RESTRICTED
WORLD TRADE G/LIC/N/3/USA/1
16January 1996
ORGANIZATION(96-0146)
Original: English Committee onImport Licensing
REPLIES TOQUESTIONNAIRE ONIMPORT LICENSING PROCEDURES
NOTIFICATION UNDER ARTICLE 7.3OFTHE
AGREEMENT ONIMPORT LICENSING PROCEDURES
UNITED STATES
Thefollowing notification, dated 29September 1995, hasbeenreceived fromthedelegation
oftheUnited States.G/LIC/N/3/USA/1
Page2
Table ofContents
Page
Department ofAgriculture
1. Plants andPlant Products 3
2. Animals andAnimal Products 5
3. Sugar 7
4. Certain Dairy Products 11
Department ofEnergy
5. Natural Gas 15
Department ofInterior
6. FishandWildlife, including endangered species 18
Department ofJustice
7. Controlled Substances 23
Department oftheTreasury
Bureau ofAlcohol, Tobacco andFirearms
8. Distilled spirits (beverages); wineandmaltbeverages 26
9. Distilled spirits forindustrial use(including alcohol forfueluse) 28
10. Firearms andammunition 30
11. Firearms, ammunition andimplements ofwar 32
12. Explosives 34
Nuclear Regulatory Commission
13. Nuclear Facilities andMaterials 36G/LIC/N/3/USA/1
Page3
DEPARTMENT OFAGRICULTURE
1. Plants andPlant Products
Outline ofSystem
1. Import permits arerequired fortheimportation ofmost plants andsome plant products, to
protect against theintroduction ofpestsanddiseases. Permits arealsorequired fortheimport, export
orre-export ofterrestrial plants thatareontheendangered species list.Permits areonlyissued to
afirmorindividual resident intheUnited States.
Purposes andCoverage ofLicensing
2. Permits arerequired for:
- plants andplant products fororcapable ofpropagation;
- fruits andvegetables;
- grains;
- certain cutflowers (roses, gardenia, lilac, camellia, rhododendron andazalea);
- cotton andcotton covers;
- sugar canebagasse;
- broom cornandstraw;
- certain riceproducts;
- bags, bagging, brassware;
- logs, lumber, other manufactured wood products;
- soilandquarry products;
- plants andplant products intransit through theUnited States.
3. Thepermit system applies toproducts coming from allcountries withexceptions.
4. Thepermit system istoprotect against theentry ofplant pests anddiseases, andtoprotect
endangered plant species.
5. Thepermit system isastatutory requirement ofthePlant Quarantine Act,7U.S.C. 154. The
lawspecifies broad categories forthepermit system. TheEndangered Species ActandtheConvention
onInternational Trade inEndangered Species establish apermit system forcertain plants onthe
endangered species list.
Procedures
6. Notapplicable.
7. (a) Theamount oftimeinadvance ofimportation within which apermit mustbeapplied
forisnotspecified inthelegislation. However, areasonable period oftimemustbe
allowed forpermit issuance. Permits should beapplied for30daysinadvance of
expected arrival ofmaterial.
(b) Permits arenotgenerally granted immediately onrequest.
(c) There arenolimitations astotheperiod oftheyearduring which permit applications
maybemade.G/LIC/N/3/USA/1
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(d) Permit applications areeffected byoneoffice, U.S.Department ofAgriculture, Permit
Section, Unit 136, 4700 River Road, Riverdale, Maryland 20782-1236. Most
applications arenotpassed ontoother offices forvisas, noteorapproval, andthe
importer doesnothavetoapproach morethanoneadministrative organ. Theexception
tothisarethepermit applications forsoilandforplants required tobegrown in
post-entry quarantine.
8. There arenocircumstances other thanfailure tomeetstandard criteria under which apermit
mayberefused. Reasons forrefusal aregiven totheapplicant. Noappeal procedures arespecified
inthelegislation.
Eligibility ofImporters toApply forLicence
9. Allpersons, firms andinstitutions resident intheUnited States areeligible toapply forlicences.
There isnoregistration fee.There isnopublished listofauthorized importers. There isaUS$70.00
feeforplants andplant products regulated byCITES.
Documentational andOther Requirements forApplication forLicence
10. Theinformation required inapplications issetforthinthePPQForm 587(forplants andplant
products), 588(application forprohibited material), andPPQ621forendangered plants. Plants and
plant products intransit through theUnited States require aPPQForm 586. Applications toimport
soilarecontained inPPQForm 525.
11. Forallplants andsomeplantproducts, aphytosanitary certificate mustaccompany theshipment.
Endangered species havespecial documentation requirements.
12. There isnolicensing feeoradministrative charge forpermits other thantheUS$70.00 fee
perpermit forcommercial trade inendangered plants.
13. Nodeposit oradvance payment isrequired inconnection withtheissue ofpermits.
Conditions ofLicensing
14. Permits arevalid forspecified periods oftime, andtheycanbeextended byre-application.
Thepermit forendangered orthreatened plants isvalid fortwoyears.
15. There isnopenalty fornon-utilization ofapermit.
16. Permits arenottransferable between importers.
17. There arenoother conditions attached totheissuance ofapermit other thanforplants requiring
post-entry growing.
Other Procedural Requirements
18. There arenoother administrative procedures required prior toimportation.
19. Notapplicable.G/LIC/N/3/USA/1
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DEPARTMENT OFAGRICULTURE
2. Animals andAnimal Products
Outline ofSystem
1. Importpermitsarerequiredfortheimportationofcertainanimalsandanimalproducts,organisms
andvectors, andveterinary biological products, toprotect U.S. livestock andpoultry against the
introduction ofdiseases thatdonotexistintheUnited States.
Purposes andCoverage ofLicensing
2. Permits arerequired for:
- domestic farm livestock andother species thatmaycarry diseases thatcould affect
U.S.livestock andpoultry;
- certain animal (livestock) derived products foranyreason, commercial orresearch
uses;
- poultry andhatching eggsandother avian species;
- animal andavian specimens, tissues orblood products;
- materials thathavebeenexposed toanimal products capable ofcontamination with
disease agents;
- samples ofdairy products, hay,straw, grasses etc.forscientific usesfrom countries
considered tobeaffected withdiseases suchasfoot-and-mouth disease (FMD);
- germplasm -semen andembryos (livestock);
- organisms thataffect livestock andavian species andvarious vectors ofsuchorganisms;
and
- veterinary biological products including seeds andsubstrates.
3. Thepermit system applies toanimals coming fromallcountries (except forCanada andMexico)
withsome variation resulting from thespecies andcountry oforigin 'sdisease status. Permits for
products apply toallcountries depending ondisease status andtypeofproduct.
4. Thepermit system isnotusedtorestrict thequantity orvalue ofimports, butonlytoprotect
domestic agriculture from theintroduction orentry ofanimal diseases ordisease vectors.
5. Thepermit system isnotastatutory requirement. Thepertinent regulations arecontained in
Title9C.F.R., Parts 92,94.7, 94.16, 95.4, 95.18, 95.19, 95.20 through 98,104and122; andin
thefollowing lawsascodified: 21U.S.C-102 to105,111,134,135,151-159 and19U.S.C-1306.
Procedures
6. Notapplicable.
7. (a) Theamount oftimeinadvance ofimportation within which apermit mustbeapplied
forisnotspecified intheregulations.
(b) Apermit cannot begranted immediately uponrequest. Prior review oftheapplication
isrequired.
(c) There arenolimitations astotheperiod oftheyearduring which permit applications
maybemade.G/LIC/N/3/USA/1
Page6
(d) Permit applications areeffected byoneoffice. Theapplication isnotpassed onto
other offices forvisa,noteorapproval, andtheimporter doesnothavetoapproach
more thanoneadministrative office.
8. Ingeneral, therearenocircumstances other thanfailure tomeetordinary criteria under which
apermit mayberefused. Inthecaseofliveanimals oranimal products, poultry, orbirds, apermit
foraparticular timeperiod could berefused ifspace ataQuarantine Station isnotavailable. An
outbreak ofaparticular disease intheexporting country could beacause torevoke apermit which
wasissued priortothedisease outbreak; forexample, African Horse Sickness inSpain, HogCholera
inEurope andBovine Spongiform Encephalopathy (BSE) inEurope. Reasons forrefusal aregiven
totheapplicant. Noappeal procedures arespecified inthelegislation orregulations.
Eligibility ofImporters toApply forLicence
9. Allpersons, firms andinstitutions intheUnited States areeligible toapply forpermits. There
isnopublished listofauthorized importers.
Documentational andOther Requirements forApplication forLicence
10. Theinformation required inapplications issetforthinVSforms 16-3and16-7, 17-129, 17-128
andBBEP form 2005.
11. Inthecaseofliveanimals andbirds, theoriginal andcopies oftheimport permits must
accompany theshipment aswellasahealth certificate issued bythenational veterinary services of
thecountry oforigin. Copies oftheimport permit should alsoaccompany animal products andorganism
andvector shipments, andshipments ofveterinary biological products.
12. Thereareimport-relateduserfeesassociatedwithpermitapplicationreview,inspectionsrequired
forimports, testing andquarantines. Facilities manufacturing veterinary biologicals forimportation
areinspected under cooperative service agreements.
13. Reservation feesforquarantine space arerequired forliveanimals andbirds. Theamount
ofthefeevaries according totheanimal andthebird.
Conditions ofLicensing
14. Permits foranimal products andorganisms andvectors varyinlength oftheirvalidity, but
aregenerally forabout oneyear. Permits forliveanimals andbirds arevalid forseven to60days,
depending onthespecies. Permits forveterinary biological products forimportation fordistribution
andsaledonothaveexpiration dates.
15. There isnopenalty fornon-utilization ofapermit. Application userfeesandquarantine
reservation feesarenotrefundable.
16. Permits arenottransferable between importers.
17. There arenoconditions attached totheissuance ofapermit. Theapplicant mustcomply with
theterms ofthepermit. Theimporter certifies thattheinformation ontheapplication isaccurate.
Other Procedural Requirements
18. There arenoother administrative procedures required prior toimportation.G/LIC/N/3/USA/1
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19. Notapplicable.
DEPARTMENT OFAGRICULTURE
3. Sugar
Outline ofSystem
1. Additional U.S.note5toChapter 17oftheHarmonized Tariff Schedule oftheUnited States
(HTS) established byPresidential Proclamation 6763 ofDecember 1994, authorizes theSecretary of
Agriculture toestablish, foreachfiscal year, thequantity ofsugars andsyrups thatmaybeentered
atthelower tariff ratesoftariff-rate quotas. Thetariff-rate quotas cover sugars andsyrups described
inHTSsubheadings 1701.11, 1701.12, 1701.91, 1701.99, 1702.90 and2106.90. Thisauthority was
proclaimed toimplement theresults oftheUruguay Round ofmultilateral tradenegotiations asreflected
intheprovisions ofSchedule XX(United States), annexed totheAgreement Establishing theWorld
Trade Organization.
Under thetariff-rate quota system, theSecretary ofAgriculture establishes thequota quantity
thatcanbeentered atthelower tierofimport dutyrates, andtheUnited States Trade Representative
(USTR) allocates thisquantity among the40eligible sugar-exporting countries. Thequantities allocated
tobeneficiary countries under theGeneralized System ofPreferences (GSP), theCaribbean Basin
Initiative (CBI) andAndean Trade Initiative receive duty-free treatment. Certificates ofQuota Eligibility
(CQE) areissued totheexporting countries andmustbeexecuted andreturned withtheshipment of
sugar inorder toreceive in-quota tariff treatment. Regulations governing theCertificate ofQuota
Eligibility (CQE) programme arepublished inTitle15,Part2011oftheCode ofFederal Regulations.
Purposes andCoverage ofLicensing
2. Theproducts covered bythecertificate ofeligibility aresugars, syrups andmolasses described
inHTS1701.01.10, 1701.12.10, 1701.91.10, 1701.99.10, 1702.90.10 and2106.90.44. Specialty
sugar certificates areissued forthose sugars inHTS1701.12.10, 1701.91.10, 1701.99.10, 1702.90.10
and2106.90.44 which (1)aredefined in15CFR2011.202(j); (2)aretheproduct ofcountries with
nobasesugar quota allocation; and(3)require nofurther processing. Licences areissued forsugars
nottobefurther processed under HTS1701.11.20 which are:(1)usedfortheproduction, other than
bydistillation, ofpolyhydric alcohol except thatusedasasubstitute forsugar inhuman food, or(2)
re-exported inrefined form insugar-containing products.
3. TheCQE system applies tothose countries fromwhich sugar isimported under thetariff-rate
quota. Certificates forimports ofspecialty sugars apply tothose countries allocated shares ofthe
specialty sugar amount. Licences forsugar forproduction ofpolyhydric alcohol orre-export are
applicable toimports ofsugar from allcountries.
4. Thepurpose ofthecertificate ofeligibility istofacilitate reasonable andorderly access tothe
United States sugar market forthosecountries towhich aquota allocation hasbeengiven, andtopromote
orderly marketing anddistribution ofsugar within theUnited States. Thepurpose ofthequota for
specialty sugar istoallow entry ofcertain refined sugars usedforspecialized purposes, suchasethnic
market demand andgourmet specialties. Licences forquota-exempt sugar areintended toincrease
theutilization ofexcess domestic capacity andimprove employment inrefining andrelated industries.
5. Thecertificates ofquota eligibility areissued under 15CFR2011, Sub-part A.Certificates
forspecialty sugar areissued pursuant to15CFR2011, Sub-part B.Theregulations governing licences
fortheimportation ofsugar exempt from quota areunder 7CFR1530. Authority exists tosuspendG/LIC/N/3/USA/1
Page8
eachofthese systems whenever itisdetermined thatsuchaction isappropriate. Notice ofsuch
suspension shallbepublished intheFederal Register.
Procedures
6. I. Information ontheallocation ofquotas andonthecertificates andlicensing system
ispublished intheFederal Register, press releases fromtheOffice oftheUnited States
Trade Representative, andreports fromtheUnited States Department ofAgriculture.
II. Thesugar tariff-rate quota forrawandrefined sugar isdetermined annually bythe
Secretary ofAgriculture andannounced before thefiscal yearforwhich thequota will
beineffect. Theannual quota forspecialty sugars of2,000 shorttonnes (1,815 metric
tonnes) isannounced atthesame time asthequota forrawandrefined sugar.
Certificates ofquota eligibility areissued bytheSecretary ofAgriculture tocountries
tocoincide withtheapplicable quota year. Certificates forimporting specialty sugars
arelikewise issued toimporters tocoincide withthequota year. Licences issued for
quota-exempt sugar arenotsubject tothequota yearlimitations.
III. Governments ofcountries participating inthecertificate system inturnexecute and
issue these certificates toashipper orconsignee ofacargo ofsugar destined forthe
United States. Sugar isallowed entry intotheUnited States atthein-quota tariff rate
onlyifavalidandproperly executed certificate ofquota eligibility ispresented attime
ofentry totheappropriate customs official.
Certificates forspecialty sugar areissued forimports bytheUnited States Department
ofAgriculture, Foreign Agricultural Service ifsufficient evidence hasbeenprovided
tomake areasonable determination thatthesugar fitsthedefinition ofspecialty sugar.
Importers mustapply forcertificates forspecialty sugar eachquota year. Anyunused
portion ofacountry 'sspecialty sugar quota maynotbecarried overintothenextquota
year. Thecertificate ispresented totheappropriate customs official atthetimeof
entry.
LicencesforsugarimportsexemptfromquotasareissuedtoUnitedStatessugarrefiners
andUnited States manufacturers ofpolyhydric alcohol. Asummary oftransactions
form(balance sheet showing charges andcredits under thelicence) mustbepresented
totheappropriate customs official atthetimeofentry along withalicence.
IV. Notapplicable.
V. Notapplicable.
VI. Notapplicable.
VII. TheUnited States Department ofAgriculture administers thelicensing andcertificate
systems.
VIII. Thecertifying authority designated bytheparticipating country issues certificates of
eligibility totheshipper orconsignee ofsugar. Themaximum quantity ofsugar to
beshipped witheachcertificate shallnotexceed 10,000 short tonnes. Specialty sugar
certificates areissued toimporters onafirst-come first-served basis. Thecertificate
maycover more thanonetypeofspecialty sugar. Issuance ofacertificate doesnot
guarantee entry atthein-quota rateifthespecialty sugar quota isalready filled.
However, subject toquota availability, anunlimited number ofshipments mayenter.G/LIC/N/3/USA/1
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Themaximum quantity ofsugar thatcanbeentered under aquota exempt licence for
re-export inrefined form cannot exceed 50,000 metric tonnes atanytimeunless
specifically authorized bytheLicensing Authority. Assugar isre-exported, however,
aquantitative amount maybeimported equal totheamount thathasbeenre-exported.
Licences issued fortheimportation ofquota-exempt sugar fortheproduction of
polyhydric alcohol donotrequire renewal. Themaximum amount ofsugar which
maybeentered under thelicence cannot exceed theanticipated requirements ofthe
manufacturer.
Licences areissued tomanufacturers forobtaining quota-exempt refined sugar tobe
usedforre-export insugar-containing products. Themaximum amount which may
betransferred under animport licence is10,000 short tonnes ofsugar.
IX. Notapplicable.
X. Notapplicable.
XI. Licences forquota-exempt sugar areissued onlyif:(1)aquantity ofsugar equal to
thesugar imported isre-exported inarefined form, or(2)aquantity ofsugar equal
tothesugar imported ortransferred isre-exported inasugar-containing product, or
(3)aquantity ofpolyhydric alcohol equal tosugar imported must beproduced.
7. Notapplicable.
8. There arenoprovisions forrefusing toissuecertificates ofeligibility, certificates forimporting
specialty sugars, orlicences forimporting quota-exempt sugar other thanfailure tomeettheordinary
criteria.
Eligibility ofImporters toApply forLicence
9. Alldomestic importers areeligible toapply forcertificates forspecialty sugars. OnlyUnited
States refiners andUnited States manufacturers ofpolyhydric alcohol canapply forlicences toimport
quota-exempt sugar. Import agents maybeemployed toimport orexport quota-exempt sugar. Domestic
manufacturers areeligible toapply forlicensing inthesugar-containing products re-export programme.
There isnopublished listofauthorized importers.
Documentational andOther Requirements forApplication forLicence
10. Eachcertificate ofeligibility mustbenumbered andidentified bytheforeign country andmust
provide thefollowing information: (1)quantity eligible tobeentered; (2)name ofshipper; (3)name
ofvessel; and(4)portofloading. Thefollowing information mayalsobeincluded (ifknown): the
name andaddress ofconsignee; expected dateofdeparture; expected dateofarrival intheUnited States;
andexpected port(s) ofarrival intheUnited States.
Refiners wishing toapply forlicences toimport sugar forre-export inrefined formmustapply
inwriting. Their application mustinclude: (1)name andaddress oftheapplicant; (2)licence amount
requested (nottoexceed 50,000 metric tonnes); (3)polarity; (4)name offirmthatwillestablish a
performance bond infavour oftheUnited States Government onbehalf oftheapplicant, ifsuchfirm
isnottheapplicant; and(5)anticipated dateofentry ofsugar andexport ofrefined sugar (ifknown).
Thelicence holder shallsubmit acertified statement oftheweight oftheimported sugar tobecharged
tothelicence.G/LIC/N/3/USA/1
Page10
Manufacturers applying foralicence inthesugar-containing products re-export programme
mustapply inwriting. Their letter ofapplication mustinclude: (1)name andaddress oftheapplicant;
licence amount requested (nottoexceed 10,000 short tonnes); (2)HTSnumber anddescription of
sugar tobeimported ortransferred; (3)name offirm(ifknown) thatwillestablish aperformance
bondinfavour oftheUnited States Government onbehalf oftheapplicant; (4)thename(s) ofanticipated
refinery fromwhich processed non-quota sugar willbereceived (ifknown); and(5)adescription of
sugar-containing products tobeexported (ifknown) andtheestimated sugar content ofsuchproducts.
Only manufacturers ofpolyhydric alcohol areeligible toreceive licences toimport sugar for
useinthemanufacture ofpolyhydric alcohol. Applications forsuchlicences mustcontain thefollowing:
(1)thename andaddress ofthemanufacturer; (2)statement ofanticipated requirements ofthe
manufacturer forsugar tobeusedintheproduction ofpolyhydric alcohol; (3)anticipated amount
ofsugar tobeimported during thespecific effective period; (4)thename oftheperson thatwillestablish
aperformance bondinfavour oftheU.S.Government onbehalf oftheapplicant; and(5)certification
thatthemanufacturer shallusethequantity ofsugar imported solely fortheproduction, other than
bydistillation, ofpolyhydric alcohol, except polyhydric alcohol imported foruseasasubstitute for
sugar inhuman foodconsumption.
Applications forcertificates toimport specialty sugar(s) mustbeinwriting andmustprovide
thefollowing information: (1)name andaddress ofapplicant; (2)anticipated quantity ofimports;
(3)theappropriate six-digit HTSnumber; (4)adescription ofthespecialty sugar(s) expected tobe
imported during theperiod ofthecertificate, including themanufacturers 'orexporters 'usual trade
name ordesignation anduseofsuchspecialty sugar; (5)sufficient evidence thatitisaspecialty sugar(s);
(6)anticipated consumers (ifknown) attimeofapplication; and(7)anticipated dateofentry (ifknown).
11. Quotasugarenteredfromcountriesthatparticipateinthecertificatesystemmustbeaccompanied
byacertificate ofquota eligibility which hasbeensigned bythecertifying authority inthecountry
oforigin andaffixed withasealorform ofauthentication.
Acertificate issued fromtheDepartment ofAgriculture authorizing theimportation ofspecialty
sugar(s) must bepresented totheappropriate customs official atthetimeofentry.
Licences issued bytheDepartment ofAgriculture forentry ofsugar exempt from quota for
re-export inrefined form, fortheproduction ofpolyhydric alcohol mustbepresented totheappropriate
customs official atthetimeofentry.
12. Notapplicable.
13. Toenter theUnited States, sugar exempt from quota andentering under licence must meet
alltheapplicable customs bondrequirements andbesubject toaperformance bond. Nobondisrequired
foranysugar entered forwhich anequal quantity ofthesugar hasbeenexported prior tothedateof
entry ortransfer ofthesugar, andwhich hasbeencredited tothelicence. Abondmaycover imports
ortransfers made during theperiod specific inthebond (term bond). Only therefiner whoimports
thesugar orthemanufacturers whowilluseitmaybetheprincipal onabond tocover suchsugar
tobeimported ortransferred. Theamount ofbond forsugar entering exempt from quota shallbe
US$0.20 perpound ofthesugar entered under licence.
Theappropriate customs official willrelease theobligation under bondforsugar imported by
anamount computed inthepreceding manner foracorresponding quantity ofsugar credited tothe
licence ashaving beenexported inrefined formortransferred inrefined formtoalicensed manufacturer
participating inthesugar-containing product re-export programme. TheDepartment ofAgriculture
releases theobligation under bond forsugar transferred when acorresponding quantity ofsugar is
re-exported insugar-containing products.G/LIC/N/3/USA/1
Page11
Customs releases theobligation under bond forsugar usedintheproduction ofpolyhydric
alcohol when acertificate ofusehasbeenfiledwithin onemonth aftertheuseofthesugar indicating
thatthesugar wasusedfortheproduction ofpolyhydric alcohol.
Under there-export programme forrefined sugar, ifthelicence holder failstoexport (ortransfer
toalicence holder under thesugar-containing product re-export programme) aquantity ofsugar equal
totheamount ofsugar imported under licence within three months ofthedateofentry, payment shall
bemade totheUnited States under thebond equal totheamount ofsugar notoffset byexportation.
Under there-export programme forsugar-containing products, ifalicence holder failstoexport within
eighteen months ofthedateofalicence transfer, payment shallbemade equal tothemonetary amount
ofsugar notoffset bytimely export. Failure tousethetotalamount ofsugar forproduction of
polyhydric alcohol within 180daysofentry willrequire payment covering thequantity ofsugar not
usedforthestated purpose.
Conditions ofLicensing
14. Thecertificates ofeligibility arevalid onlyforthequota period forwhich theyareissued.
Under thesugar-containing products re-export programme, thelicences issued willexpire uponwritten
notice tothelicence holders bytheLicensing Authority ifthere havebeennocharges orcredits on
thelicence within 12months ofthedateonwhich thelicence wasissued oranysubsequent period
of18months thelicence maybedeemed tohaveexpired. Acertificate forspecialty sugar isvalid
onlyforthequota yearinwhich itisused.
15. There isnopenalty fornon-utilization.
16. Onlylicences issued forre-exporting sugar inrefined formcanbetransferred withthewritten
permission oftheDepartment ofAgriculture provided thattherefiner doesnothavealicence. Ifan
entry ofsugar ismade byanagent ofthelicence holder, theagent shallproduce forinspection toa
U.S.Customs official awritten authorization bythelicence holder designating suchaperson toact
ashis/her agent forthepurpose ofentering sugar.
17. There arenoother conditions attached toissuing certificates.
Other Procedural Requirements
18. Noother procedures arerequired.
19. Notapplicable.
DEPARTMENT OFAGRICULTURE
4. Certain Dairy Products
Outline ofSystem
1. Presidential Proclamation 6763of23December 1994modified theHarmonized Tariff Schedule
oftheUnited States (HTS) invarious ways thataffected theimport system forcertain dairy products.
TheProclamation terminated quantitative restrictions thathadbeenimposed pursuant tosection 22
oftheAgricultural Adjustment Actof1933, asamended (U.S.C. 624); proclaimed tariff-rate quotas
(TRQs) forsucharticles pursuant toP.L.103-465; andspecified which imports ofdairy articles may
require import licences issued inaccordance withtheterms andconditions inregulations issued by
theSecretary ofAgriculture.G/LIC/N/3/USA/1
Page12
Purposes andCoverage ofLicensing
2. Thelicensing system covers thefollowing dairy commodities asdefined intheAdditional U.S.
notes toChapter 4oftheHTS: butter andfresh orsourcream containing over45percentbyweight
ofbutterfat (note 8);dried skimmilk(note 7);dried whole milk(note 8);dried buttermilk andwhey
(note 12);butter substitutes (note 14);other cheese, NSPF (note 16);blue-mould cheese (note 17);
Cheddar cheese (note 18);American cheese other thanCheddar (note 19);Edam andGouda cheese
(note 20);Italian-type cheese (note 21);Gruyere-process cheese (note 22);lowfat cheese (note 23);
andSwiss/Emmenthaler cheese (note 25).
3. Thelicensing system applies todairy products coming from allsupplying countries.
4. Thelicensing system isanadministrative toolwhich governs theimportation ofcertain dairy
products which aresubject toTRQs resulting fromentry intoforce oftheUruguay Round Agreement.
Under theTRQ system, thein-quota quantity ofimports enters atthelow-tier tariff rate,andthe
over-quota quantity enters atthehigh-tier tariff rate. Dairy articles subject tolicensing cannot enter
atthein-quota rateunless suchimports areaccompanied byalicence. Anarticle maybeentered only
inthename ofthelicensee, orthelicensee 'sagent acting inthelicensee 'sname under thepower of
attorney, andthequantity entered must beowned bythelicensee onthedateofentry, andmust be
charged against thelicence ineffect. Thelicensing system wasoriginally implemented asarequirement
ofPresidential Proclamation 3019 forthepurpose ofproviding foranequitable distribution oftrade
indairyproducts covered bySection 22quotas among importers, users, andsupplying countries. Under
aTRQ system, licensing serves thesame trade-stabilizing andequity purposes.
5. Thelicensing system isnotastatutory requirement. Theauthority tomake suchallocations
wasdelegated totheSecretary ofAgriculture byPresidential Proclamation 6763of23December 1994.
Procedures
6. I. Theprocedures forsubmitting licence applications, eligibility criteria, licence use
requirements andother provisions oftheregulation arecodified in7CFR 6.20-6.34.
Theapplication forms, which arereadily available from theDepartment, provide
complete information ontheTRQs andallocations bysupplying country. Limitations
onthesizeofindividual licences areintheregulation. AnAdvanced Notice ofProposed
Rulemaking waspublished intheFederal Register on2June1994seeking comments
onmethods forallocating Uruguay Round TRQs through theyear2000, andcomments
onupdating orimproving theexisting regulation. On6January 1995and2May1995,
notices were published intheFederal Register amending theImport Regulation to
implement those U.S. Uruguay Round commitments for1995. TheDepartment
anticipates having arevised regulation inplace for1996 which willbepublished in
theFederal Register inthenearfuture.
II. Under theUruguay Round Agreement, thein-quota TRQ quantities willbeincreased
annually from1995to2000asaresult oftheUruguay Round market access negotiations
andtheimplementation schedule isincluded inGATT Schedule XX-United States
ofAmerica. Licence applications mustbesubmitted annually during theapplication
period specified intheImport Regulation. Licences areissued on1January ofeach
yearandarevalidfor12months. Forthose countries which didnotbegin toimplement
theirUruguay Round commitments until1July1995, theUnited States didnotissue
licences forthe1995 Uruguay Round increments until1July.
III. Licences areallocated toimporters ofdairy products regardless ofwhether theyare
producers oflikeproducts. Unused allocations maynotadded totheallocation oftheG/LIC/N/3/USA/1
Page13
succeeding year. TheImport Regulation requires thatlicensees mustutilize aspecified
percentage oflicences issued andmustvoluntarily surrender unused amounts which
arethenreallocated toother eligible licensees through anapplication process. Alist
ofnames oflicensed importers ismailed toalllicensees eachyear. Thelistisavailable
upon request.
IV. When anewquota foradairy product isannounced, theapplications haveatleast
30daysaftertheannouncement ofapplication procedures tosubmit applications and
supporting documentation.
V. Applications areprocessed asquickly aspossible aftertheyarereceived todetermine
iftheeligibility criteria intheImport Regulations aremet. Ingeneral, over4,000
applications arereviewed andtheapplication process iscompleted within fiveweeks.
VI. Licences areissued forusebeginning 1January andgenerally issued inthelasttwo
weeks ofDecember.
VII. Only theImport Licensing Group, Foreign Agricultural Service, United States
Department ofAgriculture, considers licence applications ondairy products.
VIII. Ifdemand forlicences exceeds licence availability, licences areissued to:
- historical licensees eachyearforthesame volume ofimports from thesame
supplying countries provided applications aresubmitted, andtheeligibility
criteria,licenceuseprovisions,andotherrequirementsoftheImportRegulation
aremet;
- designated licences areissued annually forcertain cheese articles toeligible
applicants whoaredesignated bythegovernment ofthecountry oforigin as
preferred importers. Anyquantities available fordesignation which arenot
designated willbetransferred tothenon-historical/supplementary licence pool;
- non-historical/supplementary licences areissued annually through arandom
lottery system. Licences received foraspecific cheese ornon-cheese dairy
product arenotrenewable inthefollowing year. Eligible applicants mayapply
annually foralicence.
IX. Export permits from foreign countries arenotrequired.
X. Same asabove.
XI. Pursuant toGeneral Note15oftheHTS, in-quota quantities ofTRQ imports maybe
imported which willnotenter thecommerce oftheUnited States which areimported
assamples fortaking orders, forexhibition, display orsampling atatrade fair,for
research, forusebyembassies offoreign governments orfortesting ofequipment,
provided thatwritten approval oftheSecretary ofAgriculture orhisdesignated
representative ispresented atthetimeofentry. TheLicensing Authority issues ex-quota
permits forthese entries aftercareful review ofapplications anddocumentation as
requested.
7. Where there isnoquantitative limitation onimports from aparticular country:G/LIC/N/3/USA/1
Page14
(a)-(d) Theapplication period isspecified intheImport Regulation. Applications cannot be
made outside thisperiod. Imports subject tolicences canenterwithout alicence atahigher tariffrate.
Alllicences aregranted effective 1January fortheentire in-quota quantities ofallarticles subject to
licensing.
8. Thecircumstances under which anapplication foralicence mayberefused other thanfailure
tomeettheordinary criteria isfailure tocomplete theapplication formandsubmit thefulldocumentation
requested within theapplication deadline period. Reasons forrefusal toaccept anapplication may
begiven toapplicants upon request. There arenorights ofappeal.
Eligibility ofImporters toApply forLicences
9. Importers ormanufacturers ofdairy products areeligible toapply forimport licences ifthey
meettheperformance criteria setforthintheImport Regulation withrespect tothequantity ofimports
entered inaprevious 12-month period (1September-31 August), andformanufacturers thespecified
levelofdairy production inaprevious 12-month period. Inaddition, manufacturers must belisted
inUSDA 's"Dairy Plants Surveyed". Forthe1995quota year,exporters ofdairyproducts wereeligible
toapply fornon-historical (lottery) licences fornon-cheese dairy products provided thatdocumentation
wasprovided thatexports ofdairyproducts exceeded specified quantities inaprevious 12-month period.
Therequired documentation providing proof ofimportation mustbesubmitted withapplication forms.
Historical licence eligibility isestablished primarily onthebasis ofproof ofimportation oftheitem,
forwhich application forlicence ismade, during aspecified representative period.
Documentational andOther Requirements forApplication forLicence
10. Theinformation required inapplications issetforthinFASPublication: 922,923,923A and
923B.
11. Atthetimeoftheactual importation, alicence number andcontrol number, taken from the
licensee 'scopyofthelicence, must bepresented tothePortDirector ofCustoms attheportwhere
entry ismade.
12-13. Asof1January 1986, afeehasbeencharged fororassociated withtheissuance oflicences.
For1995, afeeofUS$89.00 isbeing charged.
14. Licences arevalidfrom1January through 31December. Licence validity cannot beextended
intothenextquota year.
15. Licensees whodonotmeetan85percentutilization requirement mayvoluntarily surrender
unused amounts by1October orhavethatlicence amount reduced thefollowing year. Licence quantities
which aresurrendered arereissued toother licensees whoapply forunused licence shares following
anannouncementbytheLicensingAuthority.Suchlicencesareissuedthrougharandomlotteryprocess.
Historical licence eligibility canberevoked ifthelicensee failstoimport against hislicence fortwo
consecutive years, orthreenon-consecutive years within afive-year period. Revocation ofanylicence
maybeappealed within 30daysofthenotification ofrevocation.
16. Licences arenottransferable between importers.
17. Noother conditions areattached totheissuance ofalicence.G/LIC/N/3/USA/1
Page15
Other Procedural Requirements
18. Allfoodimports aresubject totherequirements oftheFood, Drug andCosmetic Actandthe
FairPackaging andLabelling Act,including sanitation andlabelling requirements, andmilkproducts
aresubject aswelltotheFederal Import MilkAct.These requirements areadministered bytheFood
andDrug Administration (FDA). Theimportation ofcertain dairy products isregulated bybothFDA
andtheAnimal andPlant Health Inspection Service (APHIS). Importers should contact FDAinregard
toFDA requirements andAPHIS inregard toAPHIS requirements.
19. Notapplicable.
DEPARTMENT OFENERGY
5. Natural Gas1
Outline ofSystem
1. Imports ofnatural gas,whether bypipeline orasliquefied natural gas(LNG), areregulated
underSection3oftheNaturalGasAct(NGA)(15U.S.C.717b),whichprovidesthat"nopersonshall...
import anynatural gasfrom aforeign country without firsthaving secured anorder ...authorizing
ittodoso".Section 3alsoprovides thatsuchorders shallbeissued unless, afteropportunity forhearing,
itisfound thattheproposed importation willnotbeconsistent withthepublic interest. Authority over
imports ofnatural gasrestswiththeSecretary ofEnergy. TheSecretary hasdelegated theauthority
to"authorize" theimport totheAssistant Secretary ofFossil Energy (FE)(Delegation Orders Nos.
0204-111 (49FR6690, 22February 1984) and0204-127 (54FR11436, 20March 1989)).
Inaddition, theSecretary hasdelegated authority totheFederal Energy Regulatory Commission
(FERC) toregulate theimported natural gaswithin thedomestic gassystem (Delegation Order No.
0204-112 (49FR6690, 22February 1984)). FERC responsibility includes thefunctions ofapproval
ordisapproval oftheconstruction andoperation ofparticular facilities, thesiteatwhich suchfacilities
shallbelocated, and,withrespect tonatural gasthatinvolves theconstruction ofnewdomestic facilities,
theplace ofentry.
On24October 1992, theEnergy Policy Actof1992 (EPACT) wasenacted. Section 201of
EPACT amends Section 3oftheNGA byeliminating theDepartment ofEnergy 's(DOE) needtomake
apublic interest finding fornatural gasimports from"anation withwhich thereisineffect afreetrade
agreement requiring national treatment fortrade innatural gas", andforimports ofliquefied natural
gas(LNG). Therefore, natural gas(andLNG) imports between theUnited States andother countries
withwhich theUnited States hasafreetrade agreement are"deemed tobeconsistent withthepublic
interest, andapplications forsuchimportation shallbegranted without modification ordelay".
Currently,virtuallyallnaturalgasimportapplicationsfiledwithDOEarereviewedunderEPACT
standards. DOE isnotrequired toevaluate these applications todetermine whether theyare"inthe
1Acopy ofeach ofthefollowing isavailable forconsultation intheSecretariat:
- Natural GasActof21June 1938, asamended;
- How toObtain Authorization toImport orExport Natural Gas(4October 1993);
- Procedures forFiling andProcessing anApplication before theOffice ofFossil Energy for
Authorization toExport/Import Natural Gasunder Section 3oftheNatural GasAct;
- NewPolicy Guidelines andDelegation Orders ontheRegulation ofImported Natural Gas(17
February 1984).G/LIC/N/3/USA/1
Page16
public interest". Because DOE'sdiscretionary authority hasbeeneliminated byEPACT inthesecases,
there isnolonger aneedtoinitiate public proceedings ortosolicit public comments. Rather, after
theseimport applications arereviewed forcompleteness andlegalsufficiency, DOE prepares andissues
authorizations asrequested. Orders granting authorizations arerequired inthesecases, butapplications
takelesstimetoprocess thancases which donotfallunder EPACT.
Purposes andCoverage ofLicensing
2. Theproducts covered arenatural gasandliquefied natural gas(LNG).
3. Thesystemappliestogoodsoriginatingfromanycountry,butpredominatelyCanadaandAlgeria.
4. Thelicensing isnotintended torestrict thequantity orvalue ofnatural gasimports.
5. Seeresponse toQuestion 1.
Procedures
6. Notapplicable.
7. (a) DOE regulations (10C.F.R. Part590)specify thatanapplicant foranatural gasimport
authorization should apply 90daysprior totheanticipated dateforstart-up ofthe
import. However, theissuance ofanimport authorization normally takes lessthan
twoweeks ifreviewed under EPACT standards.
(b) Anauthorization toimport natural gascanbegranted assoonasanapplicant hasfiled
alegallysufficientapplication,andassoonasthatapplicationisreviewedandprocessed.
(c) There arenolimitations astotheperiod oftheyearduring which anapplication for
authorization toimport natural gasmaybemade.
(d) Licensing applications areconsidered byasingle administrative organ, theOffice of
Fossil Energy, U.S.Department ofEnergy, theForestal Building, 1,000 Independence
Avenue, S.W., Washington D.C. 20585.
8. There arenocircumstances under which animport authorization canberefused, aslongas
anapplicant hassubmitted alegally sufficient application. Information which mustbecontained in
theapplication isspecified in10C.F.R. 590.
Eligibility ofImporters toApply forLicence
9. Allpersons, firms andinstitutions areeligible toapply forauthorization toimport natural gas.
Traditionally, entities applying forsuchauthorizations havebeennatural gaspipeline companies, natural
gasproducers, natural gasmarketers andutility companies.
Documentational andOther Requirements forApplication forLicence
10. Import authorization proceedings areinitiated bythefiling ofanapplication. Theapplication
isnotastandard form butrather anindividual document incorporating basic information about the
proposed import arrangement, andexhibits required bytherulescovering suchapplications setforth
inDOE regulation (10C.F.R. Part590). EPACT hasnecessitated creation ofabifurcated process
inthemanner inwhich DOE reviews applications toimport natural gas.Applications which involveG/LIC/N/3/USA/1
Page17
gasimports withnations withwhich theUnited States hasafreetrade agreement mustbegranted by
DOE "without modification ordelay". Asaresult, DOE'saction ofissuing suchimport authorizations
isministerial innature.
However, forapplications involving gasimports withnations withwhich theUnited States
doesnothaveafreetrade agreement requiring national treatment fortrade innatural gas,DOE must
determine whether theimport proposal is"inthepublic interest". Those applications aresubject to
theadministrative procedures specified in10C.F.R. Part590.
ImportApplicationsnotAffectedbyEPACT-NaturalgasimportapplicationsnotaffectedbyEPACT,
thatis,those cases which involve imports from anation withwhich theUnited States doesnothave
afreetrade agreement requiring national treatment fortrade innatural gas,aresubject toprocedural
requirements found in10C.F.R. Part590.After receipt ofanapplication, DOE provides public notice
ofthefiling intheFederal Register andsolicits comments ontheproposed import. Depending upon
theresponse tothenotice andintervention byinterested parties, DOE mayactontheapplication
immediately,ormayinstitutefurtherproceedings.Anopportunitytorequesttheseadditionalproceedings
must beprovided totheparties before anapplication canbedenied.
DOE'sreview ofthese import applications isguided byDelegation Order No.0204-111 and
certain natural gasimport policy guidelines issued inFebruary 1984 bytheSecretary ofEnergy. the
Delegation Order specifies thattheregulation ofimports shallbebased onmatters appropriate toeach
particular case, including:
(1) thecompetitiveness oftheimport;
(2) theneedforthegas; and
(3) security ofthesupply.
With respect tothecompetitiveness ofaproposed import, theapplicant must demonstrate thatthe
provisions ofthearrangement areflexible enough toensure continued competitiveness overtheduration
oftheimport, including flexibility tomeetchanging market conditions. Iftheimport arrangement
isconsidered competitive, apresumption ismade thatthere isaneedforthissupply intheproposed
market area. With regard tosecurity ofthesupply, thepolicy guidelines provide thatreference will
bemade tothehistorical reliability ofthesupplier asasource ofnatural gasfortheUnited States.
11. There isnoapplication form. Theapplication takes theformofawritten petition which must
contain theinformation specified intheregulation (10C.F.R. Part590).
12. Afiling feeofUS$50.00 ischarged foreachapplication.
13. There isnodeposit oradvance payment requirement associated withtheissuance ofanorder
toimport natural gas.
Conditions ofLicensing
14. Theduration ofanatural gasimport authorization usually isspecified intheOpinion andOrder
issued byDOE, anddepends upontheparticular circumstances oftheimport arrangement. Animport
authorization canbeextended upon application toDOE.
15. There isnopenalty fornon-utilization ofanorder toimport natural gas.
16. Authorizations toimport natural gasarenottransferable between importers.G/LIC/N/3/USA/1
Page18
17. Notapplicable.
Other Procedural Requirements
18. Each import authorization order requires natural gasimporters toreport sales information
quarterly toDOE. Information reported includes volume, price, names ofsellers andbuyers, and
other details oftheimport transactions.
19. Notapplicable.
DEPARTMENT OFINTERIOR
6. FishandWildlife (Including Endangered Species)
Outline ofSystem
1. On25August 1980, theService published finalrules revising 50CFRPart14(Importation,
Exportation, andTransportation ofWildlife) toimplement provisions ofanumber ofwildlife laws
enforced bytheService. Aspartofthatrulemaking andunder authority oftheEndangered Species
Actof1973 (ESA), animport/export licence requirement wasimposed onanyperson whoengages
inbusiness asanimporter orexporter offishorwildlife unless thatperson imports orexports certain
excepted wildlife orfallswithin oneofthecategories ofpersons excepted from therequirement by
therules. Thelicensing provision waspromulgated under section 9(d)oftheESA[16U.S.C. 1538(d)]
which provides thatitisillegal foranyperson toengage inbusiness asanimporter orexporter offish
orwildlife (other thancertain shellfish orfishery products) without firsthaving obtained permission
from theSecretary oftheInterior. On24March 1974, theService hadpublished anotice granting
temporary permission toallpersons needing it.Theimport/export licence wasproposed on27March
1978. After twocomment periods andtwopublic hearings theService retained thelicence requirement
withcertain exceptions inthefinalrules. Thelicence requirement wentintoeffect on1January 1981.
On27January 1989, afterpublication oftheproposed ruleandcomment period, theService published
afinalruleamending theprevious import/export licensing, inspection andbilling procedures, which
became effective onthatdate.
Thelicence requirement isfound at50CFR 14.91-93. Licensees must:
(1) payUS$125 peryear;
(2) payaninspection feeofUS$25 foreachshipment, at,orprior totheinspection;
(3) importers orexporters ofwildlife willpayfeesforactual costsofinspections conducted
atspecial times orlocations attheshipper 'srequest;
(4) keepcertain records andretain them forfiveyears;
(5) allow Service inspection ofrecords andinventories ofimported wildlife; and
(6) fileanyrequested reports.
Exceptions tothelicence requirement arefound at50CFR 14.92. Certain persons excepted from
thelicence requirement by50CFR14.92(b) muststillcomply withtherequirements ofsection 9(d)
oftheESA, which areto:
(1) keeprecords which fullyandcorrectly disclose eachimportation orexportation of
wildlife bythem;
(2) keeprecords which fullyandcorrectly disclose thesubsequent disposition bythem
oftheimported orexported wildlife; and
(3) allow Service inspection ofrecords andinventories ofimported wildlife.G/LIC/N/3/USA/1
Page19
Purposes andCoverage ofLicensing
2. Thelicensing system covers all"wildlife" which byregulation means thesame as"fish or
wildlife", which isdefined by50CFR 10.12 asfollows:
Theterm"fishorwildlife" means anywildmammal, whether aliveordead, including without
limitation anywildanimal, bird, reptile, amphibian, fish,mollusc, crustacean, arthropod,
coelenterate, orother invertebrate, whether ornotbred, hatched, orbornincaptivity, and
including anypart,product, egg,oroffspring thereof.
3. Thelicensing system applies toanyperson who"engages inbusiness asanimporter orexporter
ofwildlife". Thatphrase means foraperson todevote time, attention, labour oreffort toanyactivity
forgainorprofit thatinvolves theimportation orexportation ofwildlife whether ornotsuchperson
isanimporter orexporter within themeaning ofthecustoms lawsoftheUnited States.
Persons excepted from thelicence requirement by50CFR 14.92(b) include:
(1) common carriers;
(2) customs house brokers;
(3) public museums, orother public, scientific oreducational institutions, importing or
exporting wildlife forresearch oreducational purposes andnotforresale;
(4) Federal, State, ormunicipal agencies;
(5) circuses importing orexporting wildlife forexhibition purposes onlyandnotfor
purchase, sale,ortransfer ofsuchwildlife; and
(6) anyperson ifthevalue wasdeclared ontheDeclaration ofImportation orExportation
ofFishandWildlife (Form 3-177) ofthewildlife thatperson imports andexports during
ayeartotals lessthanUS$25,000.
4. Thelicensing system isnotintended torestrict thequantity orvalue ofimports. Thepurposes
ofthelicence requirement areto:identify largecommercial importers andexporters ofwildlife, require
records which fullyandcorrectly disclose eachimportation orexportation ofwildlife andthesubsequent
disposition ofthewildlife bytheimporter orexporter, allow theService toinspect records required
tobekeptandinventories ofimported wildlife, remove repeat wildlife lawviolators fromcommercial
wildlife trade, improve communications between theService andcommercial wildlife importers and
exporters, andassist theService initseffort toconserve endangered andthreatened species andidentify
species which maybethreatened orendangered.
5. Section 9(d)oftheEndangered Species Actof1973 [16U.S.C. 1538(d)] makes itunlawful
"foranyperson toengage inbusiness asanimporter orexporter offishorwildlife...without firsthaving
obtained permission from theSecretary [oftheInterior]". Byregulation theterm"permission" was
treated asagrant ofauthority torequire alicence, butthelicence isnotstatutorily required. Exceptions
tothelicence requirement canbecreated byregulation. Further, thecoverage ofthelicence canbe
broadened ornarrowed bychanging thedefinition ofeither "fishorwildlife" orthephrase "engage
inbusiness asanimporter orexporter offishorwildlife".G/LIC/N/3/USA/1
Page20
Procedural Requirements
6. Notapplicable.
7. (a) Notime-limit issetforreceiving anapplication inadvance ofimportation. However,
50CFR14.91(a) states itisunlawful after31December 1980, foranyperson toengage
inbusiness asanimporter orexporter ofwildlife without firsthaving obtained avalid
import/export licence fromtheDirector (oftheService). Itisrequired thatapplications
forlicence renewals bereceived bytheissuing office atleast30daysbefore thecurrent
licence expires.
(b) Yes.
(c) No.
(d) ApplicationsaresubmittedtoandprocessedbyServicelawenforcementregionaloffices.
TheAssistant Regional Director -LawEnforcement ofeachoffice hasbeendelegated
authority toissue licences.
8. Applications mustmeettheprovisions of50CFR13.11 and13.12. Under 50CFR13.21(b)
alicence mayberefused if:
(1) theapplicant hasbeenassessed acivilpenalty, hasbeenconvicted ofanycivilor
criminal provision ofanystatute orregulation relating totheactivity forwhich the
application isfiled, ifsuchassessment orconviction evidences alackofresponsibility;
(2) theapplicant hasfailed todisclose material information required, orhasmade false
statements astoanymaterial fact,inconnection withhisapplication;
(3) theapplicant hasfailed todemonstrate avalidjustification forthepermit andashowing
ofresponsibility;
(4) theauthorization requested potentially threatens awildlife orplant population; or
(5) theDirector finds through further inquiry orinvestigation, orotherwise, thatthe
applicant isnotqualified.
Anapplicant mustbenotified inwriting iftheapplication isdenied andgiven reasons forthe
denial. Ifauthorized inthenotice ofdenial, theapplicant maysubmit further information, orreasons
whythelicence should begranted. Thefinalaction bytheDirector isconsidered thefinaladministrative
decision oftheDepartment oftheInterior.
Eligibility ofImporters toApply forLicence
9. (a) Notapplicable.
(b) Allpersons, firms, andinstitutions areeligible toapply foralicence.G/LIC/N/3/USA/1
Page21
Documentational andOther Requirements forApplication forLicence
10. Thefollowing information isrequired:
(1) applicant 'sname, mailing address, andphone number;
(2) where theapplicant isanindividual, hisdateofbirth, height, weight, colour ofhair,
colour ofeyes, andsex;andbusiness orinstitutional affiliation, ifany,having todo
withthewildlife tobecovered bythelicence;
(3) where theapplicant isacorporation, firm, partnership, institution, oragency, either
private orpublic, thename andaddress ofthePresident, allpartners andprincipal
officers, andoftheregistered agent fortheservice ofprocess;
(4) location where thepermitted activity istobeconducted;
(5) certification inthefollowing language:
Ihereby certify thatIhavereadandamfamiliar withtheregulations contained inTitle
50,Part13,oftheCode ofFederal Regulations andtheother applicable partsinSub-
chapter BofChapter IofTitle50,andIfurther certify thattheinformation submitted
inthisapplication forapermit iscomplete andaccurate tothebestofmyknowledge
andbelief. Iunderstand thatanyfalsestatement herein maysubject metothesuspension
orrevocation ofthispermit andtothecriminal penalties of18U.S.C. 1001.
(6) desired effective dateoflicence;
(7) date;
(8) signature oftheapplicant;
(9) abriefdescription ofthenature oftheapplicant 'sbusiness asitrelates totheimportation
orexportationofwildlife,e.g.,"liveanimaldealer","furbroker","taxidermist","retail
department store", and"petshop";
(10) astatement ofwhere books orrecords concerning wildlife imports orexports willbe
kept;
(11) astatement ofwhere inventories ofwildlife willbestored;
(12) name,address,andtelephonenumberoftheofficer,manager,orotherpersonauthorized
tomake records orwildlife inventories available forexamination byService officials;
and
(13) theanticipated dollar amount ofwildlife tobeimported orexported during acalendar
year. Acopyoftheapplication hasbeenattached.1
1Available forconsultation intheSecretariat (Market Access Division).G/LIC/N/3/USA/1
Page22
11. Animport/export licence isonlypermission toengage inbusiness asanimporter orexporter
ofwildlife. Suchalicence isinaddition to,anddoesnotsupersede, anyother requirement established
bylawfortheimportation orexportation ofwildlife.
12. Thelicence feeisUS$125.00.
13. Applications must beaccompanied bythelicence fee.
Conditions ofLicensing
14. Licences arevalid foroneyear. Thelicensee mustapply forrenewal totheissuing office at
least30daysbefore thecurrent licence expires.
15. Ifalicensee discontinues engaging inbusiness asanimporter orexporter ofwildlife, thelicensee
must within 30daysmailthelicence andarequest forcancellation totheissuing officer.
16. Licences arenottransferable between importers. Agents under thedirect control of,employed
by,orunder contract tothelicensee maycarry outtheactivities authorized bythelicence.
17. (a) Notapplicable.
(b) Inaddition tothegeneral conditions found in50CFRPart13,under 50CFR14.93(c)
licensees aresubject tothefollowing special conditions:
(1) thelicensee shall, from theeffective dateofthelicence, keepsuchrecords
aswillfullyandcorrectly disclose eachimportation orexportation ofwildlife
made bythelicensee andthesubsequent disposition made bythelicensee with
respect tosuchwildlife. Therecords must include ageneral description of
theform ofthewildlife, suchas"live", "raw hides", or"furgarments"; the
quantity ofwildlife, innumbers, weight, orother appropriate measure; the
common andscientific names; thecountry orplace oforigin ofthewildlife,
ifknown; thedateandplace ofimport orexport; thedateofthesubsequent
disposition ofthewildlife; themanner ofdisposition, whether bysale,barter,
consignment, loan, delivery, destruction, orother means; andthename and
address oftheperson whoreceived thewildlife pursuant tosuchdisposition,
ifapplicable;
(2) licensees shallinclude andretain intheirrecords copies ofallpermits required
bythelawsandregulations oftheUnited States andanycountry ofexport
ororigin;
(3) licensees shallmaintain suchbooks andrecords foraperiod offiveyears;
(4) subject toapplicable limitations oflaw,dulyauthorized Service officers atall
reasonable times shall, uponnotice, beafforded access tothelicensee 'splaces
ofbusiness, anopportunity toexamine thelicensee 'sinventory ofimported
wildlife andtherecords required tobekeptandanopportunity tocopysuch
records;
(5) licensees shall, upon written request bytheDirector, submit within 60days
ofsuchrequest areport containing theinformation required tobemaintained
intherecords ofthelicensee.G/LIC/N/3/USA/1
Page23
Other Procedural Requirements
18. Alicence mustcomply withtherequirements of50CFRPart14which apply totheimportation,
exportation, ortransportation ofwildlife generally. Further, alicensee importing orexporting a
particular species mayhavetocomply withother requirements found in50CFRParts 10-23 andother
State orFederal laws.
19. Notapplicable.
DEPARTMENT OFJUSTICE
7. Controlled Substances
Outline ofSystem
1. Thesystem ofimport permits, declarations andquotas isdesigned torestrict theimportation
ofcontrolled substances tothatquantity necessary tomeetthemedical, scientific orother legitimate
needs oftheUnited States, andtomonitor thehandlers ofsuchsubstances. Thesystem alsoestablishes
amethod bywhich theUnited States canmeetitsinternational treaty obligations under the1961Single
Convention Treaty onNarcotic Drugs andtheConvention onPsychotropic Substances, 1971.
Purposes andCoverage ofLicensing
2. Inorder toimport anycontrolled substance, theimporter mustapply totheDrug Enforcement
Administration (DEA) forregistration asanimporter. Theregistration application mustbeapproved
bytheDEA andisissued annually. Upon registration approval, prior toimportation, theregistered
importer must:
(a) apply forandreceive apermit toimport anySchedule IorSchedule II,oranynarcotic
controlled substance inSchedules III,IV,orVoranynon-narcotic controlled substance
inSchedule IIIwhich theAdministrator hasspecifically designated byregulation in
Title21,Code ofFederal Regulations, Section 1312.30 oranynon-narcotic controlled
substance inSchedule IVorVwhich isalsolisted inSchedule IorIIoftheConvention
onPsychotropic Substances; or
(b) submit aspecific import declaration pershipment forallnon-narcotic controlled
substances inSchedules III,IVorV.Thelistofbasic classes ofcontrolled substances
covered under theauthority oftheControlled Substances Actislisted inTitle21,Code
ofFederal Regulations, Part1308.
Theattached copyofTitle21,Code ofFederal Regulations, Part1300 toend,revised asof
1April 19951,includes allthelatest scheduling actions. Since 1April 1995, there hasbeenone
scheduling action:
4-bromo-2, 5-dimethoxyphenethylamine wasplaced intoSchedule I,effective 2June1995.
Thesubstance hadbeenplaced inSchedule Ion6January 1994 under temporary scheduling
provisions (60Federal Register 28718, 2June1995).
1Available forconsultation intheSecretariat (Market Access Division).G/LIC/N/3/USA/1
Page24
Other thanopium, poppy straw, concentrate ofpoppy straw orcocaleaf,noSchedule Ior
IIsubstance, ornarcotic substance inSchedule III,IVorVmaybeimported unless theAttorney General
finds (a)anemergency exists inwhich domestic supplies areinadequate or(b)competition among
domestic manufacturers isinadequate andwillnotberendered adequate bytheregistration ofadditional
manufacturers.
3. Ingeneral, theimport restrictions apply toallcontrolled substances, regardless ofthecountry
oforigin. However, Title21,Code ofFederal Regulations, Section 1312.13 poses additional limitations
ontheimports ofnarcotic rawmaterials. Ineffect, theimportation ofapproved narcotic rawmaterials
(opium, poppy straw andconcentrate ofpoppy straw) intotheUnited States shallhaveasitssource:
(a) Turkey,
(b) India,
(c) Yugoslavia,
(d) France,
(e) Poland,
(f) Hungary, and
(g) Australia.
And, atleast80percentofthenarcotic rawmaterial imported intotheUnited States shall
haveasitssource Turkey andIndia. Except under conditions ofinsufficient supplies ofnarcotic raw
materials, notmore than20percentofthenarcotic materials imported annually shalloriginate in
Yugoslavia, France, Poland, Hungary andAustralia. This policy hasbeen ineffect since
17September 1981.
4. Thesystem isdesigned torestrict thequantity ofimports ofcontrolled substances (notmonetary
value)andtomaintainamonitoringsystem.Previoussystemswereusedpriortotheimportrequirements
oftheControlled Substances Act(effective 1May1971). However, thecurrent system ismandated
byUnited States lawandisbased upontwointernational treaties (TheSingle Convention onNarcotic
Drugs, 1961 andtheConvention onPsychotropic Substances, 1971).
5. Thesystem ofregistration ofimporters andthesystem ofquotas (forSchedule IandIIdrugs)
arestatutory requirements established intheComprehensive Drug Abuse Prevention andControl Act
of1970, PartC(Sections 301,302,303,306)andtheimport requirements established intheControlled
Substances Import andExport Act(Sections 1002, 1007 and1008) (21United States Code, Sections
822,823,826,953,957and958)andimplementing regulations. TheControlled Substances Act
statutorily establishes criteria bywhich drugs arecontrolled inoneoffiveschedules subject toimport
requirements. Thesystem required bystatute cannot beabolished without legislative approval.
Procedures
6. I. Annual notice ofpublications ofaggregate production quotas designed toaccount for
thetotalneedsoftheUnitedStates(eitherthroughdomesticmanufactureorimportation)
forallSchedule IandIIcontrolled substances ispublished intheFederal Register on
orabout 1Julyoftheyearprior tothattowhich thequota applies. Noquota is
established forSchedules III,IVorVcontrolled substances. Additional notice of
regulations ispublished inTitle21,Code ofFederal Regulations, Part1300 toEnd.
II. Quotas forlegitimate need aredetermined onanannual basis, butdeterminations
regarding importations aremade atthetimeofindividual applications.G/LIC/N/3/USA/1
Page25
III. Import permits areissued onlyonapplication byregistered importers whohave
demonstratedthelegitimateneedfortheimportedsubstance.Declarationsaresubmitted
asanadvanced notice ofimport onlyformonitoring purposes byDEA.
IV. Notapplicable; individual determinations aremade.
V,VI.Applications toimport arereviewed upon receipt byDEA.
VII. DEA considers andapproves allapplications forimportation ofcontrolled substances.
Copies ofimport permits areprovided totheU.S.Customs Service formonitoring
andcertification purposes.
VIII. Registration isbased, inpart,onsecurity, records, history ofviolations, andState
approval. Import permits arebased uponavailable supply andlegitimate needforthe
substance intheUnited States.
IX. Notapplicable.
X. Notapplicable.
XI. Controlled substances onpermits mayonlybeimported forlegitimate needs ofthe
United States.
7. Schedules III,IV,andVnon-narcotic controlled substances aresubject toimport declarations,
andimporters aresubject toregistration.
(a) Importationmaybemadeonlybyapproved,registeredimporters.Animportdeclaration
must befiled 15days inadvance oftheproposed dateofimport. Inspecial
circumstances, the15daysmaybewaived administratively.
(b) Notapplicable.
(c) Notapplicable.
(d) Yes. DEA.
8. Aregistered importer canberefused animportation iftheimporter cannot demonstrate the
needintheUnited States, inlinewiththeabove criteria.
Eligibility ofImporters toApply forLicence
9. Imports areonlyapproved forregistered importers whomustbeinspected foradequate records,
security, State approval, etc.,prior toregistration. Theregistration feeisUS$438.00. Researchers
arealsoallowed toimport those substances forwhich theyareregistered toconduct research. Their
registration feeisUS$70.00 annually.
Documentational andOther Requirements forApplication forLicence
10. Theinformation required foranimport permit issetforth inTitle 21,Code ofFederal
Regulations, Section 1312.12 andinclude (a)name, address ofconsignor, (b)foreign portofexport,
(c)United States portofentry, (d)datesofshipment, (e)name ofcarrier, (f)amount and(g)importer 's
allotment fortheyear.G/LIC/N/3/USA/1
Page26
11. Import permit.
12. Nofeeislevied perimport permit.
13. No.
Conditions ofLicensing
14. Registration isannual. Permits arevalid forsixmonths.
15. Importation notpursuant toapermit ordeclaration issubject toseizure, civilandcriminal
penalties.
16. No.
17. No.
Other Procedural Requirements
18. No.
19. Notapplicable.
DEPARTMENT OFTREASURY
Bureau ofAlcohol, Tobacco andFirearms
8. Distilled Spirits (Beverages); Wine andMalt Beverages
Outline ofSystem
1. Producers, bottlers, wholesalers andimporters ofdistilled spirits, wineandmaltbeverages
arerequired tohavepermits, issued under theFederal Alcohol Administration Act,toengage intheir
respective businesses. Primary purposes ofthisrequirement aretoprotect theconsumer byoversight
oflabelling, advertising andother practices.
Purposes andCoverage ofLicensing
2. Animporter 'sbasic permit under theFederal Alcohol Administration Actisoneofseveral
different permits controlling thedistilled spirits, wineandmaltbeverage industries.
3. Thepermit system applies togoods originating inandcoming from allcountries.
4. No.Intent ofpermitting istoensure thatcommodities arepackaged, marked, branded and
labelled inconformity withtheFederal Alcohol Administration Act.
- No.
- Notapplicable.G/LIC/N/3/USA/1
Page27
5. Thepermit system isastatutory requirement oftheFederal Alcohol Administration Act,
27U.S.C. 201etseq.27CFR Part1,etseq.
- Yes.
- No.
- No.
Procedures
6. Notapplicable.
7. (a) Basic permits areissued usually within fourtosixweeks ofapplication. Under certain
circumstances apermit canbeobtained, within ashorter timeframe.
(b) Notnormally, however, under certain circumstances alicence canbegranted
immediately onrequest.
(c) No.
(d) Yes,consideration ofpermit applications iseffected byasingle administrative organ.
- No.
- Notapplicable.
8. None.
- Thereasons foranyrefusal aregiven totheapplicant inwriting.
- Intheevent ofrefusal toissueapermit, administrative appeals maybemade through
Director, ATFtotheUnited States Court ofAppeals.
Eligibility ofImporters toApply forLicence
9. (a) Yes.
(b) Notapplicable.
- Notapplicable.
Documentational andOther Requirements forApplication forLicence
10. Importer 'sbasic permit. ATFForm 5170.4.
- Such supporting documentation asrequired.
11. Certificate ofAgeandOrigin (ifissued bycountry oforigin) andcertificate ofLabel Approval.
12. No.
- Notapplicable.G/LIC/N/3/USA/1
Page28
13. No.
- Notapplicable.
Conditions ofLicensing
14. Continuing, unless revoked orsurrendered.
- Notapplicable.
- Notapplicable.
15. Ifinactive fortwoyears, mayaskpermittee tosurrender permit.
16. No.
17. (a) Notapplicable.
(b) No.
Other Procedural Requirements
18. PaymentofSpecial(occupational)TaxyearlyunderInternalRevenueCode:importer/wholesaler
inliquors (spirits, wines andbeer): US$500 -importer/wholesalers inbeer: US$500 -27CFRParts
194and251.
19. Notapplicable.
DEPARTMENT OFTREASURY
Bureau ofAlcohol, Tobacco andFirearms
9. Distilled Spirits forIndustrial Use
(Including Alcohol forFuelUse)
Outline ofSystem
1. TheInternal Revenue Code requires thatproducers, distributors andusers ofdistilled spirits
forindustrial purposes havepermits. Industrial alcohol isexempt fromtaxation ifusedasauthorized
byLaw. Thepermit system isameans tocontrol these authorized uses.
Purposes andCoverage ofLicensing
2. Apermit, assuch, fortheimportation ofalcohol forindustrial useisnotrequired. Alcohol
ordistilled spirits asdefined in26U.S.C. 5002 (a)(8) includes alcohol which mayhavedenaturants
present. Suchalcohol cannot bereceived intothiscountry except byadistilled spirits plant, permitted
andbonded under theInternal Revenue Code unless itistax-paid upon importation.
3. Allcountries.G/LIC/N/3/USA/1
Page29
4. Seereply toquestion 1.
- No.
- Notapplicable.
5. 26U.S.C. 5171, 5181, 27CFR Part19.
- Yes.
- No.
- No.
Procedures
6. Notapplicable.
7. (a) Permits under theInternal Revenue Code areusually issued within fourtosixweeks
fromtimeofapplication. Under certain circumstances, apermit canbeobtained within
ashorter timeframe.
(b) Notnormally, however, under certain circumstances alicence canbegranted
immediately onrequest.
(c) No.
(d) Yes.
8. None.
- Thereasons foranyrefusal aregiven totheapplicant inwriting.
- Intheevent ofrefusal toissue alicence, administrative appeal maybemade through
theDirector, ATFtotheU.S. District Court.
Eligibility ofImporters toApply forLicence
9. (a) Yes.
(b) Notapplicable.
- Notapplicable.
Documentational andOther Requirements forApplication forLicence
10. (a) Industrial Alcohol -Application forOperating Permit under 26U.S.C. 5171(d)-ATF
F5110.25
(b) FuelAlcohol -Application andPermit forAlcohol FuelProducer under -26U.S.C.
5181; Form 5110.74
- Such supporting documentation asrequired.
11. Ordinary commercial papers.G/LIC/N/3/USA/1
Page30
12. No.
- Notapplicable.
13. No.
- Notapplicable.
Conditions ofLicensing
14. Continuing, unless revoked orsurrendered.
- Notapplicable.
- Notapplicable.
15. Permits aresubject torevocation ifnotusedwithin twoyears.
16. No.
17. (a) Notapplicable.
(b) No.
Other Procedural Requirements
18. No.
19. Notapplicable.
DEPARTMENT OFTREASURY
Bureau ofAlcohol, Tobacco andFirearms
10. Firearms andAmmunition
Outline ofSystem
1. Under theGunControl Actof1968, theUnited States maintains asystem oflicences andpermits
controlling themanufacturing, importing anddealing infirearms andammunition. TheBureau of
Alcohol, Tobacco andFirearms (ATF) administers theimport controls along withtheimport controls
established bytheArms Export Control Actof1976. In1989, adecision tobantheimport ofcertain
assault rifles resulted from adetermination thatthese rifles were notsuitable forsporting purposes.
Thedetermination wasmade under existing USlawanddoesnotreflect anychange inlicensing
procedures forfirearms.
Purposes andCoverage ofLicensing
2. Seereply toquestion 1.Firearm means (a)anyweapon (including astarter gun)which will
orisdesigned toormayreadily beconverted toexpel aprojectile bytheaction ofanexplosive; (b)
theframe orreceiver ofanysuchweapon; (c)anymuffler orsilencer; or(d)anydestructive device.
Antique firearms areexempt.G/LIC/N/3/USA/1
Page31
3. Allcountries except those proscribed bytheDepartment ofStatefromwhich imports aredenied
entry intotheUnited States. Currently proscribed countries include: Cuba, North Korea, Outer
Mongolia, Vietnam andthose countries orareas thatcomprised theformer Soviet Union, including
Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Kyrgyztan, Moldavia, Russia, Tajikistan,
Turkmenistan, Ukraine andUzbekistan.
4. No.Generally, thepurpose ofthelicensing system istoprevent thepossession offirearms
bypersons falling within statutorily determined prohibited categories. Aspecific purpose oftheimport
requirements, inaddition totheabove, istoensure thatmachine guns, destructive devices, surplus
military firearms, andother likefirearms arenotimported except fortheuseofgovernmental agencies.
- No.
- Notapplicable.
5. 18U.S.C., Chapter 44
26U.S.C., Chapter 53
27CFR Parts 178and179:
- Yes.
- No.
- No.
Procedures
7. (a) Licence isissued within 45daysafterapplication. Permit application isapproved within
10days.
Permit canbeapproved immediately iflicence hasbeenissued.
(b) Permit canbeissued immediately onrequest.
(c) No.
(d) Yes.
- No.
- Notapplicable.
8. None.
- Thereasons foranyrefusal aregiven totheapplicant inwriting.
- Intheevent ofrefusal toissuealicence, administrative appeal maybemade toDirector,
ATF, further toUnited States District Court ifdesired.
Eligibility ofImporters toApply forLicence
9. (a) Yes.
(b) Notapplicable.
- Notapplicable.G/LIC/N/3/USA/1
Page32
Documentational andOther Requirements forApplication forLicence
10. Applications: (Forms 7and6).
- Applications andPermit forImportation ofFirearms, Ammunition andImplements
ofWar(ATF Form 6,PartI).
- Release andReceipt ofImported Firearms, Ammunition andImplements ofWar(ATF
Form 6A).
11. None.
12. Yes. US$150.00 forimporters offirearms orammunition other thandestructive devices or
ammunition US$3,000.00 forimporters ofdestructive devices orammunition. These licences are
renewed every three years.
13. No.
Conditions ofLicensing
14. Licence: oneyearfrom dateofissue.
Import Permit: oneyearfrom dateofissue.
Thevalidity ofalicence canbeextended byrenewal application forlicence andnewapplication
forimport permit.
15. No.
16. No.
17. (a) Notapplicable.
(b) No.
Other Procedural Requirements
18. No.
19. Notapplicable.
DEPARTMENT OFTREASURY
Bureau ofAlcohol, Tobacco andFirearms
11. Firearms, Ammunition andImplements ofWar
Outline ofSystem
1. TheUnited States maintains asystem ofregistrations andpermits tocontrol theimportation
ofarms, ammunition andimplements ofwar.Thelawandregulations oftheseimports areadministered
byATFinconjunction withtheGunControl Actof1968. TheDepartment ofStatemaintains asimilar
system ofcontrols relative toexports.G/LIC/N/3/USA/1
Page33
Purposes andCoverage ofLicensing
2. Persons engaged inthebusiness ofimporting articles ontheUnited States Munitions Import
Listmustberegistered. Actual importation isauthorized byuseofForm 6.Articles ontheimport
listarearticles thathavesignificant military applicability.
3. Allcountries. Goods from certain countries (primarily centrally-planned economies) as
determined byState Department aredenied entry intotheUnited States.
4. Primary purpose istosuppress international trafficking inarms.
- No.
- Notapplicable.
5. Arms Export Control Actof1976
22U.S.C. 2778 27CFR Part47
Executive Order 11432 (33F.R.15701).
- Yes.
- Yes.
- No.
Procedures
7. (a) Approximately tenworking daysinadvance.
- Yes.
(b) Yes.
(c) No.
(d) Yes.
- No.
- Notapplicable.
8. None.
- Yes.
- Intheevent ofrefusal toissuealicence, administrative appeals maybemade through
Director, ATFtoUnited States District Court.
Eligibility ofImporters toApply forLicence
9. (a) Yes.
(b) Notapplicable.
- Notapplicable.G/LIC/N/3/USA/1
Page34
Documentational andOther Requirements forApplication forLicence
10. ATFForm 4587 andForm 6.
- None.
11. ATFForms 6and6A.
12. Feeforregistration butnotforpermit.
Amount offee:
Oneyear:
Twoyears:
Three years:
Four years:
Fiveyears:US$250
US$500
US$700
US$850
US$1,000
13. No.
Conditions ofLicensing
14. Registration: onetofiveyears.
Permit: oneyearfrom dateofissue.
15. No.
16. No.
17. (a) Notapplicable.
(b) No.
Other Procedural Requirements
18. No.
19. Notapplicable.
DEPARTMENT OFTREASURY
Bureau ofAlcohol, Tobacco andFirearms
12. Explosives
Outline ofSystem
1. Manufacturers, dealers andimporters ofexplosive materials arerequired byLawtobelicensed
toengage intheirrespective businesses. Theprimary purpose ofthislicensing system istokeep
explosives outofthehands ofpersons prohibited bytheLawfromreceiving, orpossessing explosives
andtoensure thesafeandsecure storage ofexplosives.G/LIC/N/3/USA/1
Page35
Purposes andCoverage ofLicensing
2. Explosive materials areexplosives, blasting agents anddetonators. Permits arerequired of
users whowishtobuyininter-State orforeign commerce. Licences arerequired asstated inreply
toquestion 1.
3. Allcountries.
4. No.Purposesaretoprotectagainstthemisuseandunsafeinsecurestorageofexplosivematerials.
Seealsoreply toquestion 1.
- No.
- Notapplicable.
- No.
5. 18USC Chapter 40-27CFR Part55.
- Yes.
- No.
- No.
Procedures
7. (a) Anapplication mustbeapproved ordenied within 45daysafterreceipt. Usual turn-
around timefrom receipt ofapplication toissuance oflicence is30days.
(b) No,notusually. However, itcould bedoneunder extreme circumstances.
(c) No.
(d) Yes.
- No.
- Notapplicable.
8. None.
- Yes,thereasons foranyrefusal aregiven totheapplicant inwriting.
- Intheevent ofrefusal toissuealicence, administrative appeals maybemade through
Director, ATF. Then, rightofappeal toUnited States Court ofAppeals.
Eligibility ofImporters toApply forLicence
9. (a) Yes.
(b) Notapplicable.
- Notapplicable.G/LIC/N/3/USA/1
Page36
Documentational andOther Requirements forApplication forLicence
10. Application ATFForms 6and6A.
- None.
11. Proof totheUnited States Customs oflicensed orpermitted status furnished byimporter or
hisagent. Explosives mustbeclassified andmarked perUnited States Department ofTransportation
standards.
12. Yes.
US$50.00 peryearforlicence foroneyear
US$25.00 forrenewal forthree years
US$20.00 permit feeperyear
US$10.00 permit renewal forthree years.
13. No.
Conditions ofLicensing
14. Oneyearfrom dateofissue.
15. No.
16. No.
17. (a) Notapplicable.
(b) No.
Other Procedural Requirements
18. No.
19. Notapplicable.
NUCLEAR REGULATORY COMMISSION
13. Nuclear Facilities andMaterials
Outline ofSystem
1. TheNuclearRegulatoryCommission(NRC)regulationsgoverningtheimportofnuclearmaterials
arepublished in10CFR110pursuant totheAtomic Energy Actof1954, asamended, andtheEnergy
Reorganization Actof1974, asamended1.These regulations apply toallpersons intheUnited States
except thattheU.S.Department ofEnergy isnotsubject totheNRC'simport licensing requirements.
TheDepartment ofDefense isnotsubject toNRC'simport licensing requirements inlarge part.
1Acopy oftheFederal Register Vol.60,No.140,dated 21July1995, containing theNuclear Regulatory
Commission Regulations governing theImport andExport ofRadioactive Waste isavailable forconsultation
intheSecretariat (Market Access Division).G/LIC/N/3/USA/1
Page37
Thelistofnuclear equipment andmaterial subject toNRC import licensing authority covers
production andutilization facilities, special nuclear material, source material, andby-product material
asdefined in10CFR 110.2.
Although these items aresubject totheNRC import licensing authority, most requirements
forissuance ofspecific licences fortheirimport havebeeneliminated through thegeneral licensing
provisions contained in10CFR110.27. Under thegeneral licensing provisions, anyperson mayimport
by-product, source, orspecial nuclear material, other than100kilogrammes ormore ofirradiated fuel,
iftheconsignee isauthorized topossess thematerial, without therequirement foraspecific import
licence. Thegeneral licence in10CFR 110.27 requires theimporter ofspecial nuclear material to
provide totheNRC advance notification ofimports, where required according to10CFR 110.27.
Specific import licences arerequired fortheimport ofproduction orutilization facilities, over
100kilogrammes ofirradiated fuel(spent special nuclear material), andradioactive waste except for
radioactive waste being returned totheU.S.Government oraU.S.military facility which isauthorized
topossess thematerial.
Purposes andCoverage ofLicensing
2. Thelistofitems under NRC import licensing authority isfound inthe10CFR 110.9a.
3. Thelicensing requirements apply togoods originating inandcoming from allcountries.
4. Thelicensing isnotintended torestrict quantity orvalue ofimports. Theprimary purposes
forlicensing ofimports arerelated tohealth andsafety matters, controls overpossession, use,
distribution, andtransport, andtoconsiderations related tothedefence andsecurity oftheUnited States.
AlternativemethodsofaccomplishingthepurposesofimportlicensingareconsideredandNRC's
import licensing regulations takethese intoaccount, asappropriate. Inaddition, mostspecific import
licence requirements forby-product, source andspecial nuclear materials, havebeeneliminated through
thegeneral licensing provisions contained in10CFR 110.27.
5. Asmentioned inreply 1,theNRC regulations in10CFR110areissued pursuant totheAtomic
Energy Actof1954, asamended. TheNuclear Non-Proliferation Actof1978doesnotdirectly affect
import licensing requirements. Thelegislation defines theproducts andfacilities subject tolicensing
controls withminimum discretion indefinitions lefttoadministrative determination.
Procedures
6. Products arenotrestricted astoquantity orvalue ofimports.
7. (a) There isnofixed period forsubmission ofalicence application inadvance of
importation, other thantheinstances prescribed in10CFR 110required forpublic
notice ofreceipt oftheapplication (see10CFR110.70 and110.82). TheCommission
doeshavetheprerogative forgranting specific exemptions fromtheregulations in10
CFR 110under certain conditions (10CFR 110.10) andthisprerogative hasbeen
exercised onoccasions togrant licences within ashort period oftime.
(b) Aspecific licence would rarely begranted immediately upon request. Theapplicant
should anticipate areview period ofthree tosixweeks from dateofapplication.G/LIC/N/3/USA/1
Page38
(c) There arenolimitations astotheperiod oftheyearduring which thelicence application
orimportation maybemade. NOTE: Import licences dohaveexpiration dates.
(d) Formaterials andproduction andutilization facilities, subject totheNRC licensing
authority, theNRC istheonlyagency withwhich theimporter mustcorrespond, except
thatimports ofmixed waste (waste thatconsists ofhazardous waste andradioactive
waste), arealsosubject totherequirements oftheEnvironmental Protection Agency
applicable tothehazardous component ofthewaste. Forcertain imports, theNRC
refers applications toother federal agencies forreview (usually theDepartments of
StateandEnergy), although thefinallicensing responsibility remains withtheNRC.
8. Noimport licence hasbeenrefused todate. Itisunlikely onewould berefused forreasons
other thanfailure tomeetthestatutory criteria. Reasons forrefusal toissue would bemade known
toanapplicant andthere would berights ofappeal. Theavenues opentotheapplicant aregiven in
Sub-parts H,J,andKof10CFR 110.
Eligibility ofImporters toApply forLicence
9. Allpersons areeligible toapply foranimport licence -non-restrictive.
Documentational andOther Requirements forApplication forLicence
10. Information required inalicence application issetoutin10CFR110.30 and110.31. There
isnoprescribed form. Theusual submission isinletterform. Theimporter maysupport hisapplication
withotherdocuments ofhischoosing. NRCmayrequest additional information, ifnecessary toconduct
thelicensing review required bytheapplicable statutes.
11. TheNRCdoesnotrequire anydocuments forimportation, otherthanthelicence itself, although
theNRC willnotauthorize theimport ofradioactive waste unless itisclearthatanappropriate facility
intheUnited States willaccept thewaste formanagement ordisposal. Also, thecustomary forms
requiredbyothergovernmentagenciesforimportwillbenecessary(CustomsServiceandtheDepartment
ofCommerce documents, forexample). Inaddition, certain reporting requirements arenecessary when
thetransfer ofnuclear material isinvolved, butthese arenotrelated tothelicence authorization.
12. Feesarecharged forprocessing licence applications.
13. There isnodeposit oradvance payment required foralicence.
Conditions ofLicensing
14. Animport licence isusually valid foraperiod ofoneyearfrom thedateofissuance butcan
belonger iftheapplicant sorequests andtheNRC agrees.
15. There isnopenalty forfailure tousealicence.
16. Alicence maybetransferred orassigned toanother person onlywiththeapproval ofthe
Commission.
17. Conditions areoftenplaced onthelicence withrespect totransportation requirements, security
provisions andnotification requirements.G/LIC/N/3/USA/1
Page39
Other Procedural Requirements
18. Because many ofthematerials which canbeimported under bothspecific orgeneral NRC
import licences areconsidered hazardous andmaybeofstrategic significance, additional arrangements
maybenecessary inconjunction withtheirtransportation. These arrangements mayinvolve suchthings
asphysical protection, special handling procedures forhealth andsafety purposes, oradvance notice
ofpending receipt andarenotpartofthelicence itself. These aregeneral requirements placed on
persons intheUnited States whotransfer orreceive specific types ofmaterials, whether theshipment
isdomestic orfrom abroad.
19. Theformalities forobtaining foreign currencies oritsavailability arenotspecified.