of an order 
to import natural gas.  
Conditions of licensing
 
 14. The duration of a natural gas import authori zation usually is specified in the Opinion and 
Order issued by DOE, and depends upon the particul ar circumstances of the import arrangement.  An 
import authorization can be extended upon application to DOE. 
 
15. There is no penalty for non-utilizati on of an order to import natural gas. 
 16. Authorizations to import natural gas are not transferable between impor ters without approval. 
 17. No.  
 
Other procedural requirements
 
 18. Each import authorization order requires na tural gas importers to report sales information 
quarterly to DOE.  Information reported includes vol ume, price, names of sellers and buyers, and 
other details of the import transactions. 
 19. Not applicable.  
IV. DEPARTMENT OF INTERIOR 
A. US
 FISH AND WILDLIFE SERVICE  
1. Fish and wildlife (including endangered species) 
Outline of system  
 1. On 25 August 1980, the Service published final rules revising 50 CFR Part 14 (Importation, Exportation, and Transportation of Wildlife) to im plement provisions of a number of wildlife laws 
enforced by the Service.  With subsequent updates in 1985, 1987, 1994, 1996, 1998, 1999, 2002, 
2004, and 2009.  As part of that rulemaking and under authority of the Endangered Species Act of 
1973 (ESA), an import/export licence is required fo r 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 ha ving 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;  G/LIC/N/3/USA/6 
 Page 19 
 
 
  (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 invent ories of imported wildlife or wildlife to be  
 exported;  and (6) file any reports requested by the Service.   Exceptions to the licence requirement are found at 50 CFR 14.92.  Certain persons exempted 
from the licence requirement by 50 CFR 14.92(b) mu st still comply with the requirements of section 
9(d) of the ESA, which are to:  (1) keep records which fully and correctly disclo se each importation or exportation of wildlife by 
 them; 
(2) keep records which fully and correctly discl ose the subsequent disposition by them of the 
 imported or exporte d wildlife;  and 
(3) allow Service inspection of records and invent ories of imported wildlife or wildlife to be  
 exported. 
 Purposes and coverage of licensing
 
 
2. The licensing system covers all "wildlife" wh ich 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 an imal, whether alive or dead, including without 
limitation any wild mammal, bird, reptile, amphi bian, 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 pers on 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 importa tion or exportation of wildlife whether or not such 
person is an importer or exporter within the mean ing of the customs laws of the United States. 
  Persons excepted from the licence requirement by 50 CFR 14.91(c) and 14.92(b) includes:  
(1) common carriers, when engaged as trans porters, 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, scientif ic or educational institutions, importing or 
 exporting wildlife for research or educational purposes and not for resale; and (4) Federal, State, or municipal agencies 
 
4. The licensing system is not intended to restri ct the quantity or value of imports.  The purposes 
of the licence requirement are to:  identify commerc ial importers and exporters  of wildlife, require 
records which fully and correctly disclose each  importation or exportatio n of wildlife and the 
subsequent disposition of the wildlif e by the importer or exporter, allow the Service to inspect records 
required to be kept and inventories of imported wild life or wildlife to be exported, remove repeat 
wildlife law violators from commercial wildlife trad e, improve communications between the Service 
and commercial wildlife importers a nd exporters, and assist the Service in its effort to conserve 
endangered and threatened species and identify sp ecies which may be threatened or endangered. 
 G/LIC/N/3/USA/6 
Page 20  
 
  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 importe r or exporter of fish or wildlife...without first 
having obtained permission from the Secretary [of th e Interior]".  By regulation the term "permission" 
was treated as a grant of authority to require a li cence.  Exceptions to the licence requirement can be 
created by regulation.  Further, the coverage of the licence can be broadened or narrowed by changing 
the definition of either "fish or wildlife" or th e 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 app lication in advance of importation, however the 
Service has 60 days to process a licence appli cation which must be issued prior to an 
importation or exportation.  Title 50 CFR 14.91( a) states it is unlawful, for any person to 
engage in business as an importer or exporter of  wildlife without first having obtained a valid 
import/export licence from the Director (of the Servi ce).  It is required that applications for 
licence renewals be received by the issuing offi ce at least 30 days before the current licence 
expires.   
  A holder of an Import/Export License may also apply for a Designated Port Exception Permit 
(Title 50 CFR 14.31 to 14.33) to facilitate wild life trade through a port not designated as a 
wildlife port, for scientific purposes, to minimize deterioration or loss and for economic hardship.   
 (b) No. 
 
(c) No.  (d) Applications are submitted to and processed by Service law enforcement regional offices.  
The Special Agent in Charge, Office of Law En forcement, of each office has been delegated 
authority to issue licences. 
 
8. Applications must meet the provisions of 50 CFR 13.11 and 13.12.  Under 50 CFR 13.21(b) a 
licence may be refused if:  (1) the applicant has been  assessed a civil penalty, has been c onvicted 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 convic tion evidences a lack of responsibility; 
(2) the applicant has failed to disclose materi al information required, or has made false 
 statements as to any material fact, in connection with his application; (3) the applicant has failed to demonstrate a valid  justification for the permit and a showing of 
 responsibility; 
(4) the 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 a nd given reasons for the 
denial.  If authorized in the notice of denial, the applicant may submit further information, or reasons 
why the licence should be granted. The final acti on by the Director is considered the final 
administrative decision of the Department of the Interior. 
  G/LIC/N/3/USA/6 
 Page 21 
 
 
  Eligibility of importers to apply for license  
 9. All persons, firms, and institu tions are eligible to apply for a licence (Unless they have failed 
to meet issuance criteria as established in 50 CFR 13). The Privacy Act prohibits published lists of importers or exporters. 
 
Documentational and other require ments for application for license
 
 10. The following information is required:  
(1) applicant's name, mailing address, and phone number; 
(2) where the applicant is an individual, his date of birth, height, weight, colour of hair,   colour of eyes, and sex;  and business or institu tional affiliation, if any,  having to do with the 
wildlife to be covered by the licence; 
(3) where the applicant is a corporation, firm, part nership, institution, or agency, either private or 
public, the name and address of the President, all partners and principal officers, and of the 
registered agent for the service of process; 
(4) location where the permitted ac tivity is to be conducted; 
(5) certification in the following language:  “I hereby certify that I have read and am fam iliar 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 belie f.  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”; 
(6) desired effective date of the licence; 
(7) date; 
(8) signature of the applicant; (9) a brief description of the nature of the app licant's business as it relates to the importation or 
exportation of wildlife, e.g., "live animal dealer", "fur broker", "taxidermist", "retail department store", and "pet shop"; 
(10) a statement of where books or records concer ning wildlife imports or exports will be kept; 
(11) a statement of where inventories of wildlife will be stored; 
(12) name, address, and telephone number of the o fficer, manager, or other person authorized to 
make records or wildlife inventories availabl e for examination by Service officials;   
 and (13) the anticipated dollar amount of wildlife to be  imported or exported during a calendar year.   
 
 A copy of the application has been attached.  11. An import/export licence is only permission to engage in business as an importer or exporter 
of wildlife.  Such a licence is in addition to, and does not supersede, any other requirement established 
by law for the importation or exportation of wildlife. 
 
12. The licence fee is US$100.00.  13. Applications must be accompanied by the licence fee.  
Conditions of licensing
 
 14. Licences are valid for one year.  The licensee mu st apply for renewal to the issuing office at 
least 30 days before the current licence expires.  G/LIC/N/3/USA/6 
Page 22  
 
  15. If a licensee discontinues engaging in business as an importer or exporter of wildlife, the 
licensee must within 30 days mail the licence and a request for cancellation to the issuing officer. 
 16. Licences are not transferable between importe rs.  Agents under the direct control of, 
employed by, or under contract to the licensee ma y carry out the activities authorized by the licence. 
 
17.(a) A license may be amended with restrictions  on the wildlife trade that may be conducted,  
including species, number of specimens, and in tended uses, in cases wh ere 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 f ound in 50 CFR Part 13, under 50 CFR 14.93(c) 
licensees are subject to the following special conditions: 
 
(i) the licensee shall, from the effective date  of the licence, keep such records as will 
fully and correctly disclose each importati on 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 genera l description of the form of the wildlife, 
such as "live", "raw hides", or "fur garmen ts"; 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 w ildlife pursuant to such disposition, if 
applicable; 
 
(ii) licensees shall include and retain in thei r 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 la w, duly authorized Service officers at all 
reasonable times shall, upon notice, be a fforded access to the licensee's places of 
business, an opportunity to examine the licensee's inventory of imported wildlife 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 requ ired 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 trans portation of wildlife generally.  Further, a licensee importing or 
exporting a particular species may have to comply  with other requirements found in 50 CFR Parts 
10-23 and other State or Federal laws, including permitting requirem ents under federal statutes such 
as the Endangered Species Act, th e Bald and Golden Eagle Protection Act, the Marine Mammal 
Protection Act, the Wild Bird Conservation Act, th e Migratory Bird Treaty Act, and the Lacey Act, 
for injurious wildlife.  A licensee must provide adva nce notification of imports or exports of live or 
perishable wildlife.    19. Not applicable.   G/LIC/N/3/USA/6 
 Page 23 
 
 
  V. DEPARTMENT OF JUSTICE 
A. BUREAU OF ALCOHOL , TOBACCO , FIREARMS AND EXPLOSIVES  
1. Firearms and ammunition 
Outline of system  
 
1. Under the Gun Control Act of 1968 (GCA), the United States maintains a system of licences 
and permits controlling the manufacturing, importing and dealing in firearms and ammunition.  The 
Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) administers the GCA import controls along with the import controls established by the Arms Export Control Act of 1976 (AECA) through a 
system of import permits.  Under 26 U.S.C. Chap ter 53 (the National Firearms Act or NFA), ATF 
also maintains a system of registration of machin e guns, silencers, destructive devices and similar 
weapons.  Purposes and coverage of licensing
  
 
2. See reply to question 1.  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 muffler or silencer; or (d) any destructive device 
(refer to 18 U.S.C. § 921(a)(4) for the definition of  a destructive device and to § 921(a)(24) for the 
definition of a silencer).  Machine guns mean me ans 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 specific definition).  Antique firearms 
are exempt.   3. All countries except those proscribed by th e Department of State from which imports are 
denied entry into the United States.  Refer ge nerally to 27 CFR 447.52 for currently proscribed 
countries and articles; ATF also maintains an up-to -date listing at its Firearms and Explosives Import 
Branch ((304) 616-4550).  4. No.  Generally, the purpose of the licensing syst em is to prevent the granting of licences to 
persons falling within statutorily determined prohi bited categories.  A specific purpose of the import 
requirements, in addition to the above, is to  ensure that non-sporting firearms, machine guns, 
destructive devices, surplus military firearms, and ot her like firearms are not imported except for the 
use of governmental agencies or other lawful purposes.  No alternative methods have been 
considered.   5. 18 U.S.C., Chapter 44 and 27 CFR Part 478.  Licensing is statutorily mandated and cannot be 
abolished without legislative action.  Designati on of products is not subject to administrative 
discretion.  Procedures
 
 6.  Not applicable.  
 
7.(a) A Federal Firearms Licence is issued within 60 days after receipt of a properly completed 
application.  A permit applica tion is approved within 45 days if proposed goods are legally 
importable. 
 
(b) Permit can be approved immediately if license has been previously issued . 
 G/LIC/N/3/USA/6 
Page 24  
 
  (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 Director, 
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 licence.  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:  (ATF Forms 7 and 6).  Appli cations and Permit for Importation of Firearms, 
Ammunition and Implements of War (ATF Form 6, Part I). Release and Receipt of Imported Firearms, Ammunition and Implem ents of War (ATF Form 6A). 
 11. Proof to the United States Customs and Border  Protection of licensed status furnished by the 
importer or his agent. 
 
12. Yes.  US $150.00 ($50 per year) for importe rs of firearms or ammunition other than 
destructive devices or ammunition.  US $3,000.00 ($1000 per year) for importers of destructive 
devices or ammunition.  These licences are renewed every three years.  
13. No. 
 Conditions of licensing
 
 14. A Federal Firearms License is valid for th ree years from date of issuance unless revoked. 
Import Permit: one year from date of issue.  The validity of a license can be extended by renewal 
application for license and new application for import permit. 
 15-17. No.  Other procedural requirements
 
 
18. No.  19. Not applicable.  B. B
UREAU OF ALCOHOL , TOBACCO , FIREARMS AND EXPLOSIVES  
1. Firearms, ammunition and implements of war 
Outline of system  
 1. The United States maintains a system of regi strations and permits to control the permanent 
importation of arms, ammunition and implements of war.  The law and regulations of these imports 
are administered by ATF pursuant to the Gun C ontrol Act of 1968 (GCA), the Arms Export Control 
Act of 1976 (AECA), and the National Firearms Act (NFA).  The Department of State maintains a 
similar system of controls relativ e to exports and temporary imports.  G/LIC/N/3/USA/6 
 Page 25 
 
 
  Purposes and coverage of licensing  
 2. Persons engaged in the business of importi ng articles on the United States Munitions Import 
List must be registered.  Actual importation is authorized by use of ATF Form 6.    
3. All countries.  Goods from certain countries as determined by State Department are denied 
entry into the United States.   4. Primary purpose is to regulate international tr afficking in arms. 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 11432 (33 F.R. 15701).  Licensing is statut orily mandated and cannot be abolished without 
legislative action.  Designation of products is not subject to administrative discretion. 
 
Procedures
 
 6. Not applicable.   7.(a) Approximately ten working days in advance.  
(b) Yes.  
 (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, administra tive appeals may be made through Director, ATF to 
United States District Court.  Eligibility of importers to apply for license
 
 
9. All persons, firms and institutions are eligible to apply for licenses. 
 Documentational and other require ments for application for license
 
 
10. ATF Form 4587 and ATF Form 6.  No  supporting documentation is required.  
 11.  Applications and Permit fo r Importation of Firearms, Amm unition and Implements of War 
(ATF Form 6, Part I). Release and Receipt of Im ported 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$7 00  Four years:  US$850  Five years:  US$1,000  G/LIC/N/3/USA/6 
Page 26  
 
  13. No. 
 Conditions of licensing
 
 14. Registration:  one to five years.  Permit:  one year from date of issue. 
 
15-17. No.  Other procedural requirements
 
 
18. No. 
 19. Not applicable.  
2. Explosives 
Outline of system
 
 1. The United States maintains a system of regi strations 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 pr imary purpose of this licensing system is to keep 
explosives out of the hands of persons prohibite d by law from receiving or possessing explosives and 
to ensure the safe and secure storage of explosiv es.  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 agen ts 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 misu se and unsafe  storage of explosive materials.  
See also reply to question 1.  No alte rnative methods have been considered.  
 5. 18 USC Chapter 40; 27 CFR Part 555.  Licensing is statutorily required and cannot be abolished without legislative approval.  Designati on of products is not subject to administrative 
discretion.  
 
Procedures
 
 6. Not applicable.   7.(a) An application must be approved or denied within 45 days after receipt.  Usual turn-around 
time from receipt of application to issuance of licence is 30 days. 
 (b) No, not usually.  However, it coul d be done under extreme circumstances. 
 (c) No. 
 
(d) Yes, consideration of applications is effe cted by a single administrative organ (ATF). 
  G/LIC/N/3/USA/6 
 Page 27 
 
 
  8. No additional circumstances apply. The reasons  for any refusal are given to the applicant in 
writing. In the event of refusal to issue or the re vocation of a license, administrative appeals may be 
made through Director, ATF.  Then, 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 ATF Forms 6 and 6A.  No add itional documentation is required.  These will not 
be issued unless an explosiv es license has been issued. 
 11. Proof to the United States Customs and Bord er Patrol of licensed or permitted status 
furnished by importer or his agent.  Explosives mu st be classified and marked per United States 
Department of Transportation standards.  12. Yes.   US$200.00 per license for three years; 
 US$100.00 for renewal for one year; 
 US$100.00 per permit per three years;  and  US$50.00 permit renewal for one year.  13. No. 
 
Conditions of licensing
 
 14. Licenses are valid for three years.  Previously , licenses were valid for one year.  The validity 
of a licence can be extended by renewal applicati on for license and new application for import permit. 
 
15-16. No. 
 17. No additional conditions apply. 
 Other procedural requirements
 
 
18. No.  19. Not applicable.  C. D
RUG ENFORCEMENT ADMINISTRATION  
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 substanc es 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 me thod by which the United States can meet its 
international treaty obligations under the 1961 UN Si ngle Convention Treaty on Narcotic Drugs, the G/LIC/N/3/USA/6 
Page 28  
 
  1971 UN Convention on Psychotropic Substances, and the 1988 UN Convention Against the Illicit 
Traffic in Narcotic Drugs and Psychotropic Substances.    DEA serves as the U.S. competent authority fo r the regulatory provisions associated with the 
above three international conventi ons and is responsible for collec ting data and preparing standard 
yearly statistical reports regarding the manufact ure, import/export, and c onsumption of drugs and 
chemicals regulated by the conventions.    Purposes and coverage of licensing
 
 
2. In order to import any controlled substance, or  List 1 chemical, the importer must apply to the 
Drug Enforcement Administration (DEA) for registrati on as an importer.  The registration application 
must be approved by the DEA and is issued a nnually.  Upon registration approval, prior to 
importation, the registered importer must:  
(a) apply for and receive a permit to import an y Schedule I or Schedule II, or any narcotic 
controlled substance in Schedules III, IV, or V or any non narcotic c ontrolled substance in 
Schedule III which the Administrator has specifi cally designated by regulation in Title 21, 
Code of Federal Regulations, Section 1312.30 or any non narc otic controlled substance in 
Schedule IV or V which is also listed in Sc hedule I or II of the Convention on Psychotropic 
Substances;  or 
 
(b) submit a specific import declaration per ship ment for all non narcotic controlled substances in 
Schedules III, IV or V.  The list of basic cl asses of controlled substances covered under the 
authority of the Controlled Substances Act is lis ted in Title 21, Code of Federal Regulations, 
Part 1308; or 
 
(c) notify the Administrator of DEA not later than 15-days in advance prior to importation of any 
listed chemical.  Substances defi ned 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 circumstanc es as outlined in Title 21, Code of Federal 
Regulations, Part 1313.12(c).  
 
 Other than opium, poppy straw, concentrate of poppy straw or coca leaf, no Schedule I or II substance, or narcotic substance in Schedule III, IV or V may be imported unless the Attorney 
General finds (a) an emergency ex ists in which domestic suppli es are inadequate; (b) competition 
among domestic manufacturers is inade quate and will not be rendered adequate by the registration of 
additional manufacturers; or  (c) in any case in whic h 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 substan ces and listed chemicals, 
regardless of the country of origin.  However, T itle 21, Code of Federal Regulations, Section 1312.13 
poses additional limitations on the imports of narcotic  raw materials.  In effect, the importation of 
approved narcotic raw materials ( opium, poppy straw and concentrate of poppy straw) into the United 
States shall have as its source:  (a) Turkey, (b) India, 
(c) Spain, 
(d) France, (e) Poland, (f) Hungary, and (g) Australia.  G/LIC/N/3/USA/6 
 Page 29 
 
 
   And, at least 80 per cent of the narcotic raw material imported into the United States shall 
have as its source Turkey and India.  Except under c onditions of insufficient supplies of narcotic raw 
materials, not more than 20 per cent of the narco tic materials imported annually shall originate in 
Spain, France, Poland, Hungary and Australia .  This policy has been in effect since 
17 September 1981, as amended.  A proposal to subs titute Spain for Hungary to update the list of 
non-traditional countries authorized to export narcotic raw materials to the United States was made on 
4 October 2006 by Notice of Proposed Rulemaking.  Final Rule (21 CFR, Pt. 1312 – Authorized Sources of Narcotic Raw Materials) was publishe d in February 2008 and became effective on 
7 March 2008.  The rule provides DEA registered impor ters with another potential source, i.e., Spain, 
from which to purchase NRM that are used in th e production of controlled substances for medical 
purposes in the U.S.  
 4. The system is designed to restrict the quan tity of imports of contro lled 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 treati es (The Single Convention on Narcotic Drugs, 1961 
and the Convention on Psychotropic Substances, 1971).  5. In March 2006, the U.S. Congress amended S ection 306 of  the Controlled Substances Act 
with passage of the Combat Methamphetamine Epid emic Act of 2005 (CMEA).  CMEA required the 
establishment of a first-time assessment of annu al need for the listed chemicals ephedrine, 
pseudoephedrine, and phenylpropanolamine and a quot a system to provide for those legitim ate needs. 
Further, CMEA amended Title 21 United States Code, Section 952 by adding the three chemicals  to 
existing language concerning impor tation of controlled substances.   The 2007 assessment of annual 
needs for ephedrine, pseudoephedrine and phenylp ropanolamine set upper limits on the quantity of 
these chemicals and products containing these chemical s that can be produced in or imported to the 
United States.  The assessment was published as a Fina l Notice in the Federal Register in September 
2007.  Also pursuant to CMEA, im port and production quotas were est ablished 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 Comp rehensive 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 (Sec tions 1002, 1007 and 100 8) (21 United States 
Code, Sections 822, 823, 826, 953, 957 and 958)  and implementing regulations.  The Controlled 
Substances Act statutorily establishes criteria by whic h drugs are controlled in one of five schedules 
subject to import requirements.  The system re quired by statute cannot be abolished without 
legislative approval.  Procedures
 
 6. I. Annual notice of publications of aggregat e production quotas designed to account for the total 
needs of the United States (either through do mestic manufacture or importation) for all 
Schedule I and II controlled substances and the listed chemicals ephedrine, pseudoephedrine, 
and phenylpropanolamine are published in the Federa l Register on or about 1 July of the year 
prior to that to which the quota applies.  No  quota is established for Schedules III, IV or V 
controlled substances or other listed chemicals.  Additional notice of regulations is published 
in Title 21, Code of Federal Regulations, Part 1300 to End. 
 II. Quotas for legitimate need are determined on an annual basis, but determinations regarding 
importations are made at the tim e of individual applications. 
 G/LIC/N/3/USA/6 
Page 30  
 
  III. Import permits are issued only on application by  registered importers who have demonstrated 
the legitimate need for the imported substance.   Declarations and notices are submitted as 
advanced notification of import only  for monitoring purposes by DEA. 
 IV. Not applicable; individual determinations are made. 
 
V-VI. Applications to import are reviewed upon receipt by DEA.  VII. DEA considers and reviews for possible approval all applications for importation of 
controlled substances.  Copies of import permits are provided to the U.S. Customs Service for 
monitoring and certification purposes.   
 VIII. Registration is based, in part, on security, reco rds, history of violations, and State approval.  
Import permits are based upon available supply an d legitimate need for the substance in the 
United States. 
 
IX-X. Not applicable.   XI. Controlled substances on perm its may only be imported for legitimate needs of the United 
States. 
 
7. Schedules III, IV, and V non narcotic controlle d substances are subject to import declarations, 
and importers are subject to registration.  (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.  DEA.  
8. A registered importer can be refused an im portation if the importer cannot demonstrate the 
need in the United States, in line with the above criteria.  Eligibility of importers to apply for licence
 
 
9. Imports are only approved for registered im porters who must be inspected for adequate 
records, security, State approval, etc., prior to re gistration.  The registration fee is US$1,147.  
Researchers are also allowed to import those subs tances for which they are registered to conduct 
research.  Their registration fee is US$130.00 annua lly.  Chemical analysis registrants may import 
controlled substances for analytical or instructi onal activities. Their registration fee is US$184.00 
annually. 
 
Documentational and other require ments 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 include (a) name, address of consignor, (b) foreign port of export, 
(c) United States port of entry, (d) dates of shipme nt, (e) name of carrier, (f) amount and (g) importer's 
allotment for the year.  11. Import permit.    G/LIC/N/3/USA/6 
 Page 31 
 
 
  12. No fee is levied per import permit.  Lice nse fees, as also noted above, are as follows: 
 
Registrant Class Annual Fee 
Importers/Exporters (Controlled 
Substances) $1,147 
Importers/Exporters (Chemical) $1,147 
 
13. No.  Conditions of licensing
 
 14. Registration is annual.  Controlled Su bstance permits are valid for six months. 
 
15. Importation not pursuant to a permit, notice, or  declaration is subject to seizure, civil and 
criminal penalties.  16-17.   No.  
 
Other procedural requirements
 
 18. No.   19. Not applicable.  
 
VI. DEPARTMENT OF TREASURY 
A. A
LCOHOL AND TOBACCO TAX AND TRADE BUREAU  
1. Distilled spirits (beverages); wine and malt beverages 
Outline of Systems  
 
1. Importers of distilled spirits  for non-industrial (beverage) us e (see section 14 for industrial 
use), wine and malt beverages are required to have permits, issued unde r the Federal Alcohol 
Administration Act, to engage in their respectiv e businesses.  Similar permit requirements exist for 
producers (except brewers) and wholesalers of distille d spirits, wine and malt beverages in the U.S.  
Primary purposes of this requirement are to protect the consumer by oversight of labelling, advertising 
and other unfair trade practices of the Federal Al cohol Administration Act and to enforce all other 
Federal laws relating to spirits, wine and malt beverages, includi ng taxes.  Persons who are not 
engaged in such businesses are not required to obtain permits. 
 Purposes and Coverage of Licensing
 
 
2. An importer's permit under the Federal Alcohol Administration Act is one of several different 
permits controlling the distilled spirits for non indus trial use, wine and malt beverage industries. 
 3. The permit system applies to goods or iginating in and coming from all countries. 
 
4. No.  The purpose of the permit system is to pr ovide an enforcement mechanism to ensure that 
importers comply with all require ments of Federal law relating to alcohol.  No alternative methods 
have been considered.  G/LIC/N/3/USA/6 
Page 32  
 
  5.   The permit system is a statutory requireme nt of the Federal Alcohol Administration Act, 
27 U.S.C. 201 et seq. (http://www4.law.cornell.edu/uscode/search/display.html?terms=201&url=/ 
uscode/html/uscode27/usc_ sec_27_00000201----000-notes.html ) 27 CFR Part 1, et seq. ( http://www. 
access.gpo.gov/nara/cfr/wa isidx_05/27cfr1_05.html ).  Yes, licensing is a statutory requirement and 
may not be abolished without legislative approva l. Designation of products is not subject to 
administrative discretion.  
 
Procedures  
 6.  Not applicable. 
 
7. (a) Permits are issued usually within four to si x weeks after an application has been filed.  Under 
certain circumstances a permit can be obtained w ithin a shorter time frame.  Once issued, the 
permit remains valid until annulle d, suspended or revoked. 
 
(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 alcohol beverages must deal to secure 
this permit. 
 
8. There are no additional circumstances for denyin g an application for a permit other than what 
is stated in 27 U.S.C. §204(a) ( http://www4.law.cornell.edu/usco de/html/uscode27/usc sec_27_00000 
204----000-.html ). The reasons for any refusal are given to the applicant in writing.  In the event of 
refusal to issue a permit, administrative appeals ma y 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.  There are no registration fees. 
 
Documentation and Other Requirements for Application for License
 
 10. Refer to TTB Form 5100.24 ( http://www.ttb.gov/forms/f510024.pdf
). 
 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/pdfs/5100/f510031.pdf ). 
 12. No.  
13. No. 
 Conditions of Licensing
 
 14. Continuing, unless annulled where the permit was procured through fraud or 
misrepresentation, or suspended or revoked or surre ndered 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.   G/LIC/N/3/USA/6 
 Page 33 
 
 
  15. Proceedings to revoke a permit may be commen ced 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 a nd 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/ 
pdfs/5100/f510031.pdf ) are required.  Additionally, any entity in the U.S. (including importers) that 
sells distilled spirits, wine or beer to a dealer for re sale must register as an alcohol dealer with TTB 
before commencing operations for the first time.  See 26 U.S.C. Chapter 51 (http://www4.law.cornell.edu/uscode/search/displ ay.html?terms=Chapter%2051&url=/uscode/html/us
code26/usc_sup_01_26_10_E_20_51notes.html ). 
 19. Not applicable.  2. Distilled spirits or alcohol for industrial use (Including alcohol for fuel use) 
Outline of Systems
 
 1.  The Internal Revenue Code requires that prod ucers 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://www4.law.cornell.edu/uscode/html 
/uscode26/usc_sec_26_00005001----000-.html ), then they must apply for a permit.  Industrial alcohol 
is exempt from taxation if used as authorized by la w.  The permit system is a means to control these 
authorized uses.  
Purposes and Coverage of Licensing
 
 2. A permit, as such, for the importation of alcohol for industrial use is not required.  Alcohol or 
distilled spirits as defined in 26 U.S.C. 5002(a) ( http://www4.law.cornell.edu/uscode/html/uscode26 
/usc_sec_26_00005002----000-.html ) includes alcohol which may have denaturants present.  Such 
alcohol cannot be received into this country except by an authorized distilled spirits plant (under a 
registration or operating permit) and a bond under th e Internal Revenue Code unless it is tax-paid 
upon importation.  3. All countries.  
4. No.  The purpose is to prevent tax fraud.  Under a pilot operation, TTB is evaluating an 
alternative approach of record keeping and c oordination with the government of the exporting 
country.  5. Please see: 
 
 26 U.S.C. 5171 ( http://www4.law.cornell.edu/uscode /html/uscode26/usc_sec_26_00005171----
000-.html ), 26 U.S.C. 5181 ( http://www4.law.cornell.edu/uscode /html/uscode26/usc_sec_26_00005181----
000-.html ), 27 CFR Part 19 ( http://www.access.gpo.gov/nara/cfr/waisidx_05/27cfr19_05.html ).  The G/LIC/N/3/USA/6 
Page 34  
 
  licensing system was created by statute and may no t be abolished without legislative action.  The 
designation of products 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 
four to six weeks after the application has been  filed.  Under certain circumstances, a permit 
can be obtained within a shorter time frame. 
 
(b) Under certain circumstances, a permit can be obtained within a shorter time frame. 
 (c) No.  
(d) Yes.  TTB is the only agency with whom an importer of distilled spirits or alcohol for 
industrial use (including alcohol for fuel use) must deal to secure this permit. 
 8. There are no additional circumstances for denyin g an application for a permit other than what 
is stated in 26 U.S.C. 5271 ( http://www4.law.cornell.edu/usco de/html/uscode26/usc_sec_26_0000 
5271----000-.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 the Administrator, 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.  There are no registration fees. 
 Documentation and Other Requirements for Application for License
 
 10. Application for Operating Permit - TTB Form 5110.25 ( http://www.ttb.gov/forms/f511025.pdf
); 
Alcohol for fuel use - TTB Form 5110.74 ( http://www.ttb.gov/forms/f511074.pdf ), as appropriate, 
along with such supporting documentation as required. 
 11. Ordinary commercial papers.  12. No. 
 
13. No.  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.   G/LIC/N/3/USA/6 
 Page 35 
 
 
  Other Procedural Requirements  
 18. No.    19. Not applicable.  3. Tobacco Products 
Outline of Systems
 
 1. The Internal Revenue Code of 1986 (Title 26 U.S.C. Chapter 52 – please see 
http://www4.law.corne ll.edu/uscode/html/uscode26/usc_sup_01_26.html
) requires that 
manufacturers and importers of tobacco produc ts or processed tobacco and export warehouse 
proprietors who store tobacco products for export must apply for and obtain a permit from TTB 
before engaging in such businesses.  The primar y purpose of these permits is to ensure proper 
collection of Federal excise ta x revenue from tobacco products. 
 
Purposes and Coverage of Licensing  
 2. As noted, manufacturers and importers of t obacco products or processed tobacco and export 
warehouse proprietors (who store t obacco products for export upon whic h the Federal excise tax has 
not been paid) must apply for and obtain a permit from TTB before engaging in such businesses.  
Tobacco products are defined in the IRC as cigare ttes, cigars, smokeless tobacco (that is, chewing 
tobacco or snuff), pipe tobacco and roll your own tobacco.  Manuf acturers of tobacco products and 
export warehouse proprietors are required to main tain a bond related to their Federal excise tax 
liability.  Processed tobacco is any tobacco th at has undergone processing, but does not include 
tobacco products.  Those who farm or grow tobacco or who handle tobacco solely for sale, shipment, 
or delivery to a manufacturer of tobacco products or  processed tobacco are not required to obtain from 
TTB a permit to engage in such activities.  3. All countries.  4. The permit system does not restrict the quantit y or value of imported tobacco products.  No 
alternative methods have been considered. 
 5. Please see:   26 U.S.C. 5713 ( http://www4.law.cornell.edu/usc ode/html/uscode26/usc_sec_26_00005713--
--000-.html ) requires permits.  There is no discretion fo r the government to change the products (26 
U.S.C. 5702 - http://www4.law.cornell.edu/uscode /html/uscode26/usc_sec_26_00005702----000-
.html ) subject to the permit requirements or to abolish th e permit system without legislative approval.    
Please note that these links have not yet been update d to reflect recent changes in law, which appear 
on pages 108-110 of Public Law 111-3, available at http://frwebgate.access.gpo.gov/cgi-
bin/getdoc.cgi?dbname=111_cong_pu blic_laws&docid=f:publ003.111.pdf  
 
Procedures  
 6. Not applicable.  
7.(a)  Permits are usually issued within four to si x weeks after an application has been filed.  Under 
certain circumstances a permit can be obtained within a shorter time frame. 
 (b) Under certain circumstances a permit can be obtained within a shorter time frame. G/LIC/N/3/USA/6 
Page 36  
 
  (c) No. 
 (d) TTB has sole authority to issue the permit required under 26 U.S.C. 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 denyin g an application for a permit other than what 
is stated in 26 U.S.C. 5712 ( http://www4.law.cornell.edu/usco de/html/uscode26/usc_sec_26_0000 
5712----000-.html ).  The reasons for any refusal are given to  the applicant in writing.  An applicant 
may appeal the denial of a permit to the Admi nistrator, 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.  There are no registration fees. 
 
Documentation and Other Requirements for Application for License
 
 10. Refer to TTB Form 5230.4 ( http://www.ttb.gov/forms/f52304.pdf
). 
 
11. Customary and ordinary business records. 
 
12. Not applicable. 
 13. Not applicable.  Conditions of Licensing
 
 
14. Permits for importers of tobacco products or processed tobacco are valid for three years from 
the effective date shown on the permit.  Importers wishing to continue operations beyond the 
expiration of their current must renew their permit  by making application within 30 days of such 
expiration.  
15. No. 
 16. Permits are not transferable to another person.  17. (a) Not applicable. 
 
(b)  An application for the renewal of a permit as an importer of tobacco products or processed 
tobacco may be rejected and the permit denied if no activity has taken place or been reported 
under such permit for a period of one year immedi ately prior to the application for renewal. 
 Other Procedural Requirements
 
 
18. TTB has no other administrative procedures, apart from permit requirements, required prior to 
importation.  19. Not applicable. 
  G/LIC/N/3/USA/6 
 Page 37 
 
 
  B. NUCLEAR REGULATORY COMMISSION  
1. Nuclear facilities and materials 
Outline of system  
 1. The Nuclear Regulatory Commission (NRC) re gulations governing the import of certain 
nuclear facilities and most radioactive materials a nd are published in 10 CFR Part 110 pursuant to the 
Atomic Energy Act of 1954, as amended, and th e Energy Reorganization Act of 1974, as amended.
2  
These regulations apply to all persons in the Unite d States although certain exemptions exist for the 
US Department of Energy and the U.S. Department of Defence.   
 
The nuclear facilities and radioactive materials subject to NRC import licensing authority 
include: production and utilization facilities, speci al nuclear materials, source materials, and 
byproduct materials, including when such materials ar e 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 gene ral NRC license or a specific NRC license. 
A general import license is effective and does not re quire filing an application with NRC review or 
issuing 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 writt en license document is issued to a named person, 
authorizing specific transactions to occur within a set time period.   
 
Most byproduct, source, and/or special nuclear materials are authorized for import under an 
NRC general license to the extent the U.S. consi gnee possesses an appropriate domestic authorization 
required for receipt, use or distribution of the impor t.  Parties utilizing the NRC general import license 
in 10 CFR 110.27 must comply with applicable dom estic 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 adva nce notification to NRC and maintain records of 
the transactions for a period of from 3 to 5 years.  
Specific NRC licenses are required for impor ts of production or utilization facilities, 
100 kilogrammes or more of irradiated nuclear fu el, and any special nuclear, source or by-product 
materials in the form of radioactive waste, except for radioactive waste being returned to the U.S. 
Government or a U.S. military facility wh ich is authorized to possess the material. 
 On 1 July 2005, NRC added new specific lic ense requirements for imports of certain 
radioactive sealed sources and radionuclides in bulk fo rm. In essence, NRC elected to codify certain 
provisions of the International Atomic Energy Ag ency (IAEA) Code of Conduct on the Safety and 
Security of Radioactive Sources (Code of Conduct) and enhance controls on materials, which, after 
11 September 2001, were deemed to pose potentially significant risks to individuals, society and the 
environment if handled imprope rly.  Appendix P was added to 10 CFR 110, which lists the 
radioactive materials and establishes Category 1 a nd 2 threshold quantities, requiring a specific NRC 
license for import into the United States beginning 28 December 2005. 
 
On 20 April 2006, the NRC amended its regul ations governing the import and export of 
nuclear equipment and material to implement the pr ovisions of the Energy Policy Act of 2005.  This 
amendment revised the definition of byproduct mate rial to include discrete sources of radium-226, 
                                                     
 
2 A copy of 10 CFR Part 110 containing the Nuclear Regulatory Commission Regulations governing 
the Export and Import of Nuclear Equipment and Materi al is available for consultation in the Secretariat 
(Market Access Division). G/LIC/N/3/USA/6 
Page 38  
 
  accelerator-produced radioactive material, and di screte sources of naturally occurring radioactive 
material.  The rule also requires specific import licenses for imports of radium-226 that meet the threshold values of the IAEA Code of Conduct.    Purposes and coverage of licensing
 
 
2. As noted in reply 1, an NRC license – either general or specific – is required for imports of production and utilization facilities; special nuclear ma terial; 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 safet y and the environment, and maintain the common 
defence and security of the United States, by exer cising 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 defi nitions 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 author ity to grant specific exemptions from the 
regulations in 10 CFR Part 110 under certain c onditions (10 CFR § 110.10) and this authority 
has been exercised for example, to gran t 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’ re view).  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 parti es with an opportunity to intervene (see 10 CFR 
110.70 and 110.82).   
 (c) There are no limitations as to the period of the year during which a specific import license 
application can be submitted to NRC.  NOTE: Specific import licenses issued have expiration 
dates, and can be amended a nd/or renewed, as long as NRC receives the request for such 
action before the expiration date.  Once a licen se expires, it cannot be amended or renewed. 
 (d) An NRC import license authorizes the import only and does not confer authority to receive 
title to, acquire, receive, possess, deliver, use or transfer items imported.  For certain specific 
import license applications, the NRC is required to consult with and/or seek concurrences 
from other federal agencies (usually the De partments of State and Energy, and the 
Environmental Protection Agency), although fi nal licensing responsibility remains with the 
NRC.  G/LIC/N/3/USA/6 
 Page 39 
 
 
  8. Applications that are deficient are normally withdrawn or returned without action. Although 
NRC has the authority to deny, to revoke or suspe nd licenses, it is rarely exercised. Reasons for such 
actions must be made known to an applicant/license e who would have the right to appeal.  Avenues 
for applicant, 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 pers ons, firms and institutions must have a permanent 
(physical) address within the United States where pa pers 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 located on the NRC public web site.  
NRC may request additional information, if necessary,  to conduct the licensing review required by the 
applicable statutes.  11. Under the  specific import licensing requirements for the materials listed in Appendix P to 10 CFR Part 110, applicants must include copies of domestic materials licensing authorizations.  In 
addition, import forms customarily required by othe r U.S. government agencies are also necessary for 
all items imported under NRC requirements (e.g., Cust oms and Border Patrol and the Department of 
Commerce documents).  There are also reporting and advance notification requirements for certain transfers of nuclear material; however, they are established by domestic possession licenses, not import licenses. 
 
12. Fees are charged for processing license appli cations in accordance with the fee schedule in 
10 CFR § 170.21 and § 170.31 (e.g. for fiscal year  2009, the fees for import applications range from 
US $770 to US $16,700).  13. The appropriate fee must accompany applications submitted for specific import licenses, 
otherwise processing will be delayed. 
 Conditions of licensing
 
 
14. An 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 assigne d to another person onl y 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. 
 G/LIC/N/3/USA/6 
Page 40  
 
  Other procedural requirements
 
 18. Since many materials authorized for import under specific or general NRC licenses are considered hazardous and/or strategically signifi cant, additional arrangements may be necessary in 
conjunction with their transportation.  These arrang ements may involve physical protection measures, 
special handling procedures for health and safety pu rposes, or advance notice of pending receipt and 
thus would not be included as special import license  conditions. Such requirements normally apply to 
U.S. parties who transfer or receive specific types of materials, and are not related to whether the shipment originates from a domestic or a foreign source.  
19. Not applicable. 
 
__________