OF FTP 2015-2020 1 April, 2015 - 31 March, 2020: (Appendices and Aayat Niryat Forms)

(APPENDICES AND AAYAT NIRYAT FORMS)
OF
FTP 2015-2020
1ST April, 2015 31ST March, 2020
Government of India
Ministry of Commerce and Industry
Department of Commerce
DIRECTORATE GENERAL OF FOREIGN TRADE
Website:http://dgft.gov.in
INDEX
List of Appendices
Sl Appendix Subject Page

No NO
1. 1A List of Regional Authorities and their jurisdiction 1
2. 1B List of Towns of Export Excellence 13
3. 1C Procedure Relating to the Export of Perishable Agricultural Produce 15
4. 2A List of FTA/ PTAs signed by India 21
5. 2B List of Agencies Authorised to issue Certificate of origin (Preferential) 27
6. 2C List of Agencies Authorised to issue GSP Certification 29
7. 2D List of Agencies Authorised to issue Certificates of Origin for SAPTA and 32
Asia Pacific Trade Agreement (APTA)
8 2E List of Agencies Authorised to issue Certificates of Origin - Non Preferential 35
9. 2F Approved Exporter System for self-certification of Certificates of Origin 59
10. 2G List of Inspection and Certification Agencies 65
11. 2H Format of Pre-Shipment Inspection Certificate 76
12. 2I List of WHO-GMP; HACCP and SEI/CMM Level II and above Certification 78
Agencies
13. 2J List of STEs for FTP purpose 82
14. 2K Scale of Fee and Format for Depositing of Application Fee/Penalty etc 83
15. 2L Certificate for Offsetting of Export Proceeds 87
16. 2M Form of Affidavit for obtaining Duplicate Copy of Licences /Authorisations 89
which are lost or misplaced.
17. 2N Bank Guarantee Format 90
18. 2O Legal Agreement/Undertaking Format 93
19. 2P Format of Export/Import Certificate Under INDO-US Memorandum 97
20. 2Q Format of End User Certificate under Para 2.38 of HBP 104
21. 2R Format of Registration-Cum-Membership Certificate 105
22. 2S End Use cum End User Certificate in case of export of SCOMET items 106
23. 2T List of Export Promotion Councils/Commodity Boards/Export Development 108
Authorities
24. 2U Electronic Bank Realization Certificate(e-BRC) 119
25. 2V List of Agri Export Zones 120
26 2W Format of I card 123
27. 3A List of items not allowed for import under Export From India Schemes under 124
Chapter 3, unless otherwise specified
28. 3B List of products and list of markets eligible under Merchandise Exports from 125
India Scheme (MEIS)
29. 3C List of eligible category under MEIS if exported through using e-commerce 125
platform
30. 3D List of Services eligible under Service Exports from India Scheme (SEIS) 126
31. 3E List of services where payment has been received in Indian rupees which can 126
be treated as receipt in Deemed Foreign Exchange as per guidelines of
Reserve Bank of India
32. 4A Jurisdiction of Regional Authority and Regional Authority Competent to issue 127
Nominated Agency Certificate under Schemes for Gems and Jewellery
Sector.
33. 4B List of Nominated Agencies 128

34. 4C Value Addition Norms for exports for which payments are not in Freely 136
Convertible Currency
35. 4D Value addition norms (below 15%) for specific product (s) under Advance 137
Authorisations Scheme under paragraph 4.09 of FTP (2015-20).
36. 4E Technical Details and Data Sheet for Advance Authorisation application on 138
Self Declaration under paras4.04&4.07ofHBP.
37. 4F Replenishment for Gem & Jewellery 143
38. 4G Replenishment Scale for Gem Rep Authorisation 146
39. 4H Register for accounting the consumption and stocks of Duty Free imported or 147
domestically procured raw materials, components etc allowed under Advance
Authorization / DFIA
40. 4I Register for accounting the consumption and stocks of duty free imported or 149
domestically procured raw materials, components etc allowed under Advance
Authorization for Pharmaceutical Product manufactured through Non
Infringing Process.
41 4J Export Obligation period for specified inputs with Pre-import Condition 152
42. 4K Format of Chartered Engineer Certificate for Fixation of SION 153
43 4L Format of Chartered Engineer (Chemical) Certificate (for Pharmaceutical 154
Product manufactured through Non-Infringing Process)
44. 4M Statement of Precious Metal for the period April-September / Oct- 156
March.
45. 4N Certificate by Regional Authority for Import of Precious Metal by Nominated 158
Agencies
46. 4O Certificate by Nominated Agency for Claiming Replenishment of Gold / Silver 159
against Jewellery sold at exhibitions abroad
47. 5A Format of Chartered Engineer Certificate for EPCG Scheme 161
48. 5B Format of Certificate of CA/Cost Accountant/CS for issue of EPCG 162
Authorisation
49. 5C Format of Certificate of CA/Cost Accountant/CS for redemption of EPCG 164
Authorisation
50. 6A Criteria to be approved for Automatic Approval of Unit Under EOU Scheme 166
51. 6B Sector Specific Requirements for EOUs 167
52. 6C Board of Approval Notification 169
53. 6D Format for Letter of Permission 171
54 6E Form of Legal Agreement for EOU/EHTP/STP/BTP 173
55. 6F Guidelines for monitoring the performance of EOU / STP/ EHTP/BTP UNITs 185
56. 6G Guidelines for sale of goods in the Domestic Tariff Area (DTA) by 191
EOU/EHTP/STP/BTP Units
57.. 6H Procedure to be followed for Reimbursement of Central Sales Tax (CST) on 194
supplies made to Export Oriented Units (EOUs) and units in Electronic
Hardware Technology Park (EHTP) and Software Technologies Park (STP)
58. 6I Items Permitted for Import / Domestic Procurement by EOU Units engaged in 200
Agriculture/Horticulture without payment of duty for supply to contract
farmers in the DTA.
59. 6J Jurisdiction of Special Economic Zones. 201
60. 6K Guidelines for Exit of EOU/EHTP/STP UNITs 203
61. 6L Guidelines for Revival /Exit of sick EOU 206
62. 6M Guidelines for conversion of Domestic Tariff Area (DTA) unit into Export 207
Oriented Unit (EOU)/Electronic Hardware Technology Part (EHTP)/ Software
Technology Park (STP)/ Bio Technology Part (BTP) Unit.
62. 7A List of Agencies/Funds/Notified by the Department of Economic Affairs, 211
Ministry of Finance which are exempted from payment of Excise duty in
terms of Excise Notification No 12/2012 dated 17.03.2012 and other Deemed

Export Benefits as per FTP.
64. 7B List of Agencies Notified under Excise Notification No 108/95CE, dated 211
28.08.1995 where supplies are made to UN organisation/International
organisation which are exempted from payment of Central Excise duty and
other deemed export benefits as per FTP.
65. 7C Format of Project Authority Certificate 211
66. 7D Format of Certificate of Payments Issued by the Project Authority. 215
67. 7E Formats for Fixation of Brand Rate for Duty Drawback. 218
68. 7F Format for monthly statement for disbursement of TED/DBK/Interest 225
Miscellaneous
69. 8A Application for Certificate of Export Performance of Unit in the 226
Pharmaceutical and Biotechnology Sectors by the Regional Office of the
DGFT as per Customs Notification No 12/2012 dated 17.03.2012 (erstwhile
Notification No 21/2002 Dated 01.03.2002)
70. 8B Application for Certificate of Export Performance of Unit in Agro Chemical 229
Sectors by the Regional Office of the DGFT as per Customs Notification No
12/2012 dated 17.03.2012 (erstwhile Notification No 21/2002 dated
01.03.2002)
List of ANFs
Sl ANFs Subject Page no

No
1. ANF -1 Profile of Exporter and Importers 1
2. ANF-2A Application form for New IEC Number & Amendment 3
3. ANF-2B Application form for I Card 12
4. ANF-2C Application form for RCMC 13
5. ANF-2D Application form for seeking relaxation in Policy and Procedure in terms of Para 15
2.58 of FTP
6. ANF-2E Application Performa for seeking Personal Hearing in terms of Para 2.59 of 18
FTP for grievance representation
7. ANF-2F Application Performa for seeking clarifications on foreign trade policy 19
8. ANF-2G Application form for seeking refund of fee paid in excess/not payable 20
9. ANF-2H Application form for free sale and commerce certificate 22
10. ANF-2 I Application For Free Sale & Commerce Certificate For Items Other Than 26
Medical Devices/Instruments
11. ANF-2J Application form for End User Certificate under Para 2.38 of HBP 30
12. ANF-2K Application form for import Certificate-(Indo-US) 33
13. ANF-2L Application form for Recognition as Pre-shipment Inspection Agency for metal 38
scrap
14. ANF-2M Application form for Import of Restricted items 43
15. ANF-2N Application form for Export Licence for Restricted Items 47
16. ANF-2O Application form for Export of SCOMET items listed in Appendix 3 to Schedule 50
2 of ITC(HS) Classification of Export and Import items
17. ANF-2P Application form for request for entering into an arrangement or understanding 58
that involves site visit, on-site verification or access to records/ documentation
as mentioned in Appendix 3 of Schedule 2 of ITC(HS) Classification of Export
and Import items
18. ANF-2Q Application for export of samples or exhibits, gifts, spares, replacement goods 63
other than SCOMET Items
19. ANF-3A Application Form for Merchandise Exports from India Scheme (MEIS) 65
20. ANF-3B Application Form for Service Exports From India Scheme (SEIS) 68
21. ANF-3C Application for Grant of Status Certificate 77
22. ANF-3D Application Form for Merchandise Exports from India Scheme (MEIS) using e- 85
commerce platform
23. ANF-4A Application for issue of Advance Authorisation/Advance Authorisation for 92
Annual Requirement / Advance Authorisation for Invalidation / ARO
24. ANF-4B Application for Fixation / Modification / Revision of Standard Input Output 99
Norms (SION)
25. ANF-4C Application for Clubbing of Advance Authorisations 103
26. ANF-4D Application for Enhancement in CIF/FOB vale of Authorisation / EOP Extension 106
/ Revalidation of Authorisation
27. ANF-4E Application for Advance Authorisation / Advance Release Order (ARO) / 109
Invalidation Letter for Pharmaceutical Products, manufactured through Non-
Infringing (NI) process
28. ANF-4F Application for waiver of Bond/redemption of Authorisation 114
29. ANF-4G Application for issue of Transferable Duty Free Import Authorisation (DFIA) 118
(including for ARO and Invalidation Letter)
30. ANF-4H Application for issue of GEM REP Authorisation 126
31. ANF-4I Application for Issue of Nominated Agency Certificate (NAC) / Renewal of 131
Nominated Agency Certificate
32. ANF-5A Application for issue of EPCG Authorisation 134

33. ANF-5B Application for Redemption of EPCG Authorisation 140
34. ANF-5C Application for Clubbing of EPCG Authorisations 143
35. ANF-6A Application for setting up of new EOU/EHTP/STP/BTP Unit and/or conversion 145
of existing DTA unit to EOU/EHTP/STP/BTP unit.
36. ANF-6B Application for Extension of Letter of Permission (LOP) 155
37. ANF-6C Application for Advance DTA sale 156
38. ANF-6D Application for Exit from EOU/EHTP/STP/BTP scheme 161
39. ANF-7A Application for refund of TED/Duty Drawback/Fixation of Brand Rate 164
40. ANF-7B Application for interest claim on delayed payment of TED/Duty drawback 171
41. ANF-8A Application for registering complaint for quality complaint/Trade dispute 173
Compilation of ACT, Rules and Orders for Reference:
1. Foreign Trade (Development and Regulation) Act, 1992 1

2. Foreign Trade (Development and Regulation) Amendment Act, 2010 7
3. Foreign Trade (Regulation) Rules, 1993 18
4. Foreign Trade (Exemption from Application of Rules in certain cases) Order, 1993 27
5. Notifications 31
6. Safeguard Measures (Quantitative Restrictions) Rules, 2012 42
APPENDICES
APPENDIX -1A
DGFT, ITS REGIONAL AUTHORITIES AND THEIR JURISDICTION
S.N. Name and Address Telephone No./Fax No./ Email Territorial Jurisdiction
(1) (2) (3) (4)
1 Director General of Foreign Trade Tel :011-23062777 Throughout India

(Headquarter)
Fax: 011-23061613
H-wing, Gate No.2
E-mail: [email protected]
Udyog Bhawan, Maulana Azad Road,
New Delhi- 110011
NORTHERN ZONE
2 The Additional Director General of Foreign Tel. 011-23379115 Delhi

Trade,
Fax 011-23379114
Central Licensing Area (CLA)
E-mail: [email protected] Districts of Haryana
A Wing I.P. Bhawan, I.P. Estate
(i)Faridabad
New Delhi-110002
(ii)Gurgaon
Districts of Uttar Pradesh
(i)Meerut
(ii)Baghpat
(iii)Ghaziabad
(iv)Gautam Buddha Nagar
(v) Bulandshahar
(iv) Panchasheel Nagar
3 The Joint Director General of Foreign Tel. 0512-2500352 Uttar Pradesh excluding
Trade those areas which are
Fax: 0512-2501344 under the jurisdiction of
117/L-444, Kakadeo, Additional Director General
Kanpur-208025 (UP) of Foreign Trade, CLA,
New Delhi, Varanasi,
Moradabad and Panipat.
1

4 The Joint Director General of Foreign Tel. 0591-2488221 Districts of Uttar Pradesh
Trade
Fax:0591-2487447 (i)Bijnaur
110-111, 1st Floor Parsvanath Plaza,
Majhola, Delhi road, E-mail: [email protected] (ii)Moradabad
Moradabad-244103 (UP) (iii)Rampur
(iv)Jyotiba Phuley Nagar
(v)Barielly
(vi)Shahjahanpur
(vii)Badaun
(viii)Pillibhit and
(ix) Bheem Nagar
5 The Joint Director General of Foreign Tel.0542-2361907 Districts of Uttar Pradesh

Trade,
Fax:0542-2362957 (i) Varanasi
B-38/1-A-2, Tulsipur, Mehmoorganj
E-mail: [email protected] (ii)Sant Ravidas Nagar
Varanasi (UP)
(iii)Mirzapur
(iv)Ghazipur
(v)Azamgarh
(vi) Ballia
(vii)Deoria
(viii) Kushi Nagar
(ix)Gorakhpur,
(x) Maharajganj
(xi)Basti,
(xii)Sant Kabir Nagar
(xiii) Jaunpur
(xiv)Sonebhadra
(xv)Mau and
(xvi)Sidharthanagar
6 The Joint Director General of Foreign Tel. 0180-2650984/2651427 Haryana excluding

Trade Districts of
2

L-482, Model Town Fax: 0180-2650984 (i)Faridabad
Panipat (Haryana) E-mail: [email protected] (ii)Gurgaon and
(iii)Panchkula
Districts of Uttar Pradesh
(i)Saharanpur
(ii)Muzaffarnagar
(iii)Prabubudh Nagar
7 The Joint Director General of Foreign Tel: 0141-2227539 Rajasthan

Trade
Fax: 0141-2227604
3rd Floor, Udyog Bhawan
Tilak Marg,
Jaipur-302005
Rajasthan
8 The Joint Director General of Foreign Tel. 0161-2430474, Punjab excluding the
Trade following districts:
Fax: 0161-2421280
133-136,Green Field (i) Amritsar
Near Shakti Nagar Chowk (ii)Gurdaspur
Ludhiana-141002 (iii)Hoshiarpur
Punjab (iv)Taran Taran
(v)Roop nagar (Ropar)

and (vi)Sahibzada Ajit
Singh Nagar.
9 The Joint Director General of Foreign Tel. 0183-2506403/2507403 District of Punjab

Trade
Fax: 0183-2507403 (i)Amritsar
The Mall, C R Building
E-mail: [email protected] (ii)Gurdaspur
Amritsar-143001 (Punjab)
(iii)Hoshiarpur and
(iv)Taran Taran.
10 The Joint Director General of Foreign Tel. 0172-2648661 Himachal Pradesh and
Trade Union Territory of
Fax: 0172-2602314 Chandigarh as well as
following districts of
3

SCO-288, Sector -35 D E-mail: [email protected] Punjab
Chandigarh-160023 (i) Roop Nagar (Ropar)
(ii) Sahibzada Ajit Singh

Nagar and Panchkula
(district of Haryana)
11. The Joint Director General of Foreign Tel. 0191-2435834/ 2438048 Districts of Jammu &
Trade Kashmir
Fax:0191-2435834
149-A, Gandhi Nagar, Jammu (TAWI) (i)Jammu
J&K- 180004 (ii)Kathua
(iii) Poonch
(Iv) Rajouri
(v)Udhampur
(vi) Samba
(vii) Reasi
(viii) Ramban
(ix) Doda
(x) Kishtwar
12 The Joint Director General of Foreign Tel. 0194-2478617/ 0194-2478618 Districts of Jammu &
Trade Kashmir
Fax:0194-2478617
D-Block, Exhibition Ground (i)Srinagar
Srinagar- 190001 (J&K) (ii)Kupwara
(iii) Pulwama
(iv) Ganderbal
(v) Shopian
(vi)Bandipora
(vii) Baramulla
(viii) Anantnag
(ix) Budgam
(x) Leh
(xi) Kargil
4

13 The Deputy Director General of Foreign Tel. 0135-2520668 State of Uttarakhand
Trade
Fax:0135-2521419
Directorate of Industries office Building
Industrial Area, Patel Nagar
Dehradun-248001 (Uttarakhand)
WESTERN ZONE
14 The Additional Director General of Foreign Tel. No. 022-22017716/ (i) Maharashtra excluding the
Trade 22038094/ 22033097/ area which are under the
22031074 Jurisdiction of Joint Director
Nishtha Bhawan (New C.G.O. Bldg.) General of Foreign Trade,
FAX No.022-22063438 Pune and Joint Director
48, Vithaldas Thackersey Marg,
Churchgate Mumbai- 400020 E-mail: [email protected] General of Foreign Trade,
(Maharashtra) Nagpur
(ii) Daman
(iii) Dadra and Nagar Haveli.
15 The Joint Director General of Foreign Tel. No. 020-24449598/ Districts of Maharashtra
Trade 24442783
(i)Pune
C Block,PMT Commercial Complex Fax No. 020-24441577
Shankarseth Road, Swargate (ii) Ahmed Nagar
e-mail : [email protected]
Pune- 411 037 (Maharashtra) (iii) Jalna
(iv) Beed
(v) Kolhapur
(vi) Latur
(vii) Nanded
(viii) Osmanabad
(ix) Prabhani
(x) Ratnagiri
(xi) sangli
(xii) Satara
(xiii) Solapur
(xiv) Sindhudurg and
(xv) Nashik
5

16 The Joint Director General of Foreign Tel: 0712- 2541256 Districts of Maharashtra
Trade
Fax: 0712- 2541451 (i)Akola
Ist Floor, N.S.Building, Opposite VCA
Ground Civil Lines, Nagpur- 440001 Email- [email protected] (ii)Amravati
(Maharashtra) (iii)Buldhana
(iv)Bhandara
(v)Chandrapur
(vi)Gadchiroli
(vii)Gondiya
(viii)Hingoli
(ix)Nagpur
(x)Wardha
(xi)Washim and
(xii) Yavatmal.
Districts of Madhya Pradesh-
(i)Balaghat
(ii)Betul
(iii)Chhindwara and
(iv) Seoni
17 The Joint Director General of Foreign Tel. No. 079-25506297 Gujarat excluding the areas
Trade which are under the
Fax No. 079-25506791 jurisdiction of Jt. DGFT Rajkot,
11/A, Govt. M.S. Building Vadodara, Surat and
Email: [email protected]
Lal Darwaja Development Commissioner
KFTZ.
Ahmedabad- 380001 (Gujarat)
18 The Joint Director General of Foreign Tel. No. 0281-2458417 (i)Saurashtra, the District of
Trade Gujarat
2458416
Amruta Estate, 4th floor, M.G. Road (excluding Kutch)
Fax No. 0281-2458414
Rajkot- 360 001 (Gujarat) (ii) Diu in the Union Territory of
e-mail : [email protected] Daman and Diu.
6

19 The Joint Director General of Foreign Tel. No. 0265-2429368/ Districts of Gujarat
Trade 2428789
(i) Vadodara
1st Floor, Sardar Patel Bhawan Fax No. 0265-2428789
(ii) Anand
Jilla Panchayat Building, Near Polo Club e-mail:[email protected]
Vadodara- 390 001 (Gujarat) (iii) Kheda
(iv) Panchmahal
(v) Dahod
(vi) Bharuch and
(vii) Narmada
20 The Joint Director General of Foreign Tel. No. 0261-242 3381/ Districts of Gujarat
Trade 2452216
(i)Surat
6th Floor, Resham Bhawan Fax No. 0261-2452216
(ii) Valsad and
Lal Darwaja e-mail: [email protected]
(iii) Dangs
Surat- 395003 (Gujarat)
21 The Joint Director General of Foreign Tel. No. 0755-2553323 Madhya Pradesh excluding
Trade the areas which are under the
Fax No. 0755-2553303 jurisdiction of Joint Director
3rd Floor, Nirman Sadan, 52-A, Arera Hills General of Foreign Trade,
(Behind Govt. Press) Bhopal- 462 011 e-mail: [email protected]
Nagpur
(MP)
22 Extension Counter of The Joint Director Tel: 0731-2498382 - As above -

General of Foreign Trade, Bhopal: Ground
Floor, A-Wing, CGO Building, Residency
Area
Indore- 452001 (MP)
23 The Deputy Director General of Foreign Tel. No. 0771-2263450 State of Chhatisgarh
Trade
Fax No. 0771-2262450
CSIDC Bhawan, Ground Floor, Sector-4
Pandit Deen Dayal Upadhya Nagar
Raipur-492010 (C.G.)
24 The Deputy Director General of Foreign Tel. No. 0832-2226355 Goa

Trade
Fax No. 0832-2224968
Ashirwad Building, 18th June Road, Santa
7

Inez Panjim- 403001 (Goa) e-mail: [email protected]
EASTEREN ZONE
25 The Additional Director General of Foreign Tel: 033-22481228 West Bengal, Sikkim, Tripura
Trade and Union territory of
Telefax:033-22485891 Andaman and Nicobar.
4, Esplanade East, Kolkata-700069 (WB)
E-mail:[email protected]
26 The Joint Director General of Foreign Tel: 0671-2342596 Odisha

Trade
Fax: 0671-2343034
OSIC Building, 5th Floor
Khapuria Industrial Estate, link Road
Cuttack-753010 (Odisha)
27 The Joint Director General of Foreign Tel: 0361-2202583 Assam, Arunachal Pradesh,
Trade Nagaland and Manipur
Fax:0361-2202583
R.B.Baruah Road
Guwahati-781024 (Assam)
28 The Joint Director of Foreign Trade Tel: 0612-2212052 Bihar and Jharkhand
Biscomaun Bhawan, Ground Floor Fax:0612-2212052
Patna-800001 (Bihar) E-mail: [email protected]
29 The Deputy Director General of Foreign Tel:0364-2223360 Meghalaya and Mizoram

Trade,
Fax:0364-2223360
Morello Building
Shillong-793001 (Meghalaya)
SOUTHERN ZONE
30 The Additional Director General of Foreign EPBAX No. 044-28283404/ Tamil Nadu except the areas
8

Trade 28283408 which are under the
jurisdiction of
4th floor, Shastri Bhavan Annexe Fax No.044-28283403
(i)Jt. DGFT Madurai
26, Haddows Road,Nungambakkam e-mail : [email protected]
(ii) Jt. DGFT Coimbatore
Chennai-600006 (TN)
(iii) Jt. DGFT Puducherry
31 The Joint Director General of Foreign Tele No.0452-2582700 Districts of Tamil Nadu
Trade
Fax No. 0452-2586485 (i)Madurai
117, First Main Road, K.K. Nagar
e-mail : [email protected] (ii) Theni. Dindigul
Madurai-625 020 (TN)
(iii) Ramnad
(iv) Virudhunagar
(v) Sivaganga
(vi) Tirunelveli
(vii) Tuticorin
(Viii) Kanyakumari
32 The Joint Director General of Foreign Tel. No.0422- Districts of Tamil Nadu
Trade 2300947/2300846
(i)Coimbatore
1544, India life building (Annex.1st Floor) Fax No.0422-2303557
(ii)Nilgiris
Trichy Road, Coimbatore-641018 (TN) e-mail: [email protected]
(iii)Erode
(iv) Tirupur
(iv) Salem
(v) Karur
(vi) Namakkal
33 The Joint Director General of Foreign Tel. No.0413-2203238 Union Territory of Puducherry,
Trade Karaikal, Yanam and
Fax No. 0413-2206994 Districts of
19-C, Second Cross Street
e-mail: pondicherry- Villupuram and Cuddalore of
Jawahar Nagar, Boomiyanpet [email protected] Tamil Nadu
Puducherry- 605 005
34 The joint Director General of Foreign Trade Tel.No- 080-25537213/ Karnataka
C& E Wing, 6th Floor, Kendriya Sadan 25537215
9

17th Main, 2nd Block Fax No.080-25537214
Koramangala, Bangalore 560 034 e-mail: [email protected]

(Karnataka)
35 The Joint Director General of Foreign Tel. No.0484- (i) Kerala except the districts of
Trade 2426378/2427397 Thiruvanathapuram, Quilon
and Pathanamthitta
5th Floor, A-Block, Kendriya Bhawan Fax No.0484-2427069
(ii) Lakshadweep
Kakkanad, e-mail : [email protected]
Cochin- 682 037 (Kerala)
36 The Joint Director General of Foreign Tel. No.0471-2441867 Districts of Kerala

Trade
Fax No. 0471-2441867 (i)Thiruvanathapuram
Gokulam Building (Ground floor), TC-
2/1400 Pattom, e-mail: trivandrum- (ii) Quilon,
[email protected]
Thiruvananthapuram-695004 (iii)Pathanamthitta
Kerala
37 The Joint Director General of Foreign Tel: 040-27536930/ 27536936 Andhra Pradesh and
Trade Telangana excluding the areas
Fax:040-27536932 in the Jurisdiction of Jt. DGFT
302, III floor, CGO Tower, Kavadiguda, Visakhapatnam
Secunderabad 500080 e-mail: hyderabad- [email protected]
Dist- Hyderabad, Telangana
38 The Joint Director General of Foreign Tel. No.0891-2451420 Districts of Andhra Pradesh
Trade
Fax No. 0891-2747146 (i) Srikakulam
Sripriya complex, No. 43-9-226,
E-mail: visakhapatnam- (ii) Vizianagaram
Railway New Colony, [email protected]
(iii) Visakhapatnam
Visakhapatnam- 530 016 (AP)
(iv) East Godavari
(v) West Godavari
10

SPECIAL ECONOMIC ZONE
39 Development Commissioner/Joint Tele No. 022-28290143, Units situated in Santacruz

Development Commissioner/Deputy 28291388, 28290046, SEZ and approved EOU/SEZs
Development Commissioner/Assistant 28292147, 28292144 located in Maharashtra, Goa,
Development Commissioner, SEEPZ- Daman & Diu, Dadra & Nagar
Special Economic Zone Fax No.022-28291385, Haveli
28291744
Andheri (East), Mumbai-400096
(Maharashtra) e-mail : [email protected]
Website:www.seepz.com
40 Development Commissioner/Joint Tele No. 02836-252273, (i) Kutch district of

Development Commissioner/Deputy 252475, 253300, 252281 Gularat
Development Commissioner/Assistant (ii) Units situated in
Fax No.02836-252250 Kandla and Surat
Development Commissioner, Kandla
SEZs
Special Economic Zone (iii) Approved EOU/SEZs
[email protected] located in Gujarat
Gandhidham, Kutch-370230 (Gujarat)
Website:www.kasez.com
41 Development Commissioner/Joint Tele No. 044-22628220, Units situated in Madras SEZ

Development Commissioner/Deputy 22628305, Fax No.044- and approved EOU/SEZs
Development Commissioner/Assistant 22628218 located in Tamil Nadu,
Development Commissioner, MEPZ Andaman & Nicobar, Union
Special Economic Zone, e-mail : [email protected] Territory of Pudducherry,
[email protected] excluding Mahe & Yanam
National Highway 45, Tambaram, Chennai-
600045 (TN) Website:www.mepz.com
42 Development Commissioner/Joint Tele No. 0484-2413111, Units situated in Cochin SEZ

Development Commissioner/Deputy 2413234 and approved EOU/SEZs
Development Commissioner/Assistant located in Kerala, Karnataka,
Development Commissioner, Cochin Fax No.0484-2413074 Union Territory of
Special Economic Zone (CSEZ) Lakshadweep & Mahe
Kakkanad, Cochin-682030 (Kerala) Website:www.csez.com
43 Development Commissioner/Joint Tele No. 0891-2587382 Units situated in

Development Commissioner/Deputy Visakhapatnam SEZ and
Development Commissioner/Assistant Fax No.0891-2587352 approved EOU/SEZs located
Development Commissioner, e-mail : in Andhra Pradesh,
Visakhapatnam Special Economic Zone [email protected] Telangana, Chattisgarh &
Yanam
Duvvada, Visakhapatnam-530046 (AP) Website:www.vepz.com
11

44 Development Commissioner/Joint Tele No. 0120-2567270-73 Units situated in Noida Special
Development Commissioner/Deputy Economic Zone and EOU
Development Commissioner/Assistant Fax No.0120-2562314 /SEZs situated in Delhi, Uttar
Development Commissioner, NSEZ, Noida e-mail : [email protected] Pradesh, Uttarakhand, Punjab,
Dadri Road, Phase II, Noida, District- .in Website:www.nepz.org Haryana, Himachal Pradesh,
Gautam Budh Nagar-201305 (UP) Jammu & Kashmir, Rajasthan
& Chandigarh
45 Development Commissioner/Joint Tele No. 033-22872263, Units situated in Falta SEZ

Development Commissioner/Deputy 22874092 and EOU/SEZs situated in
Development Commissioner/Assistant West Bengal, Orissa, Bihar,
Development Commissioner, Falta SEZ, Fax No.033-22877923 Jharkhand, Assam, Tripura,
2nd MSO Building, 4th Floor, Nizam Palace, e-mail : [email protected] Manipur, Meghalaya,
Kolkata-700020 Nagaland, Mizoram, Sikkim &
Website:www.fepz.com Arunachal Pradesh
12

APPENDIX- 1B
LIST OF TOWNS OF EXPORT EXCELLENCE
S.No Town of Export Excellence State Product Category
1 Tirupur Tamil Nadu Hosiery
2 Ludhiana Punjab Woollen Knitwear
3 Panipat Haryana Woollen Blanket
4 Kanoor Kerala Handlooms
5 Karur Tamil Nadu Handlooms
6 Madurai Tamil Nadu Handlooms
7 AEKK (Aroor, Ezhupunna, Kerala Seafood

Kodanthuruthu & Kuthiathodu)
8 Jodhpur Rajasthan Handicraft
9 Kekhra Uttar Pradesh Handlooms
10 Dewas Madhya Pradesh Pharmaceuticals
11 Alleppey Kerala Coir Products
12 Kollam (Quilon) Kerala Cashew Products
13 Indore Madhya Pradesh Soya Meal and Soya

Products
14 Bhilwara Rajasthan Textiles
15 Surat Gujarat Gems and Jewellery
16 Malihabad Uttar Pradesh Horticulture Products
17 Kanpur Uttar Pradesh Leather Products
18 Ambur Tamil Nadu Leather Products
19 Jaipur Rajasthan Handicrafts
20 Srinagar Jammu & Kashmir Handicrafts
21 Anantnag Jammu & Kashmir Handicrafts
22 Barmer Rajasthan Handicrafts
23 Bhiwandi Maharashtra Textiles
24 Agra Uttar Pradesh Leather Products
25 Firozabad Uttar Pradesh Glass Artwares
26 Bhubaneshwar Orissa Marine Products
27 Agartala Tripura Bamboo Cane &
13
Other Handicrafts
28 Ahmedabad Gujarat Textiles
29 Kolhapur Maharashtra Textiles
30 Saharanpur Uttar Pradesh Handicrafts
31 Morbi Gujarat Ceramic Tiles &

Sanitaryware
32 Gurgaon Haryana Apparel
33 Thoothukudi (Tuticorin) Tamilnadu Marine
34 Visakhapatnam Andhra Pradesh Seafood
35 Bhimavaram Andhra Pradesh Seafood
14
APPENDIX 1C
STREAMLINING OF PROCEDURES RELATING TO THE EXPORT OF PERISHABLE
AGRICULTURAL PRODUCE
1. Policy :
There is a need to streamline the export process for perishable agriculture produce with a view to
enhancing its competitiveness in the international market. The export facilitation is being effected through
a series of measures, significant amongst which are :
1. Streamlining of documentation and processes;
2. Setting up of a system of multi-functional nodal agencies to operate single window system for
expeditious clearing of exports;
3. Setting up of a single-point payment system for all levies and charges; d) Introduction of EDI
(Electronic Data Interchange) / Web enablement; and
4. A highly responsive redressal system.
2. Definitions
i. Accredited means a person or body of persons that have been authorised by APEDA
(Agricultural and processed food products export development authority), as being capable of
discharging and/ or facilitating all or one or more than one of such functions related to the export
of Perishable Agricultural Produce;
ii. Export Document means and includes a Certificate, Test report, packing list or any other
documents set out in Schedules A & B of this Appendix required to be issued by various agencies
under the present laws of India or the laws of the importing country, which could hereafter be
issued by a nodal agency to facilitate the export of the Perishable Agricultural Produce through
Single Window Clearance;
iii. Known Shipper means a person or a body of persons involved in exportation of Perishable
Agricultural Produce with a consistent track record or reputation and accredited by APEDA under
Section 4 to carry out export documentation through Single Window Clearance System;
iv. Nodal Agency means a person or a body of persons, including Known Shipper, accredited under
this Appendix to issue the Single Export Document covering documents listed in Schedule A to
this Appendix that facilitates the export through Single Window Clearance System;
v. Perishable Agricultural Produce means all produce and commodities that are of nature, and are
likely to be subjected to natural decay, spoilage or destruction, whether processed or
unprocessed, of agriculture, horticulture, apiculture, livestock, marine produce, forest produce and
or as declared through by notification from time to time;
vi. Single Window Clearance System means and includes a system of performing multiple functions
of export documentation and collection of charges related to it, of one or more agencies as
required under the law, relating to documents listed in Schedule A and facilitating functions of
export documentation relating to documents listed in Schedule B to this Appendix, for export of
perishable agriculture produce, through the nodal agency on behalf of the exporter as envisaged
under this Appendix.
vii. Facilitation means act of the nodal agency to compile, consolidate and capture data from the
exporter or other concerned agencies in a web enabled system for clearance of cargo for exports.
The definitions specified under Section 2 of the FTDR Act, 1992 and under Chapter 9 of Foreign Trade Policy,
would apply mutatis mutandis under this Appendix.
3. Single-Window Clearance System:

The system will involve creation of multi-functional Nodal Agencies, which will be required to be mandatorily
accredited by Agricultural and Processed Food Products Export Development Authority (APEDA). The
15
accreditation would enable them to function as a single window for clearance of perishable produce to either
issuing or facilitating the requisite documentation / clearances under one roof by acting as a coordinating agency
for exporters.
These Nodal agencies could be shipping companies, Agri-clinics, C&F agents, existing regulatory agencies or
laboratories. These agencies would be working in addition to the currently empowered agencies under various
Acts/ Rules, and will have the same powers of clearance / certification for export of perishable goods covering
documents listed in Schedule A to this Appendix.
Some of the agencies, which could be hired by the exporters for the purpose, are as under:
(1) Nodal Agency acting as a Single Window for performing all functions;
(2) Nodal Agency in combination with other Regulatory Agencies (performing core functions);
(3) Nodal Agency in combination with other Regulatory Agencies (performing non-core functions);
(4) Known Shipper performing through self declaration; and
(5) Regulatory Agencies performing core functions in respect of documents listed in Schedule A to this
Appendix.
4. Duties, Powers and Functions of APEDA:
APEDA shall be the Authority to administer and regulate the Single Window Clearance System relating to
the export documentation and levy of charges thereupon for facilitating the export of Perishable Agricultural
Produce, promote simplified documentation processes and procedures in the export of the perishable
agricultural produce. The duties, powers and functions of APEDA shall include the following:
a) Control and regulation of the service levels, charges, terms and conditions that may be levied upon
exporters of Perishable Agricultural Produce by nodal agencies;
b) Prescribing the criteria for accreditation of Nodal Agencies;
c) Accreditation, renewal, modification, suspension or cancellation of such accreditation of Nodal

Agencies;
d) Levy of charges for carrying out the purpose of this Appendix.
e) Calling for information from, undertaking inspection of, conducting enquiries and investigations
including audit of nodal agencies;
f) Specifying the form and manner in which the books of account shall be maintained and statement of
accounts rendered by the nodal agencies;
g) Application of Information Communication Technology towards a seamless and paperless one-stop

export certification service;
h) Providing advisory services to the exporters; and
i) Exercising such other powers as the Government may prescribe.
5. Duties, Powers and functions of Nodal Agencies:
The duties, powers and functions of Nodal Agencies shall include the following:
16
a) The nodal agency shall perform all or one or more than one of the following functions required for the export of
Perishable Agricultural Produce through a Single Window Clearance System:
I. Issue Export Documents as per the notified procedure;
II. Collection and remittance of notified charges for issue of export document; and
III. Any other function as APEDA may prescribe.
b) The Nodal Agency shall be accountable and answerable for the declarations and the truthfulness of the export
document to APEDA and the exporter be liable to them on this count.
6. Significance of Export Document:
The Export Document issued by the Nodal Agencies under the provisions of this Appendix shall be deemed to
have been issued by the Government, as required under various Acts and / or rules and / or notifications and / or
conventions for the export of perishable agricultural produce or as prescribed from time to time and meet the
purposes of the documents as specified in the Schedule A to this Appendix. The documents specified in
Schedule B shall only be facilitated by the Nodal agencies. The Nodal agency acting as facilitating agency will
compile and consolidate the information and submit Single Export Document (SED) along with Shipping Bill, SDF
/ GR Form, Commercial Invoice and the Phytosanitary Certificate (as listed out in Schedule B) to Custom
Authorities for Let Export Order. The format of SED is specified in Schedule C and may be amended & notified
by APEDA as per the requirements.
7. Suspension, Forfeiture and Penalties:
Adjudication of disputes, imposition of penalties, appeals and revisions for contravention of any of the provisions
of this Appendix shall be as follows:
i. If APEDA is of the opinion that any accreditation granted to a nodal agency, in the interest of export or
in the public interest, be suspended or forfeited, APEDA may after giving a reasonable opportunity to
the nodal agency to be heard in the matter, suspend or forfeit the accreditation granted to the said
agency of the shipper. However, no such action shall affect the validity of any contract entered into or
made before the date of such action, and APEDA may make such provision as it deems fit in the
suspension or forfeiture order for the due performance of any contract outstanding on that date;
ii. If any Nodal agency, which is required under this Appendix or any rules made there under:
1. Fails to furnish any document, return or report to APEDA, fails to furnish the same;
2. Fails to file any return or furnish any information, books or other documents within the time
specified therefor, in the guidelines;
3. Fails to maintain books of account or records;
4. Does not function with due diligence or does not carry out the function of the Nodal Agency in
a manner as intended; or
5. Contravenes any other provision of this Appendix; it shall be liable to a penalty as prescribed
by APEDA.
(iii) If any person or a person who is in charge of, and responsible to a nodal agency to conduct the business of
the nodal agency obstructs any officer of APEDA or any other person authorized by it to conduct inspection or to
discharge any other function assigned by the APEDA, such persons as well as the nodal agency shall be liable to
penal action as prescribed by APEDA;
(iv) If any nodal agency, after having been called upon by APEDA in writing to redress the grievances of
exporters, fails to redress such grievances within the time specified by APEDA, it shall be liable to a penalty as
prescribed by APEDA;
17
(iv) If any nodal agency indulges in fraudulent and unfair trade practices relating to export documentation, it
shall be liable to a penalty and or prosecution as prescribed under the FT (D&R) Act, 1992;
(v) Penalties under sub paras (ii) to (iv) above shall be prescribed by APEDA after prior approval of the
Government.
(vi) The DGFT shall be the Appellate Authority for any orders passed by APEDA, under this Appendix.
8. Amendment of schedule:
The addition/ deletion of any document(s) in the schedule may be carried out through notification by the DGFT
without prejudice to any of the provisions contained in The Customs Act 1962, The Shipping Bill and Bill of Export
(Form) Regulations, 1991 and The Plant Quarantine Act & Notification 8-97/91-PP.I, dated 26th November 1993.
SCHEDULE A
LIST OF DOCUMENTS TO BE ISSUED BY NODAL AGENCIES
S. Document MinistryInvolved Act Chapter Section

No.
1 Certificate Min of Finance-DGFT The Foreign Trade II 5.2.4

of Origin (Development and
Regulation) Act,
1992 (No.22 of
1992)
2 Health Ministry of Agriculture; The Export (Quality 17 3

Certificate Department of Animal Control and
Husbandry, Dairy and Inspection) Act
Fisheries 1963; Export of
Fresh poultry meat
and poultry meat
Products (Quality
Control, Inspection
and Monitoring)
Rules, 2002
3 AGMARK Min of Ag-DMI Produce Grading &

Certificate Marking ACT 1937-
General Grading
and Marking Rules,
1998
4 Laboratory APEDA APEDA Act, 1985 II 10(2)

Reports
18
SCHEDULEB
LISTOFDOCUMENTSTOBEFACILITATEDBYNODALAGENCY
S. Document Ministry Act Chapter Section

No. Involved
1 SelfDeclarationForm FEMA,1999 TheForeignExchange II 7

(SDF)/GRForm ChapterII. ManagementAct,1992(42
Section7 of1999)
2 ShippingBill Min.of TheShippingBillandBillof 50, 51,

Finance Export(Form)Regulations, 152
CBEC* 1991
3 SingleExport DOC** ForeignTradePolicy Appendix

Document DGFT*** 1C
4 Commercial/Export Billofthegoods,toinform
Invoice customsaboutthe
quantity,price,
commodity,consignee
description,destination,
weightetc.
5 BillofLading/Airway Ministryof TheMerchantShipping XIV 412

Bill Shipping; Act,1958.TheMerchant
Ministryof Shipping(Crew
CivilAviation Accommodation)
AmendmentRules1984/
TheAircraftAct,1934,
AircraftRules,1937
6 FumigationCertificate MoA**** DestructiveInsectsand 2 4A & 4D

PestsAct,1914
7 Phytosanitary MoA(Dteof ThePlantQuarantineAct VII

Certificate Plant &Notification897/91
Quarantine& PP.I,dated26thNovember
Insp.) 1993
*CBECCentralBoardofExciseandCustoms
**DOCDepartmentofCommerce
***DGFTDirectorateGeneralofForeignTrade
****MoAMinistryofAgriculture
19
SCHEDULE- C
FORMAT OF SINGLE EXPORT DOCUMENT (SED)
20
Appendix -2A
List of Free Trade Agreements (FTAs) / Preferential Trade Agreements (PTAs) signed by India
(i) FTAs already signed and operational

S. Name of the Agreement Date of Signing Date of Details
No. and the participating Implementation
countries
1. India - Bhutan 17.01.1972 29.07.2006 Under this Agreement,

Agreement on Trade, (revised on 28.07.2006) India also provides transit
Commerce and Transit facilities to landlocked
Bhutan to facilitate its trade
with third countries. It is
valid for a period of 10
years.
2. Revised Indo-Nepal 06.12.1991 27.10.2009 The Treaty aims at

Treaty of Trade (Revised on 27.10.2009) improving bilateral trade
(The present Treaty is between the two countries
valid till 26.10.2016) by increasing the mutually
agreed points of trade,
expansion in the list of
items included for
preferential trade,
simplification of trade
procedures, improving
Nepalese supply
capacities, provision of two
level institutional
mechanisms for problem
resolution etc.
3. India- Sri Lanka FTA 28.12.1998 01.03.2000 Free Trade Agreement

(ISLFTA) (FTA) between India and
Sri Lanka was signed on
20.12.1998 and was
operationalised in March,
2000 following notification
of required Customs tariff
concessions by
Government of Sri Lanka
and India.
Procedure for import of

certain listed items under
ISLFTA is at Annexure-I
21
4. Agreement on South 04.01. 2004 01.01.2006 Afghanistan became

Asian Free Trade Area Eighth Member of SAARC
(SAFTA) (India, Pakistan, from April, 2007 and the
Nepal, Sri Lanka, provisions of Trade
Bangladesh, Bhutan Liberalization Programme
Maldives and (TLP) are applicable to
Afghanistan) Afghanistan w.e.f.
07.08.2011).
5. India - Thailand FTA - 9.10.2003 01.09.2004 India and Thailand have

Early Harvest Scheme signed protocol to
(EHS) implement Early Harvest
Scheme under India-
Thailand Free Trade
Agreement on
01.09.2004.Tariff
preferences for imports on
items of Early Harvest
Scheme would be
available only to those
products, which satisfy
Rules of Origin Criteria,
notified by Department of
Revenue, Ministry of
Finance, vide notification
No.101/2004-Customs
dated 31.08.2004.
6. India - Singapore 29.06.2005 01.08.2005 India-Singapore CECA

Comprehensive was the first
Economic Cooperation comprehensive FTA India
Agreement (CECA) signed with any country.
7. India - South Korea 07.08. 2009 01.01.2010

Comprehensive
Economic Partnership
Agreement (CEPA)
8. India ASEAN Trade in 13.08.2009 1st January 2010

Goods Agreement in respect of India
(Brunei, Cambodia, and Malaysia,
Indonesia, Laos, Singapore,
Malaysia, Myanmar, Thailand.
Philippines, Singapore,
Thailand and Vietnam) 1st June 2010 in
respect of India
and Vietnam.
1st September
2010 in respect
of India and
Myanmar.
1st October 2010
in respect of India
and Indonesia.
22
1st November in
respect of India
and Brunei.
24 January 2011
in respect of India
and Laos.
1st June 2011 in

respect of India
and the
Philippines.
1st August, 2011

in respect of India
and Cambodia.
9. India - Japan 16.02.2011 01.08.2011

Comprehensive
Economic Partnership
Agreement
10. India - Malaysia 18.02.2011 01.07. 2011 Under the CECA, India and
Comprehensive Malaysia have offered
Economic Cooperation commitments over and
Agreement above the commitments
offered by them under
ASEAN -India Trade in
Goods Agreement. Key
items on which Malaysia
has offered market access
to India are basmati rice,
mangoes, eggs, trucks,
motorcycles and cotton
garments which are all
items of considerable
export interest to India.
23
(ii) Preferential Trade Agreements(PTAs) already signed and operational
S. Name of the Agreement and Date of Date of Details

No. the participating countries Signing Implementation
1 Asia Pacific Trade July, 1975 01.11.1976 APTA is a preferential

Agreement (APTA) (revised trading arrangement
(Bangladesh, China, India, Agreement designed to liberalise
Lao PDR, Republic of signed on and expand trade in
Korea, and Sri Lanka) 02.11.2005) goods progressively in
Economic and Social
Commission for Asia
and Pacific (ESCAP)
region through
liberalization of tariff and
nontariff barriers. At
present, Bangladesh, Sri
Lanka, South Korea,
India and China are
exchanging tariff
concessions under
APTA. The 43rd Standing
Session in May, 2014
saw the accession of
Mongolia into APTA.
2 Global System of Trade April, 1988 April,1989 Under agreement

Preferences (G S T P) establishing GSTP, tariff
(Algeria, Argentina, concessions are
Bangladesh, Benin, Bolivia, exchanged among
Brazil, Cameroon, Chile, developing countries,
Colombia, Cuba, Democratic who have signed
People's Republic of Korea, agreement. Presently,
Ecuador, Egypt, Ghana, 46 countries are
Guinea, Guyana, India, members of GSTP and
Indonesia, Iran, Iraq, Libya, India has exchanged
Malaysia, Mexico, Morocco, tariff concessions with
Mozambique, Myanmar, 12 countries on a limited
Nicaragua, Nigeria, Pakistan, number of products. EIC
Peru, Philippines, Republic of is sole agency
Korea, Romania, Singapore, authorised to issue CoO
Sri Lanka, Sudan, Thailand, under GSTP. The Sao
Trinidad and Tobago, Tunisia, Paulo Round of the
Tanzania, Venezuela, Viet GSTP was concluded
Nam, Yugoslavia, Zimbabwe) among 8 countries but
only Cuba, India and
Malaysia have ratified
the Protocol as of
October, 2014.
3 India - Afghanistan 06.03.2003 May, 2003 A Preferential Trade

Agreement between
Transitional Islamic
State of Afghanistan and
Republic of India was
24
signed on 6.3.2003 and

was operationalised with
issuance of Customs
Notification No 76/2003
dated 13.5.2003. EIC is
sole agency to issue
CoO under India
Afghanistan Preferential
Trade Agreement.
4 India - MERCOSUR 25.01.2004 01.06.2009 Through this PTA, India

and MERCOSUR have
agreed to give tariff
concessions, ranging
from 10% to 100% to
each other on 450 and
452 tariff lines
respectively.
5 India - Chile 08.03. 2006 August, 2007 Under this PTA , India
has offered tariff
preferences on 202 tariff
lines (as per 2007 HS )
at the 8 digit level to
Chile with the margin of
preference (MoP)
ranging from 10%- 50%
and Chile has offered
tariff preferences on 296
tariff lines to India at the
8 digit level with MoP
ranging from 10%-
100%.
6 SAARC Preferential Trading 1993 1995 SAPTA was signed by

Arrangement or SAPTA (India, seven SAARC members
Pakistan, Nepal, Sri Lanka, namely India, Pakistan,
Bangladesh, Bhutan and the Nepal, Bhutan,
Maldives) Bangladesh, Sri Lanka
and Maldives in 1993
and came into operation
in 1995. Four rounds of
trade negotiations have
been completed and
more than 3000 tariff
lines are under tariff
concessions among
SAARC countries.
25
Annexure I
Procedure for import of Vanaspati, Bakery shortening and margarine, [ITC(HS) Code 1516, 1517,
1518], Peper [ITC (HS) Code 0941] and Desiccated Coconut [ITC (HS) Code 08011100] under
Indo-Sri Lanka Free Trade Agreement.
i) The total quantum of import of Vanaspati, bakery shortening and margarine, Pepper and Desiccated Coconut
that can be imported under Indo-Sri Lanka Free Trade Agreement shall be as follows-
Sl. ITC (HS) Code Description of goods Total aggregate

No. quantity that is
available for import
during 2015-16
1. 1516, 1517 or 1518 (other than Vanaspati, bakery 2,50,000 MT
15161000, 15171010, 15179030 & shortening and margarine
15180040 which are prohibited for
import)
2. 0904 Pepper 2500 MT
3. 08011100 Desiccated Coconut 500 MT
ii) These imports will be permitted subject to the following arrangements/procedure:-
(a) The import would be subject to Government of India, Ministry of Finance (Department of Revenue)
Notification No.2/2007-Customs dated 5th January 2007 (as amended from time to time) relating to Indo-Sri
Lanka Free Trade Agreement.
(b) All applications must accompany a pre-purchase agreement from one of the eligible exporter of
Vanaspati in Sri Lanka. The pre-purchase agreement must indicate the quantity and the duration of fulfillment
of the contract. The list of eligible exporting entities of the item from Sri Lanka shall be decided by the Govt.
of Sri Lanka.
(c) At the time of clearance of the import consignment, the importer in India must produce a Certificate of
Origin issued by concerned authorities in Sri Lanka.
(d) The year in respect of these imports will be the period from 1st April to 31st March, i.e. financial year of
India.
(e) All applications for grant of import authorisation shall be sent only through E-mail at [email protected] in
the prescribed format as given below:
Sl. Name and IEC Item ITC(HS) Qty. CIF value Date of Name of
No Registered No. sought to Code applied for (Rs.) & Fee submission Regional
office be (MTs) of the Authority
address of imported application in
the ANF2B
applicant along with
Fee
deposited
in RA
(f) Allocation will be made equally among the eligible applicant subject to quantity applied. The application
in ANF2M and ANF1 along with the requisite fee is required to be filed in the concerned RA as per the
normal procedure. The application should be sent by 28th February of the financial year, for allocation in the
next financial year (For allocation during 2015-16 the application may be filed upto 30.04.2015.)
26
Appendix- 2
List of Agencies Authorized to issue Certificate of Origin [Preferential]
Sl Name of the Agreement Authorized Agencies

No
1 Global System Of Trade (i) Export Inspection Council (EIC)-for all goods
Preferences (GSTP) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
(iii) Tobacco Board for Tobacco products
2 India Sri Lanka Free Trade (i) Export Inspection Council (EIC)-for all goods
Agreement (ISLFTA) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
3 ASEAN-India Free Trade (i) Export Inspection Council (EIC)-for all goods
Agreement (ASEAN-India FTA) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
4 India-Korea Comprehensive ((i) Export Inspection Council (EIC)-for all goods

Economic Partnership Agreemen (ii) Marine Products Export Development Authority (MPEDA)-for
(IKCEPA) Marine products
5 India-Malaysia Comprehensive (i) Export Inspection Council (EIC)-for all goods

Economic Cooperation Agreemen (ii) Marine Products Export Development Authority (MPEDA)-for
(IMCECA) Marine products
6 India-Japan Comprehensive (i) Export Inspection Council (EIC)-for all goods

Economic Partnership Agreemen (ii) Marine Products Export Development Authority (MPEDA)-for
(IJCEPA) Marine products
(iii) Textiles Committee for textiles and made ups
7 India-Afghanistan Preferential Trading ((i) Export Inspection Council (EIC)-for all goods
Agreement (India-Afghanistan PTA) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
8 South Asia Free Trade Area(SAFTA) ((i) Export Inspection Council (EIC)-for all goods
(ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
9 India-Chile Preferential Trading (i) Export Inspection Council (EIC)-for all goods
Agreement (India-Chile PTA) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
10 India-Mercosur Preferential Trading ((i) Export Inspection Council (EIC)-for all goods
Agreement (India-Mercosur PTA) (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
11 Asia-Pacific Trade Agreement (APTA) As per Appendix 2D of Handbook of Procedure

(Appendices and AayatNiryat Forms) 2015-2020
12. SAARC Preferential Trading As per Appendix 2D of Handbook of Procedure

Arrangement (SAPTA) (Appendices and Aayat Niryat Forms) 2015-2020
27
13. India-Thailand Early Harvest (i) Export Inspection Council (EIC)-for all goods
Scheme (ii) Marine Products Export Development Authority (MPEDA)-for
Marine products
14. India-Singapore Comprehensive (i) Export Inspection Council (EIC)-for all goods
Economic Cooperation Agreement (ii) Marine Products Export Development Authority (MPEDA)-for
CECA) Marine products
15. Generalized System of Preferences As per Appendix 2C of Handbook of Procedure

(GSP) Scheme (Appendices and Aayat Niryat Forms) 2015-2020
28
APPENDIX -2C
LIST OF AGENCIES AUTHORISED TO ISSUE GSP CERTIFICATION
S.No. Agencies authorized to issue GSP Certificate

Authorised For
1. Export Inspection Council through their field All products

offices known as Export Inspection Agencies
with their offices all over India
2. Marine Products Export Development Marine products

Authority through their regional offices
all over India.
3. Development Commissioner Handicraft

through their regional offices all over India
4. Spices Board, Spices and Cashewnuts

Ministry Of Commerce & Industry
Sugandha Bhavan, NH-Bye-Pass,
P.B No.2277,
Palarivatom P.O.
Cochin- 682025
(Ernakulam District)
5. Coir Board, Coir and Coir products

P.B No.1752, M.G.Road
Ernakulam
Cochin-16
6. Textile Committee through their regional offices all over India Textiles and madeups
7. Central Silk Board through their regional offices all over India Silk products
8. MEPZ special Economic Zone All products manufactured by

Administrative office building, Units in Madras SEZ and EOUs
National highway 45, located within the respective
Tambaram, jurisdiction of the Development
Chennai -600 045 Commissioner. In addition, the
Development Commissioner
shall also issue the certificate for
the trading units, provided they
29
meet the conditions of GSP.
9. Kandla Special Economic zone, All products manufactured by

Gandhidham, Units in Kandla and Surat SEZs
Kutch, and EOUs located within the
respective jurisdiction of the
Gujarat-370230
Development Commissioner. In
addition, the Development
Commissioner shall also issue
the certificate for trading units,
provided they meet the
conditions of GSP
10. SEEPZ Special Economic Zone All products manufactured by

Units in SEEPZ SEZ and EOUs
Andheri (East),
located within the respective
Mumbai -400 096
jurisdiction of the Development
Commissioner. In addition, the
11. Cochin Special Economic Zone, All products manufactured by

Kakkanad, Units in CochinSEZ and EOUs
Cochin 682030 located within the respective
Kerala jurisdiction of the Development
12. NOIDA Export Processing Zone All products manufactured by

Noida-DadriRoad,Phase-II Units in Noida SEZ and EOUs
Noida,201305 (UP) located within the respective
Distt.Gautambudh Nagar jurisdiction of the Development
13. Vishakhapatnam SEZ All products manufactured by

Administrative Building, Units in Vishakhapatnam SEZ
Duvvada, Visakhapatnam 530 046 and EOUs located within the
respective jurisdiction of the
Development Commissioner. In
30
addition,the Development
Commissioner shall also issue
the certificate for the trading
units, provided they meet the
conditions of GSP.
14. Falta SEZ All products manufactured by

2nd MSO Building, 4th Floor,Room No.4, Units in Falta SEZ and EOUs
Nizam Place, 234/4, AJC Bose Road, located within the respective
Kolkata-700 020 jurisdiction of the Development
West Bengal. Commissioner. In addition, the
15. Directorate General of Foreign Trade & its regional offices All products
Note: An application for grant of a GSP certificate may be made

by the Registered/Head Office/Branch Office/Factory of the
applicant to the licensing authority under whose jurisdiction such
office/factory falls.
31
APPENDIX -2D
LIST OF AGENCIES AUTHORISED TO ISSUE CERTIFICATES OF ORIGIN FOR SAPTA AND ASIA
PACIFIC TRADE AGREEEMENT (APTA)
S.No. Address S.No. Address
1. Agricultural and Processed Food Products 2. Apparel Export Promotion Council

Exports Development Authority A-223, Okhla Industrial Area
3rd Floor, NCUI Building Phase-I, Okhla
3, Siri Institutional Area New Delhi-110 020
August KrantiMarg (Opp. Asiad Village)
New Delhi-110 016
3. Basic Chemicals, Pharmaceuticals & 4. The Cashew Export Promotion Council of India
Cosmetics P.B.No: 1709, Chittoor Road
Export Promotion Council, Ernakulam South
Jhansi Castle Cochin 682016
4th Floor
7, Cooperage Road
Bombay 400039
5. Carpet Export Promotion Council 6. Chemicals & Allied Products Export Promotion
NiryatBhavan, Council
3rd Floor, Rao Tula Ram Marg VanijyaBhavan
Opp. Army R R Hospital International Trade Facilitation Centre
New Delhi-110 057 3rd Floor
1/1, Wood Street
Kolkata-700016
7. Coffee Board 8. Coir Board

Post Box No.5366 Coir House
No.1, DrAmbedkarVeedhi M.G. Road, Ernakulam South
Bangalore-560 001 Kochi 682016
9. The Cotton Textiles Export Promotion 10. Electronics and Computer Software Export
Council Promotion Council
Engineering Centre, 5th Floor PHD House, 3rd Floor
9, Mathew Road Opp. Asian Games Village
Mumbai 400004 New Delhi 110016
11. Engineering Export Promotion Council 11A Engineering Export Promotion Council
World Trade Centre Surya Kiran, (4th floor)
1st Floor, 14/1B Ezra Street 19 Kasturba Gandhi Marg,
Kolkata 700001 New Delhi 110001
11B Engineering Export Promotion Council 12. Federation of Indian Export Organisations
GreamsDugar (3rd Floor) (FIEO)
149, Greams Road NiryatBhawan,
Chennai-600 006 Rao Tula Ram Marg,
32
Opp. Army Hospital Research &Referal

New Delhi 110057
13. The Gem &Jewellery Export Promotion 14. Export Promotion Council for Handicrafts
Council, EPCH House, Pocket 6 & 7
Office No. AW 1010, Sector-C, LSC, VasantKunj
Tower A, G Block, Bharat Diamond Bourse, New Delhi-110 070
Next to ICICI Bank, Bandra-Kurla Complex,
Bandra - East, Mumbai
15. The Handloom Export Promotion Council 16. The Indian Silk Export Promotion Council
Handloom Export Promotion Council 62, Mittal Chambers, 6th Floor
No.29A, Rajasekaran Street, Nariman Point
Mylapore,Chennai 600 004 Mumbai 400021
17. Council for Leather Exports 18. The Marine Products Export Development
CMDA Tower-II, 3rd Floor Authority
Gandhi Irwin Bridge Road P B No.4272, Panampilly Nagar P O
Egmore Panampilly Avenue
Chennai-600 008 Kochi-682 036
Kerala
19. Overseas Construction Council of India 20. The Plastics and Linoleums Export Promotion
H 118 (11th Floor), Himalaya House Council
23, Kasturba Gandhi Marg Centre 1, Unit 1, 11th Floor
New Delhi 110001 World Trade Centre
Coffee Parade, Colaba
Bombay 400005
21. The Rubber Board 22. Shellac Export Promotion Council

Shastri Road VanijyaBhawan
P B No.1122 International Trade Facilitation Centre
Kottayam-686 002 1/1, Wood Street, 2nd Floor
Kolkata-700 016
23. The Sports Goods Export Promotion 24. Spices Board

Council SugandhhaBhawan, N H Bye Pass
2nd Floor, 1E/6, Swami Ram Tirth Nagar P.B.No:2277, Palarivattam P.O.,
Jhandewalan Extension Cochin 682025
New Delhi-110 055
25. The Synthetic & Rayon Textiles Export 26. Tea Board
Promotion Council 14 BiplabiTrailokyaMaharajSarani
ReshamBhavan (Brabourne Road)
78, Veer Nariman Road Kolkatta 700001
Churchgate
Mumbai-400 020
27. Tobacco Board 28. Wool &Woollens Export Promotion Council

33
SrinivasaRaoThota Flat No. 614, IndraPrakash Building,

G.T. Road, P.B.No: 322 21, Barakhamba Road,
Guntur 522004 New Delhi -110001
29. SEEPZ Special Economic Zone, 30. Kandla Special Economic Zone
Andheri East Gandhidham-Kutch
Mumbai- 400 096 Gujarat-370230
31. MEPZ Special Economic Zone 32. Cochin Special Economic Zone
Administrative Office Building, Kakkinad
National Highway 45, Tambaram, Kochi 682030
Chennai- 600045
33. Visakhapatnam Special Economic Zone 34. Noida Special Economic Zone
Administrative office Building, Noida Dadri Road
Duvvada, Visakhapatnam-530046 Noida 201305
35. Falta Special Economic Zone, 36. Export Inspection Council

2nd MSO Building, 4th Floor, 8G, 8th Floor, Hansalaya Bldg.,
Room No.4, Nizam Place, 234/4, 15 Barakhamba Road,
AJC Bose Road, Kolkata-700 020 New Delhi-110001
West Bengal.
37. The Plastics Export Promotion council, 38. All DGFT offices as per their territorial
Crystal Tower, Crystal Cooperative jurisdiction as given in Appendix 1B of
Housing Society Limited, Gundivali Road Appendices and Aayat Niryat Forms
No.3, Off M V Road, Andheri (E)
Mumbai-400069
39. All Regional Offices of Export Promotion

Councils as indicated in this Appendix
34
APPENDIX- 2 E
LIST OF AGENCIES AUTHORISED TO ISSUE
CERTIFICATES OF ORIGIN- NON PREFERENTIAL
ALL INDIA ORGANISATIONS
1. Directorate General of Foreign Trade & its Regional Offices

Head Office : Udyog Bhavan, New Delhi 110011
Phone : 011-23062777
Fax : 011-23062225
E-mail : [email protected]
Website: www.dgft.gov.in
2. Textile Committee & its Offices in India

Head office:-
Textile Committee
Export Promotion and Quality Assurance Division
First Floor, P.Balu Road,
Off.Veer Savarkar Marg,
Prabhadevi Chowk, Prabhadevi,
Mumbai 400 025
Ph:022-66527507; 66527500
Fax:022-66527509
3. FIEO and its branches in India

Head Office:-
Niryat Bhawan,
Rao Tula Ram Marg,
Opp. Army Hospital Research & Referal,
New Delhi-110057
Tel:011-26150101-104
46042222
Fax-91-11-26148194/26150077
Website:[email protected]
4. CII and its branches

Head Office:-
23, Institutional Area, Lodi Road, New Delhi - 110 003
Phone : 0091-11-4629994-7, 4626164 / 4625407
Fax : 0091-11-4626149/4633168
Cable : BUILDPOWER
Email : [email protected]
Internet : www.cii.in
35
5. PHD Chamber of Commerce and Industry

PHD House, 4/2 Siri Institutional Area,
August Kranti Marg,
New Delhi 110 016
Tel: +91-11-26863801 to 04;49545454
Fax:+91-11-26855450, 49545451
E.mail: [email protected]
Website: www.phdcci.in
PHD Chamber of Commerce and Industry

Suite No.23, 2nd Floor, Indra Palace,
H Block Middle Circle, Connaught Place,
New Delhi-110 001
Tel: 91-11-23327421
And its Regional Offices at Chandigarh, Shimla, Lucknow, Jaipur, Bhopal and Jammu.
The Chamber through its branches may issue Certificate of Origin (Non-Preferential) for the units
located in Chandigarh, Chhattisgarh, Delhi, Haryana, Himachal Pradesh, Jammu & Kashmir,
Madhya Pradesh, Punjab, Rajasthan, Uttarakhand and U.P.
Note: An application for grant of a Certificate of Origin- Non Preferential may be made by the
Registered/Head Office/Branch Office/Factory of the applicant to the licensing authority
under whose jurisdiction such office/factory falls.
ANDHRA PRADESH
1. Development Commissioner 2. Cocanada Chamber of Commerce

Visakhapatnam Special Economic Commercial Road,
Zone, Kakinada - 533007.
Admn office Building, Tel: 0884-376239
Duvvada, Fax: 0884-355424
Vishakhapatnam 530046
Tel: 0891-587555/352
Fax: 0891-587352
E-mail: [email protected]/[email protected]
3. The Federation of Telengana and 4. Indian Chamber of Commerce,

Andhra Pradesh Chamber of Commerce P.B.No.67, Veera Savarkar Road,
and Industry, Guntur-522001.
Tel:220092
11-6-841, Red Hills, P.B. No. 14,
Hyderabad-500004.
Tel: 040-3393428/3658
Fax: 040-3395083
36
5. Pharmaceutical Export 6 Federation of Andhra Pradesh Small

Promotion council, Industries Association
101, Aditya Trade Center, Ameerpet, Administrative Building, Industrial Estate
Hyderabad 500038 Sanath Nagar
Tel. No. 91 40 23735462/66 Hyderabad 500018
Fax No. 91 40 23635464 Tel: 040-23707942
E.mail: [email protected] e.mail:[email protected]
URL: www.fapsia.com
Federation of Indian Micro and Small &

7.
Medium Enterprises
H.No.6-3-569/1/2/4, 2nd Floor,
Rockdale Compound Near: Eenadu
Office,
Opp: RTO Office, Somajiguda,
Hyderabad-500082
Tel: 040 - 23322117
Fax : 040 - 23312116
ASSAM
1. Federation of Industries & Commerce of 2. North East Federation on International Trade

North Eastern Region(FINER) Dosi Bhawan, Pallan Bazar,
Shadeed Dileep Chakravarti Path, Guwahati-781008
Behind Ice Factory, Tel: 541717/718
R.G.Baruah Road
Guwahati-781005
Tel: 0361-222537,630076
Fax no. 0361-522037
3. North East Chamber of Commerce &

Industry
Rukmini Nagar, G.S. Road, Dispur,
Guwahati 781006
Ph: 0361- 226616/17,
Fax: 0361- 226616
E-Mail: [email protected]
DELHI
37
1. Apparel Export Promotion Council, 2. Apex Chamber of Commerce & Industry of

15, NBCC Tower, Bhikaji Cama Place, NCT Delhi
New Delhi-110066. A-8 Naraina Industrial Area
Tel: 6183351,6169394/56/57 Phase-II, New Delhi -110028
Fax: 6188584/300 Tel:011-25893646
Telefax: 011-41418461
Website:www.dcci.in
3. Federation of Indian Micro and 4. Laghu Udyog Bharti

Small & Medium Enterprises, 1E/11, Swami Ramtirth Nagar,
B-4/161, Safdurjung Enclave, Jhandewalan Extn,
New Delhi 110029 New Delhi 110055
Tel:6109470, 6187948
Fax: 6109470
5. The Sports Goods Export Promotion 6. The Associated Chambers of Commerce and
Council,
The 1E/6, Swami Ram Tirth Nagar, Industry of India
(2nd Floor, Jhandewalan Ext.
New Delhi-110055. 147-B, Gautam Nagar,
Tel: 3525695 Gulmohar Enclave,
Fax: 7532147 New Delhi 110049
7. Indian Electrical and Electronics 8. Indian Chamber of Commerce & Industry

Manufacturers Association 49, Community Centre, New Friends Colony,
Rishyamook Building, First Floor New Delhi 110065
85 A, Panchkuian Road
Tel: 011-51678602-09
New Delhi-110001
Ph: +91 11-23363013-14/ Fax: 011- 26840775
23746634 Email: [email protected]
Fax: +91 11-23363015
9. Wool & Woollens Export Promotion 10. Delhi Chamber of Commerce,

Council
49, Rani Jhansi Road,
906, New Delhi House, 27, Barakhamba
Road New Delhi-110055
New Delhi-110001. Tel.23616421,23610397,23515828,23518994
Tel.No.: 23315512, 23315205
Fax: 011-23730182 Fax:23628847, 23622815
E-Mail : [email protected] E-mail: [email protected]
Website: www.wwepc.org
11. M/s. Indian Society of Agribusiness

38
Professionals
R-289A, 2nd Floor, Greater Kailash-I
New Delhi-110048.
Tel. No. 91-11-51730573, 51730574,
30938993
Fax: 51731674
and its branch at
A/184 Road No. 1

Mahipalpur Extn.
New Delhi -110037.
[email protected]
Website:www.isapindia.org.
GOA
1. Goa Chamber of Commerce and

Industry
Goa Chamber Building,
Ormuz Road, P.O. Box No.59,
Panjim
Tel: 224223
Fax: 223420
GUJARAT
1. Federation of Gujarat Industries, 2. Gujarat Chamber of Commerce & Industry,

FGI Business Centre Shri Ambica Mills-Gujarat Chamber Building,
Gotri-Sevasi Road, Opp. Nilgiri Farm, Ashram Road, P.B. No. 4045,
Sevasi, Vadodara-391101 Ahmedabad-380009
Tel: 0265-2372901-02 Tel: 079- 6582301/2/3/4
Fax: 2372904 Fax: 079-6587992
E-mail: [email protected] E-mail: [email protected]
3. Jamnagar Chamber of Commerce & 4. Porbandar Chamber of Commerce & Industry

Industry Near old fuvara,
Shri Digvijaysinhji Chamber Building, Porbandar-360575
Grain Market, Tel: 0286-244454, 240454
Jamnagar-361001.
Tel: 0288-2550250, 2550257
39
Fax: 0288-2554823
E-mail : [email protected],
[email protected],
www.nccijamnagar.org
5. Saurashtra Chamber of Commerce & 6. Southern Gujarat Chamber of Commerce &

Industry, Industry,
315, Chamber Complex Nakubaug, 'Samruddhi' 4th floor, Annex Nanpura,
Darbargadh Makkai bridge,
Bhavanagar-364001. P.B.No.51, Nanpura,
Tel:0278-424279 Surat-395001.
Fax: 0278-430040 Tel:0261-3479431-5
E-mail: [email protected] Fax: 0261-3472340
7. Shri Sorath Chamber of Commerce & 8. The Gandhidham Chamber of Commerce &
Industry Industry,
Opposite Port Office Vakhariay Bazar, Plot No. 8, Sector-9, P.B.No. 58,
Hotel Kaveri Lane, S.T.Road. Akar Gandhidham (Kachchh)
complex, Tel: 20735, 56828, 20977
Veraval, Fax: 20888
Gujarat-362265 E-mail: [email protected]
Tel:02876-20102
Fax: 02876-44078
9. Rajkot Chamber of Commerce & 10. Greater Rajkot Chamber of Commerce and
Industry Industries,
Post Box 441, Centre Point, 308, J.P. Tower, Tagore Road,
Karansinghji Road, Rajkot-360002.
Rajkot 360 001 TEL :0281-2466200
Tel: 0281- 227500/400 FAX: 0281-2480196
Fax: 0281- 230824 e-mail: [email protected]
11. Rajkot Engineering Association 12. EXIM CLUB,

Bhakti Nagar Industrial Estate Association of Exporters & Importers,
Rajkot 360002 2nd Floor, West Wing, Offtel Towers No.1,
Tele: 0281-2362235-36-37 B/H,Stop-N-Shop, Plaza, R.C.Dutt
Fax: 0281-2362506 Road,Vadodara-390007.
e.mail: [email protected] Tel: 91-265-2326410, 3025129,
URL: www.reaindia.com Telefax: 91-265-2338659
e.mail [email protected]
Website: www.eximclub.org
HARYANA
40
1. Faridabad Industries Association 2. Gurgaon Chamber of Commerce & Industry,

Bata Chawk, Industrial area, Post Box No 2, Khandsa Road,
Faridabad 121001 Gurgaon 122001
Tel: 0129-5432136/5176 Tel: 0124- 6370303/ 0404
Fax: 0129-5435175 Fax: 0124-6373708
[email protected] E-Mail: [email protected]
3. Bahadurgarh Chamber of Commerce & Industry

6, M.I.E. Bahadurgarh 124507,
Jhajjar, Haryana.
Tele Fax: 268789,
Tel: 268790,
JAMMU & KASHMIR
1. J&K Walnuts exporters Association 2. The Kashmir Chamber of Commerce &

102, 1st floor, Fruit market complex, Industry,
Narwal Residency Road,
Jammu-180006 Srinagar-190001.
Kashmir
Tel: 455446
Fax: 452517
KARNATAKA
1. Belgaum Chamber of Commerce & 2. Central Silk Board

Industry, CSB complex, B.T.M.Layout,
73, Raviwar Peth Belgaum- 590002 Madivala,
(Udyambad), Khanpur Road, Bangalore 560068
Plot No. 48-49, Tel: 080-6688831/0841/8957/9351
Belgaum- 590008 Fax: 080-6681511
Tel: 460101/440417 E-mail: [email protected]
3. Kanara Chamber of Commerce & 4. Bangalore Chamber of Industry and

Industry Commerce
Chamber Buildings, P.O.Box NO.116, Sheriff Chambers,
Bunder, Mangalore 575001 14 Cunningham Road,
Tel: 0824-420128/669 Bangalore 560 052
Fax: 0824-420669 Tel. No: 080- 2286080
E-mail: [email protected] Fax No: 080- 2251475
Website: www.gmci.org.in
41
5. Federation of Karnataka Chambers of 6. Karnataka Small Scale Industries Association

Commerce & Industry, 2/106, 17th Cross, Magadi Chord Road
P.O.Box 9996, Kempe Gowda Road, Vijayanagar
Bangalore- 560009 Bangalore-560040.
Tel: 080-2262355/2157/2356 Tel. +91-080-23358698
Fax: 080-2251826/2385908 Telefax: +91-080-23353250, Grams KASSIA
E-Mail: [email protected] Fax: +91-080-23102865
Website: http//www.kassia.com
7. Federation of Indian Micro and Small &
Medium Enterprises
57/5, Family YMCA Building, Millers
Road,
Benson Town,
Bengaluru - 560046.
Tel: 080-23543589
Fax : 080-41657607
KERALA
1. Cashew Export Promotion Council of 2. Cochin Chamber of Commerce & Industry,

India, P.NB.No.503, Bristow Road,
P.B.No.1709, Chittoor Road, Willington Island,
Ernakulam South, Cochin 682 003
Cochin-682016. Tel:0484-666348/253
Fax:0484-668651
3. Ernakulam Chamber of Commerce, 4. Indian Chamber of Commerce and Industry,

P.B.No.2530, Chamber corner, P.B.No. 236, Indian chamber Road,
Shanmugham road, Cochin- 682 003
Kochi 682 031 Tel: 0484-225966, 224335
Tel:0484-380950, 354885 Fax: 0484-224203
Fax: 0484-374253 E-mail: [email protected]
5. The Malabar Chamber of Commerce 6. The North Malabar Chamber of Commerce,

Chamber house, Cherootty Road, Cannanore- Tellicherry Road,
P.B.No.1113, Calicut-673032 Cannanore-670002.
Tel: 365282/92 Tel: 703399
Fax: 0766191
E-mail:
[email protected]
7. The South Indian Chamber of 8. The Chamber of Commerce,

Commerce and Industry Chamber Building,TTC Road,
Peniel Buildings, Muttambalam, Jawahar nagar, Kowdiar,
42
Kottayam 4 Thiruvananthapuram-695003,
Tel No: 0481-2570745, 2584687; Kerala
Fax: 0481-2302008
Email: [email protected] Tel:0091-0471-2317555
Fax:0091-471-2319555
MADHYA PRADESH/CHHATISGARH
1. Foreign Trade Development Association 2. Federation of Madhya Pradesh Chamber of

of India Commerce and Industry,
502, Silver Arc Plaza, Udyog Bhavan
20/1,New Palasia ,P.B.No. 591, 129-A, Malviya Nagar
Indore-452001 Bhopal-462003
Tel: 0731-270939, 264939 Tel: 0755-573612
E-mail: [email protected] Fax: 0755-551441
3. Madhya Pradesh Chamber of 4. Devi Ahilya Chamber of Commerce and

Commerce & Industry Industries
Sanatan Dharam Mandir Marg, 34, Jawahar Marg, Near Jhanda Chowk,
Chamber Bhavan, Gwalior-474009. Police Chowki, Indore 452007
Tel:0751-332916/7 Tel: 0731- 432524/ 543904
Fx: 0751-323844 Fax: 0731- 433859/ 475867
5. The Soyabean Processors Association

of India,
Scheme No 53, Malviya Nagar, A.B.
Road,
Indore 452008
Tel: 0731-556530/532/533
Fax: 0731- 556531
MAHARASHTRA
1. All India Exporter Chamber, 2. Association of Merchants & Manufacturers of

Janmabhoomi Chambers, Walchand Textile Stores and Machinery(India)
Hirachand Marg, Mumbai-400001. Bhogilal Hargovindas Building,
Tel: 022-2611055/5430 18/20, K.D.Marg,
Fax: 022-2699179 Mumbai-400001.
E-mail: [email protected] Tel: 022-2844350/401
Fax: 2874060
43
3. Basic Chemicals, Pharmaceuticals and 4. Bombay Chamber of Commerce & Industry,

Cosmetics Export Promotion Council, Mackinnon Mackezie Building,
Jhansi Castle, 4th Floor, 3rd Floor, Ballard Estate,
7th Cooperage Road, Bombay-400038.
Mumbai-400039. Tel:022-2614681
Fax:022-2621213
5. Cotton Textiles Export Promotion 6. Hindustan Chamber of Commerce

Council, 342, Kalbadevi Road,
Engineering Centre, 5th Floor, Mumbai- 400002
9, Mathew Road, Tel:022-2083724/ 2061775
Mumbai-400004 Fax: 022-2071359
Tel:022-2855859/5860 E-mail: [email protected]
Fax:022-3631213
7. Indian Merchants Chamber, 8. Indo-Arab Chamber of Commerce &

IMC Building, Industries,
P.B.No. 11211, Churchgate, 16, Maker Arcade, Ground Floor,
Mumbai-400020. Cuffe Parade,
Tel:022-2046633 Mumbai 400 005
Fax: 022-2048508 Tel. No: 2183889/2182057
E-mail: Inter- Fax No: 2188221/2180848
[email protected] E-mail: [email protected]
9. Indian Chemical Council 10. Maharashtra Chamber of Commerce &

Sir Vithaldas Chambers, Industry,
16 Mumbai Samachar Marg, Oricon House, 6th Floor,12K, Dubhash Marg,
Mumbai- 400023 Fort, Mumbai-400001
Tel:022-2855859/5860
And its branches at Fax: 022-2855861
a) Shantiniketan 8th Floor, 8 Camac
Street,Kolkata-700017
b) 332-A, Sant Nagar, Ground Floor

East of Kailash, New Delhi-11--
65
c) Kurian Complex, III floor 140-A,

Nelson Manickam Road,
Chennai- 600029
11. Maharatta Chamber of Commerce & 12. Memon Chamber of Commerce

Industries, Patharia Palace, 75, Mohamedali Road,
44
P.B.No. 525, Tilak Road, Mumbai-400003.

Pune-411002. Tel:022-3421109
Tel:020-4440371/0472 Fax:022-3413661
Fax:020-4447902
13. Marathwada Industries Association, 14. MVIRDC World Trade Centre

Bajaj Bhavan, P-2, MIDC, Station Road Centre-1, 31st floor, Cuffe Parade,
Aurangabad-431005 Mumbai- 400005
Tel (0240)-324509/355090 Tel:022-2184434
Fax (0240)333029 Fax:022-2188385/0823
E-mail: [email protected] E-mail : [email protected]
15. Nag-Vidarbha Chamber of Commerce 16. Synthetic & Rayon Textiles Export Promotion
Temple Road, Civil Lines, Council,
P.B.No. 33, Nagpur-440001 Resham Bhavan, 78 Veer Nariman Road,
Tel:0712-522434 Fax:0712-542422 Mumbai-400020. Tel:022-2048797/8690
E-mail: [email protected] Fax:2048358 E-mail: [email protected]
17 The All India Association of Industries, 18. The Solvent Extractors Association Of India,
98, Mittal Chamber, 142, Jolly Maker Chambers No.2
Nariman Point, 14th floor, 225, Nariman Point,
Mumbai 400021 Mumbai-400021
Tel. No: 202 3390 Tel: 022-2021475
Fax: 022-2660992 Fax: 022-2021692
E-mail: [email protected] E-mail: [email protected]
19. Indo German Chamber of Commerce 20. Bombay Industries Association

Maker Tower E , 1st Floor, Cuffee Sahakar Bhavan, Narayan Nagar,
Parade, Mumbai 400 005 Kurla Ind. Est. L.B.S. Marg,
Ghatkopar (West),
and its branches as under: Mumbai 400 086
a) German House, 2 Nyaya Tel. 022 2516 9663 / 2512 9580
Marg,Chanakya Puri, New Delhi Fax: 022 2516 5303
110021 E-mail: [email protected]
Tel:011-2687721/26111730 Website: www.biaindia.org
Fax: 011-26118664
b) 3A, Gurusaday Road, 1st Floor,
Block A, Kolkata 700019
Tel: 033-2247147/ 22405645,
Fax: 033-2476165
c) 177, G.N.Chetty Road, T.N.Nagar,
Chennai-600017
Tel: 044-28211835
Fax: 044-28211837
d) 403, Shah Sultan,P.O Box 144,
45
Cunningham Road, Bangalore-

560059
Tel: 080-22265650
Fax: 080-22023797
21 Indian Oilseeds and Produce Export 22 M/s Vidarbha Industries Association

Promotion Council I Floor, Udyog Bhawan, Civil Lines,
78-79, Bajaj Bhavan, Nariman Point, Nagpur-440 001
E-mail: via_ngp2sancharnet.in
Mumbai-400021.
Web site: www.via-india.com
Tel (91-22)2202 3225/2202 9295 Phone no: 0712 256 1211
FAX : ( 91-22) 2202 9236 Fax: 0712 254 5190
Website:www.iopea.org
23 The Clothing Manufacturers Association 24 Deccan Chamber of Commerce Industries &

of India Agriculture Pune
902, Mahalaxmi Chambers 305, Gulmohar Centre Point, Near Viman
22, Bhulabhai Desai Road
Nagar Junction, S. No. 34/A-5, Vadgaon Sheri,
Mumbai-400026.
Tel.No.2353 8245, 2352 5168, 2353 Nagar Road, Pune 411014.
8986 Tel/Fax: 91-20-56029325, 56246798
Fax: 91-22-2351 5908 E-mail: [email protected]
Website:www.cmai.info
25 Raigad Chamber of Commerce & 26 Cotton Association of India

Industry 2nd Floor, Cotton Exchange Bldg.,
C-501 Kukreja Centre, Sector-11, Cotton Green
Plot No.13, CBD Belapur, Mumbai-400033
Navi Mumbai-400614 Phone:022-23704401/02/03,23729438
Phone: 022-309953547 / 30997391 Fax:022-23700337
Fax: 022-27579805 E-mail:[email protected]
E-mail: [email protected] Website:www.eicaindia.org.
Website: www.raigadchamber.com
27 Thane Small Scale Industries Association

TSSIA House, Plot No. P-26
Road 16/T, Wagle Industrial Estate
Thane-400604.
Phone 022-25820429, 25822493
Fax-25823303
Website:httpp://www.tssia.com
28. M/s ASMECHEM CHAMBER OF COMMERCE & INDUSTRY OF INDIA

Readymoney Terrace, 167,
Dr. Annie Besant Road, Worli,
Mumbai 400018,
Tel.Nos.022-24938825/ 61233500,
Fax No. : 022 2493 8826,
Email:[email protected], [email protected]
46
MANIPUR
1. Associated Manipur Chamber of 2. Federation of All Manipur Importers/Exporters

Commerce Chamber of Commerce & Industry,
Imphal: 795001
Indo-Myanmar Border Traders Union (IMBTU)
Tel: 221229
Nagamapal Laimayum Leirak, Imphal 1
3. Border Trade Chamber of Commerce,

Ward No.IV,Moreh,
Chandel District,Manipur
Contact person:Mr K.B.Subramaniam,
Public Relation Secretary,
[email protected]
Mobile No. 09862064276
MEGHALAYA
1. Meghalaya Exporters chamber of 2. Meghalaya Mineral Exporters Chamber of

Commerce Commerce
Mongrim Hills, Opp. Nagaland House Honeywood upper new colony, laitumkhrah,
Shillong- 7903003 Shillong-793003
3. Meghalaya International Exporters 4. North East Federation on International Trade

Chamber of Commerce Wallang House, Three Pines colony,
Dawki, Jaintia Hills Laban, Shillong- 793004
Tel: 0364-504387
Fax: 0364- 505397
PUDUCHERRY
1. Chambre De Commerce
1, Rue Suffren, P.B.No.39,
Pondicherry 605001
Tel: 338615
PUNJAB
47
1. Chamber of Industrial & Commercial 2. Federation of Punjab Small Industries

Undertaking, Association,
Gill road, Punjab Trade Centre Complex,
Ludhiana 141 003 Near State Bank of India, Miller Ganj,
Tel:0161-530551/540551 Ludhiana- 141 003
Fax:0161-530551 Tel: 0161-532302
Fax: 0161-671301
3. Punjab Small Industries & Export 4. Northern India Chamber of Commerce &
Corporation Industry
Sector 17, Chandigarh 20B, Textile Colony, Ludhiana 141 003
Tel: 0161 661819 / 609419
Fax: 0161 661817
5. Apex Chamber of Commerce & Industry

(Punjab)
Room No.212, 2nd Floor,
Savitri Complex,
Post Bag No.740, G.T. Road,
Ludhiana 141 003
Tel: 0161-254 2749
Fax: 0161-253 1797
RAJASTHAN
1. Rajasthan Chamber of Commerce & 2. Bhiwadi Manufacturers Association

Industry, S-56, BMA House, Industrial Area
Rajasthan Chamber Bhawan, Bhiwadi-301019, Distt. Alwar
M.I.Road, Tel: 01493 21134/23800
Jaipur-302003 Fax: 21416/20228
Tel: 0141-565163/569899 E-mail: [email protected]
Fax: 0141-562610
3. Marwar Chamber of Commerce & 4.M/s Federation of Rajasthan trade and

Industry Industry,
5-Haider Building, Sojati Gate 302, Coral castle, subhash Marg,
Jodhpur- 342001 C-Scheme, Jaipur-302001
Tel: 0291-431157 Tel : 0141-2220207 Telefax : 0141 2221206
E-mail: [email protected] Email : [email protected];
[email protected]
Website : www.forti-india.com
TAMILNADU
1. All India Skin & Hide Tanners & 2. Andhra Chamber of Commerce
48
Merchants Association, New No.23, Third Cross Street,

"Leather Centre", West C.I.T. Nagar, Nandanam,
53, Raja Muthiah Road Chennai 600035.
Periamet,
Chennai -600003. Tel:044-24315277-79
Tel: 044-5389945/5274 e-mail:[email protected]
Fax: 044-5365292
3. Hindustan Chamber of Commerce, 4. The Indian Chamber of Commerce & Industry,

Hindustan Chamber Building, Chamber Tower, 8/732, Avanashi Road,
15, Kondi Chetty Street, Coimbatore-641018
Madras-600001. Tel:0422-214000/1,
Tel:044-5383134/6394 Fax: 5368063
5. The Madras Chamber of Commerce & 6. The National Chamber of Commerce,

Industry, NO.5&6, North Usman Road,
Karumuttu Centre, 1st Floor, 2nd Floor, T.Nagar,
Dare House, North Beach Road, Chennai-600108.
434, Annasalai, Nandanam, Tel: 04408229113
Chennai-600035.
7. Salem Dharmapuri Chamber of 8. The Tamil Chamber of Commerce

Commerce "174, Thambu Chetty Street,
B-7, Fairlands P.O.Box.No. 1661
Salem-636016 Chennai-600001.
Tel: 0427-447473/448466 Tel: 044-5231930/5228419
9. Tamilnadu Chamber of Commerce & 10 Indo-Australian Chamber of Commerce & Industries,

Industry 4th Floor, Arjay Apex Centre, 3rd Floor,
178-B, Kamaraja Salai, 24, College Road,
Madurai-625009. Nungambakkam, Chennai 600 006
Tel: 0452-626751/52 Tel:044-8213231 Fax: 8225603
Fax:0452-626750 E-mail: [email protected]
11 The Southern India Chamber of 12 Tirupur Exporters Association

Commerce and Industry 62, Appachi Nagar Main Road,Post Box No. 508, Tirupur-
Indian Chambers Building, P.B. No 641607 Tel: 0421-2220500, 2220606
1208, Esplanade Fax: 0421-2220505
Chennai 600108. E-Mail: [email protected] / [email protected]
13. Indian Chamber of Commerce and 14 The Tirupur Chamber of Commerce and Industry
Industry 47, Nehru street
84-B, South Raja Street, Tirupur-641 601
Tamil Nadu
Tuticorin 628 001
Tel: 0421-2201371, 2201372
Tel. 0461 233 7405 Fax: 0421-2201518
49
Fax: 0461-233 7405 Website: www.tirupurchamber.com

Email: [email protected] e-mail: [email protected]
TRIPURA
1. Tripura Exporters-Importers Chamber of 2. Purbachal Exim Chamber of Commerce

Commerce Ichai Sonapur Dharm Nagar,
Kamarpukar Par, A.A.Road North Tripura
P.O.Agartala College Tel:03822-20851
Agartala (West) Pin- 799004 E-mail: [email protected]
UTTAR PRADESH/UTTARAKHAND
1. Eastern U.P. Chambers of Commerce & 2. Merchants Chamber of Uttar Pradesh,

Industry 14/76, Civil Lines,
29/27/1, C.Y.Chintamani Road, Kanpur-208001
Darbhanga Colony, Tel: 0512-291306
Allahabad-211001. Fax: 0512-210684
Tel:0532-40758 E-mail: [email protected]
Fax: 0532-461812
3. Upper India Chamber of commerce, 4. Eastern UP Exporters Association,

14/113, Civil Lines, P.B.No. 63, B-2, Guru Kripa Colony,
Kanpur-208001 P.O.Box No.2040,
Tel: 0512-210684/543905 Nadesar,
Fax: 0512-210684 Varanasi-221002
Tel: 0542-345913
5. Assistant Director (Handicrafts) 6. Associated Chamber of Commerce and

Office of the Development Industry of Uttar Pradesh,
Commissioner (Handicrafts) 3/465, Vishal Khand, P.O.Box.No.17
12/2189,near Darpan Cinema, Ambala Gomti Nagar, Lucknow 226 010
road, Tel.No: 301956-57
Saharanpur-247001 Fax No: 301958
Tel:648530 E-mail: [email protected] /
[email protected]
7. Indian Industries Association

II A Bhawan, Vibhuti Khand,
Phase-II, Gomati Nagar,
Lucknow-226 010
50
Website: www.indian-industries.org
Phone: 91-522-
2720090/2004350/3104257
Fax: 91-522-2720097
WEST BENGAL
1. Bengal Chamber of Commerce & 2. Bengal National Chamber of Commerce &

Industry, Industry
P.B.No.280, Royal Exchange, 23, R.N.Mukherjee Road,
6, Netaji Subhash Road Kolkatta-700001
Kolkatta-700001 Tel:033-2482951
Tel:033-2203711/33/46 Fax: 033-2487058/0387
Fax: 033-2201289 E-mail: [email protected]
3. Development Commissioner 4. Federation of Biri,

Falta EPZ, Biri Leaves & Tobacco Merchants,
2nd MSO Building, Room No. 4, 1, Rupchand Roy Street,
Nizam Place, 234/4, AJC Bose Road, Kolkatta-700001
Kolkatta Tel:033-2384088
5. Indian Chamber of Commerce 6. Oriental Chamber of Commerce

4, India Exchange Place 6A, Dr.Rajendra Prasad Sarani,
Kolkatta-700001 Kolkatta-700001.
Tel: 033-2203242-44 Tel:033-2203609/2120
Fax: 033-2204790 Fax:033-2203609
7. Bharat Chamber of Commerce 8. MCC Chamber of Commerce & Industry

9, Park Mansions, 2nd Floor,57A 15-B, Hemanta Basu Sarani,
Park Street, Kolkatta-1
Kolkata-16 Tel:033-2481502/6329/5912
Tel:033-2299591/9608 Fax:033-2488657
Fax:033-2204947 E-mail: [email protected]
9. Calcutta Chamber of Commerce 10 Malda Merchants Chamber of Commerce

18-H, Park Street, Stephen Court, Banijyya Bhavan
Kolkata-700071 Sankopara, Maheshmati
Tel: 033-2290758/2298236 Malda-732101
Fax: 033-2298961 Tel. No.: 03512-266028
E-mail: [email protected] Fax: 266174
E-Mail:
[email protected]
51
FOR EXPORT OF TEA ONLY
ANDHRA PRADESH
1 M/s.Vimta Labs Ltd.

142, IDA, Phase-II
Cherlapally
Hyderabad-500051.
Tel. No.91-40-2726 4141, 4444
Fax: 91-40-2726 3657
E-Mail: vimtahq@vimta .com
URL: www.vimta.com
TAMILNADU
2 M/s. Upasi Tea Research Foundation

Nirar Dam PO
Valparai-642127
Coimbatore Distt.
Tamilnadu.
Tel. No.: 04253-235301, 235303
Fax: +91-04253-235302
Grams: UPASI, Valparai
MAHARASHTRA
3 M/s. Geo-Chem Laboratories (P) Ltd.

294, Shahid Bhagat Singh Road
Fort
Mumbai-400001.
Tel.No.(+91-22) 5638 3838
Fax: (+91-22) 5638 3800
Telex: 011-83498 GEOC IN
Cable: GEOCHEMSUP
4 M/s. Stewart Surveyors & Assayers Pvt. Ltd.

3, Victoria Building, 27, S.A. Brelvi Road
Fort, Mumbai-400001.
Tel. Nos: 91-22-2266 0130, 2266 0069, 2265
1887
Fax: 91-22-2266 0427
52
Website: www.stewartindia.com
DELHI
Export Inspection Council of India

3rd Floor, NDYMCA Cultural Centre Building,
1 Jai Singh Road,
New Delhi 110001
Tel.No.011-23365540, 23748188, 23748189
Fax: 011-23748024
Website: www.eicindia.org
WEST BENGAL
5 M/s. BSI Inspectorate India Pvt. Ltd.

608, Central Plaza
2/6, Sarat Bose Road
Kolkata-700020.
Tel No. +91 33 2485 2902/8823/8824/8825
Fax +91 33 2485 8826/8827
Website: www.bsi-global.com/inspectorate
6 M/s.Cargo Inspectors & Superintendence Co.

Pvt. Ltd.
P-165, C.I.T. Road
Kolkata-700010
Tel.No. (033) 2350-7001/2351-0050/2353-8403
Fax: (033) 2373-3231, 2351-0215
E-Mail: [email protected]/ [email protected]
7 M/s. Tea Research Association
113, Park Street, 9th Floor
Kolkata-700016.
Tel.No.:2229-1815, 2229-3813 Fax: 91-33-
2229 4271E-mail: [email protected]
53
Annexure I to Appendix 2E
Application Form For Enlistment Under Appendix 2E
to Issue Certificate of Origin (Non-Preferential)
1. Application for (please tick)
(A) Enlistment (B) Modification in particulars of existing Enlisted Agency
2. Name and address of the applicant : ..............................

(Registered Office in
case of limited companies, :................................
and Head Office :................................
for others )
PIN [][][][][][]
3. Address of all the Branches/ Divisions/ Units/ 1. ................. 3. ..................

located in India if they also to be enlisted.
PIN [][][][][][] PIN [][][][][][]
2. ................. 4. ..................
PIN [][][][][][] PIN [][][][][][]
4. In case the application is for modification in existing enlisted agency, give:
Nature of modification required : ......................................

and details thereof ......................................
(In case the application is for modification, information in S.No.2 and 3 above will be as per pre.modified status)
5. Particulars of Fees Paid:
(i) Bank Receipt/Demand Draft No. : ............................
(ii) Amount(in Rs.) : ............................

(In.figures)
(in words) : ............................
(iii) Name of Bank & Branch of Issue : ............................

6. Permanent Account Number (PAN) : ............................
Issuing authority : ............................
54
Declaration Cum Undertaking for Enlistment in Appendix 2E
On behalf of M/s _____________________________________________ with its registered / head office located at
__________________________________.
1) I hereby certify that I am authorised to sign this declaration cum undertaking.

2) I/We hereby declare that the particulars and the statements made in this application are true and correct to
the best of my /our knowledge and belief and nothing has been concealed or held therefrom.
3) I/We full understand that any information furnished in the application if proved incorrect or false will render
me/us liable for any penal action or other consequences as may be prescribed in law or otherwise
warranted.
4) I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992,
the Rules and Orders framed thereunder, the Foreign Trade Policy and the Handbook of Procedures.
5) I undertake that the applicant has not been de-listed earlier on account of violation of any of the provisions
of the FTDR Act, 1992, or any misrepresentation or fraud.
6) That I/we would be liable for the penal action or other consequences as may be prescribed and taken by
the Ministry of Commerce or the Directorate General of Foreign Trade for any violation of the undertaking or
procedures that are prescribed by the Government.
7) That I/ we shall not charge more than Rs 100/- for the issue of each Certificate of Origin (Non Preferential).
8) That I/ We undertake not to issue any Preferential Certificate of Origin including those of GSP, SAPTA and
Bangkok Agreement.
Name:_______________________________
Designation:_______________________________
Address:_______________________________
Contact Nos:_______________________________
Fax:_______________________________
Email:_______________________________
Signature and seal of Agency:_______________________________
I. Criteria for recognition of Agencies authorized to issue Certificate of Origin (Non-

Preferential):
a. Applicant Chamber of Commerce, Industry Associations etc. must be registered as a

Company, a Society or a Trust under the relevant Act of the Government and should not
have been set up for profit. Proprietorship / partnership firms shall not be entitled for this
recognition
b. The applicant must have a minimum office space of 1000 Sq. ft.
c. The applicant must have a minimum of 5 employees (excluding support staff engaged in
menial jobs and support functions) on its pay rolls. At least 2 of such employees should
be Graduate or above (in any discipline), with prior experience in the relevant field.
d. The applicant seeking recognition should regularly be conducting export promotion
activities and should present a proof of having conducted at least 3 events in one
licensing year through some reputed agency of trade promotion.
II. Guidelines for Regional Authorities to carry out inspections:
a. The inspection shall be carried out by at least an officer of the rank of FTDO / Asstt. DGFT
55
who shall be assisted by at least another official.

b. (b)The inspection report will precisely cover all the details given in the application form and
verify the same before recommending enlistment.
c. The inspection report will give the details of the Agency about meeting the criteria for
enlistment as given in the guidelines.
III. List of documents that should accompany the application for enlistment under Appendix
2E
a. Documentary proof evidencing that the Chamber/Agency meets the criteria as per Para I
above.
b. Fee of Rs. 5000/- in favour of DGFT, New Delhi or concerned RA in case the application is
filed at RA. (Fee is non-refundable.)
c. Declaration cum Undertaking To be given on a stamp paper (Minimum of Two Rupees)
d. List of the authorized signatories along with their signature attested.
e. Application form is to be submitted in duplicate.
56
Annexure II to Appendix 2E
Format of the Certificate of Origin (Non Preferential)
1. Goods consigned from (Exporters business Reference No.

name, address, country) CERTIFICATE OF ORIGIN
2. Goods consigned to (Consignees name, (NON PREFERENTIAL)
address, country) (Combined declaration and certificate)
Issued in India
3. Means of transport and route (as far as 4. For official use

known)
5. item 6.Marks and 7. Number and kind 8. 9. Gross weight 10. Number and date of invoices
number numbers of of packages, Origin or other quantity
packages description of criteria
goods
11. Certification 12. Declaration by the exporter
It is hereby certified, on the basis of control The undersigned hereby declares that the above details and
carried out, that the declaration by the statements are correct; that all the goods were produced in India
exporter is correct.
and that they comply with the origin requirements for exports to
......................................
(importing country)
......................................Place and date signature of authorised

signatory
......................................Place and date
signature and stamp of authorised signatory
57
Annexure III to Appendix 2E
Format of Self Certification of Goods as of Originating from India (Non Preferential)

(As per para 2.108 (d) of HBP)
1. Goods consigned from (Exporters business Reference No.

name, address, country) CERTIFICATE OF ORIGIN
2. Goods consigned to (Consignees name, (NON PREFERENTIAL)
address, country) (Combined declaration and certificate)
Issued in India
3. Means of transport and route (as far as 4. For official use

known)
5. item 6.Marks and 7. Number and kind 8. Gross weight or other 9. Number and date of invoices
number numbers of of packages, quantity
packages description of
goods
10. Declaration by the exporter:
(a) the undersigned hereby declares that the above details and statements are correct;
(b) that all the goods were produced in India and fulfil the conditions laid down in Para 2.108(d) of HBP
(c) that the goods also comply with the criteria requirements for exports to ......................................
(importing country)
.Place
Date
Signature of the authorised official
Seal
58
Appendix- 2F
Approved Exporter System for Self-certification of Origin
1. Eligibility Criteria
1.1 Manufacturer exporters who are also recognised by DGFT as Status holders (One Star Export House/ Two
Star Export House/ Three Star Export House/ Four Star Export House/ Five Star Export House) shall be eligible for
the scheme.
1.2 The scheme for self-certification will be restricted to the products that are manufactured by the exporter and
listed in the SSI/ IEM/ IL/ LOI registration certificate. Moreover, these products must be listed in the application for
recognition as approved exporter.
1.3 Exporters not covered by the Approved Exporter Scheme shall continue to apply for certificates of origin
from EIC or the other bodies designated for the purpose.
2. Application for recognition and registration as an Approved Exporter
2.1 Eligible exporters are invited to apply to the office of the DGFT for recognition as an Approved Exporter in
the form given in Annex-A. The application shall be accompanied by documents in support of the details furnished.
The application process shall be made on-line in the future.
2.2 All interested exporters will nominate at least one person who is a regular employee for certifying the
certificates of origin. The applications for expression of interest shall close within a period of 30 days from the
notification of the Scheme by the office of the DGFT.
2.3 On closure of receipt of applications, EIC shall conduct a basic training programme on Rules of Origin
(RoO) concepts and determination of origin for all personnel nominated by the interested exporters.
2.4 EIC shall, on successful conclusion of the training programme, inform the DGFT of the names of persons
who have completed the training module and the firms they represent. Such persons will be the authorised
signatories who shall certify the CoO on behalf of the exporter.
2.5 The details of exporters who are granted recognition as Approved Exporters will be hosted on the DGFT
website. Such details will, inter alia, consist of the name, address and IEC number of the Approved Exporter along
with the products for which he has been authorised to self-certify and the name, specimen signature and seal
impression of the authorised signatory.
2.6 DGFT may also provide unique identification numbers to all Approved Exporters apart from the IEC
numbers.
2.7 The recognition shall be co-terminus with the validity of the Status Certificate. The exporter shall be eligible
for extension of the recognition once the Status Certificate is renewed.
2.8 RMTR Division in Department of Commerce shall, with the assistance of the concerned territorial division in
the Department of Commerce, renegotiate the chapter on rules of origin to include provisions for self-certification in
the FTAS which have already been implemented.
3. Web Portal
59
3.1 DGFT shall develop and host an Approved Exporter Portal which will have the following modules:
(i) A recognition module where interested exporters can file their application for recognition as
Approved Exporters;
(ii) A database module which will contain the particulars of the Approved Exporter as in paragraphs 2.5
and 2.6 above;
(iii) An application module where Approved Exporters will fill in details and take print-outs for each CoO
to be self-certified.
3.2 Facility for digital signatures may also be built into the system.
3.3 The web portal shall also have a facility for on-line verification as well as the ability to be used for
generation of reports.
3.4 EIC shall organise and complete a second round of hands-on training on the web portal within a period of
30 days from the date when the web portal becomes operational.
3.5 The Scheme shall be ready to be operationalised once the hands-on training has been completed and the
web portal is launched on-line.
3.6 RMTR Division in the Department of Commerce shall inform the trading partners when the scheme is ready
to be implemented and disseminate information on on-line verification of specimen signatures and certificates.
4. Certification Procedures
4.1 An Approved Exporter shall fill in the details of the consignment for which a CoO is required in the
application module of the self-certification portal hosted by DGFT. Mandatory data to be provided will include the HS
Code (8-digit) and full description of the product, the FOB value and the origin criterion prescribed under the FTA.
4.2 The Approved Exporters will take a print of the CoO in the format as prescribed under the preferential
agreement under which the goods are sought to be exported.
4.3 In cases where the FTA prescribes a security feature in the CoO, (e.g. EU GSP) EIC shall make available
these security featured forms to the Approved Exporters at a nominal price.
4.4 Each certificate of origin shall cover a single consignment and each such consignment may contain one or
more different export products, provided that each such product qualifies separately in its own right under the
relevant free trade agreement.
4.5 The self-certified CoO shall not contain any erasures or superimpositions. A fresh certificate should be
reprinted if any alteration or correction is to be made on the CoO. Unused spaces shall be crossed out to prevent
any subsequent addition.
4.6 The certificate of origin shall be valid for the period prescribed in the free trade agreement under which the
goods are being exported.
4.7 A copy of each self-certified CoO and all documents/ records relating to its issue, as listed in Annex-B, shall
be retained by the Approved Exporter for a period of 5 years from the date of issue of the CoO. The DGFT or the
Customs authorities may call for these documents at any time during these five years.
5. Implementation
60
5.1 Starting with the India-Japan and India-Korea CEPAs, RMTR Division will coordinate with the concerned
territorial division a renegotiation of the RoO chapter in all our FTAs to incorporate provisions for self-certification.
5.2 The EU GSP will recognise self-certification by registered exporters from 1 January 2017.
5.3 Provision for self-certification has already been built into India-EU and the India-EFTA BTIAs.
5.4 The scheme shall be operationalised whenever self-certification system in any of the above agreements is
in place.
5.6 RMTR Division shall inform the DGFT the date from which to operationalise the scheme upon which DGFT
will issue the relevant notification.
6. Post-Audit and Verification Audit
6.1 DGFT, with assistance of EIC, will conduct a post-audit of at least [10] % of the Approved Exporters picked
at random.
6.2 DGFT shall be at liberty to co-opt officials from DoC, EIC or Customs for the post-audit related work and
may call for any or all related documents leading to the issue of the self-certified CoOs.
6.3 A verification audit shall be conducted whenever a request for verification is received from an FTA partner.
6.4 Such verification audits may be conducted for specific approved exporters or for specific consignments and
will be done in accordance with the conditions and time periods prescribed under the FTA in question.
7. Penalty
7.1 If a post-audit or verification audit reveals that an Approved Exporter has not complied with the procedures
laid down for self-certification, it shall be given an opportunity to comply with the requirements. A second audit shall
be conducted after a reasonable time. The Approved Exporter status shall be suspended for a period of three
months if the second audit reveals the same procedural lapses.
7.2 The suspension of the Approved Exporter status may be revoked if the exporter can satisfy that the
procedural lapses have been adequately addressed.
7.3 If a post-audit or verification audit determines that an Approved Exporter has certified goods which do not
qualify as originating goods under the relevant free trade agreement as goods of Indian origin, or has committed any
act of commission or omission which has resulted in a wrong certification of origin, then the following penalties will be
attracted:
(I) First offence: Suspension of Approved Exporter status for three months.
(II) Second offence: Suspension of Approved Exporter status for six months and financial penalty of
upto 5 times the value of the goods involved.
(III) Subsequent offence: Cancellation of Approved Exporter status and financial penalty of upto 5
times the value of the goods involved.
7.4 The power to impose the above penalties shall rest with DGFT or its officers within their delegated powers
under the FTDR Act, 1992.
61
7.5 No action shall be taken against an Approved Exporter without giving him notice of the intent of taking
action and giving reasonable time to present his case.
7.6 Any appeal against any decision on suspension/ cancellation of Approved Exporter status or imposition of
fiscal penalty will lie with the Director General of Foreign Trade. The appeal shall be made within a period of 45 days
from the award of action/penalty. DGFT will adjudicate the matter and will pass its verdict within three months of the
receipt of the appeal.
7.7 Any further appeal will lie with the High Court.
7.8 Any action of suspension or cancellation of the Approved Exporter status shall be communicated to RMTR
Division. RMTR Division will inform all FTA partners of such action.
8. Miscellaneous
8.1 After the initial recognition of Approved Exporters has been completed, other interested eligible exporters
may apply for recognition on the on-line recognition module of the Approved Exporter Portal.
8.2 EIC will impart training to these subsequent applicants as and when necessary.
8.3 Post-audit will be a continuing process and undertaken at regular intervals.
8.4 Approved Exporters will be required to give a half-yearly report of the utilisation of the CoOs self-certified
during the preceding half-year to enable a reasonable estimation of the preferential exports under a particular FTA.
8.5 The scheme will be reviewed after one year of its operation to consider if it can be extended to other
category of exporters.
***********
62
Annexure-A
Application form for recognition as an Approved Exporter
1. IEC Details
(i) IEC Number

(ii) Date of issue
(iii) Issuing Authority
2. Status House Details
(i) One Star Export House/ Two Star Export

House/ Three Star Export House/ Four
Star Export House/ Five Star Export
House
(ii) Certificate number
(iii) Date of Issue
(iv) Issuing Authority
(v) Valid upto
3. Products to be exported for which recognition is sought (Attach separate sheet if required)
S.No HS 8 digit Code Description
Note: Please attach a copy of SSI/ IEM/ IL/ LOI registration certificate
4. Employee Details
(Attach separate sheet if required)
Name(s) and designation(s) of employee(s) to be

S.No Specimen signature
authorized for self-certification
DECLARATION/ UNDERTAKING
1. I/ We hereby declare that the particulars and the statements made in this application are true and correct to
the best of my/ our knowledge and belief and nothing has been concealed or held therefrom.
2. I/ We fully understand that any information furnished in this application or any declaration attested in the
certificate of origin, if found incorrect or false, will render me/ us liable for penal action or other consequences as may
be prescribed in law or otherwise warranted.
3. I/ We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992,
the Rules and Orders framed thereunder, the Foreign Trade Policy, the Foreign Trade Procedures and the Indian
Trade Classification (HS).
63
4. I/ We declare that the firm/ company has the technical expertise to determine the origin of the products
which are manufactured by using non-originating materials.
5. I/ We undertake to submit, at the request of the appropriate authorities, any supporting evidence which
these authorities may require for the purpose of verifying the origin of the goods for which we have certified the
origin, and undertake, if required, to agree to any inspection of my/ our accounts and to any check on the processes
of manufacture of the above goods, to be conducted by the said authorities;
6. I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.06 of the Foreign
Trade Policy.
Place: Signature of the Applicant

Date: Name
Designation
Official Address
Telephone
Residential Address
Email Address
Annexure-B
List of documents to be retained by the Approved Exporter
The following documents/ records shall be retained by the Approved Exporter for a period of five years from the date
of issue of the certificate of origin:
1. Copy of the self-certified CoO;
2. Shipping invoice(s);
3. Bill(s) of lading
4. Bill(s) of entry for imported raw material/ inputs;
5. Sales invoice(s) for locally procured raw material/ inputs;
6. All books of accounts relating to costs of raw material/ inputs;
64
APPENDIX - 2G
LIST OF INSPECTION AND CERTIFICATION AGENCIES WITH AREA/REGION OF OPERATION
Sl.No. Name of the Inspection Agency Area / Region of Operation
1 Alex Stewart (International) Corporation Ltd., Latvia
Locu iela 1, Ventspills, LV-3601, Latvija,
PVN reg. nr. LV40003252415
Telefakss: +371 6362 1209
M: +371 2921 2554, E: [email protected]
2 M/s Ravi Energie Pvt. Ltd., South Korea
202,Manubhai Towers-B, Sayajigunj, Baroda-390005 India
Telefax: +91-265-2226069, + 91,265-2361740
Ravi Energie Inc.,
2(a) 1, Teakwood Court, Warren, NJ 07059, USA North America
Tel: +1-908-531-8605, Fax: +1-908-502 0309
Ravi Energie Gulf FZC
2(b) Mailing address: P.O. Box 16241, Ras AI Khaimah, UAE
Office Address UAE
321B, III Floor, Business Centre-4, Ras Al Khaimah, UAE,
Tel: + 971-504-328-605,
Ravi Energie Europe Ltd.,
22 Ross Parade, Wallington, Surrey SM6
8QF, UK, Tel: +44-203-002-3617
2(c) E-Mail: [email protected] European Union
Global Multitrade Services Inc.,
Regd. Office: 17, Kimble Court, Hillsborough, NJ 08844, USA
Administrative Office: 3056 N 83rd Pl, Scottsdale, Arizona
65
2(d) 85251, USA, Tel: +1-908-432-0310
Brazil
3. ELBI Consultancy (India) Pvt. Ltd., India
Room No. 1/1 & (1st Floor)
Phears Lane Commercial Complex,
Near Bowbazar, Ganguram Sweet Shop,
81/2/7 Phears Lane, Kolkata 700012
Ph: 033-2225-2023, 40077989, Fax: 033-40074753
Mob. 9433147244, 9433759015
4. Caylay Aerospace Inc., USA
18830 38th Ave W, Lynnwood, WA, 98037, USA
Tel: +1-425-233-0440
E Mail: [email protected]
5. NQAQSR North America, USA
1365, Palmyrita, Riverside, CA 92507, USA
Phone (951) 680-0826, Fax: (951) 680-0827
6. SGNCO (UK) Limited, UK
Aston House, Cornwall Avenue, London N3 1LF,
Tel: +44 7438189175
Mob. 9958200584
7. Sandeep Garg & Company, USA
66
1311, Westheimer Rd., Ste 120, Houston TX 77077, USA
Tel: 281 596 7010 / Fax: 281 596 7427
Mob: 281 743 9754
8. Sandeep Garg & Company SARL, Mali, Benin, Ivory Coast,

B.P. No.4786, Commune-1, Behind Kledu Pressing Sotuba Aci, Cameroon, Gambia, Ghana, Liberia,
Bamako- Mali, Tel: +223-78296617, -Mail: Nigeria, Senegal,
[email protected] Sierra Leon, Guinea, Togo and
Morocco
Benin: Lot No. 271, Zone A, Quarrier Jak-01 BP 7455,
Cotonou-Benin.
Gambia: 27-A, Fajara A Section, Fajara KSMD, The

Gambia.
9. Sandeep Garg & Company Canaca INC. Canada
59, Giraffe Ave, Brampton Ontario, Canada L6RIZI
Tel: (+) 1 905 792 0459
10. Nippon Kaiji Kentei Kyokai, Japan
9-7-1 Chome, Hatchobori, Chuo-ku, Tokyo, Japan
Tel: +81-3-3454-5721
E. Mail: [email protected]
11. A/S Baltic Control Ltd., Aarhus, European Union, USA and Brazil
P.O. Box 2199, Sindalsvej 42B, 8240 Risskov, Denmark,
Tel: +92 21 244 1211, 1212, 2121
E. Mail: [email protected]
Brazil: Porto Alegre, Baltic Control Brasil, Praca. XV de

Novembro, 66- Conjunto 1001- Centro 90020-080- Porto
Algere (RS) Brasil.
USA: Baltic Control North America Inc, 424 Lakeside

Circle, Sunrise, 33326 Florida, USA.
12. Nectar Inspection Services LLC, UAE, European Union, Canada, USA
P.O. Box 90468, Dubai, United Arab Emirates, and South Africa
Mob: +971509182496, Tel/Fax: +07165354566
Canada: 156, Springmere Grove, Chestemere, Canada

T1X0B5.
USA: 5501 Demarcus Blvd 426 Dublin, CA 94568, USA.
South Africa: 260, Acacia Complex, Emrlad Drive,

67
Greenstone Hill, Johannesburg 1609, South Africa.
European Union: Ismet Inonu Caddesi, Akka Apt no. 43

Kat: 4, Eskisehir, Turkey.
13. Worldwide Inspection Services Pvt. Ltd., UAE, USA, South Africa, European
Union, Australia and Georgia
2447, Basement Floor,
Hudson Line, Kingsway Camp,
Delhi-110009
Mobile: 9711429752
UK
3rd Floor, Cervantes, House, 5-9, Headstone Road,
Harrow Middlesex, HA1 1PD, UK, Ph +44-20 8863447
South Africa
C1, One Highveld, 5 Bellingham Road, Centurion, 0157, South

Africa, Phone +27-12-6650368
USA
13, Rozsel Road, Princeton, NJ, 08540, USA, Phone

+12013325645
Australia
Suite 402, Level 4, 51 Rawson Street, Epping NSW 2121,

Australia, Phone +61 298682318
Georgia
Free Industrial Zone, Poti, Geogia, Ph: +995452024
68
14. World Wide Inspection Services SARL, Nigeria, West Africa, Thailand,
Malaysia and Brazil
LOT No.: 271, Zone A,
Quarrier Jak-01 BP 7455,
COTONOU-BENIN
E-Mail: [email protected], [email protected]
Tel/Fax : +229-21377229
Mobile: +229-97970952, 97970953
Thailand
592, Moo 15, Soi Thaiprakan 2, Theparak Rd, Samutprakarn,

Province 10540, Thailand, Ph+6627638774
Malaysia
No.29, Jalan Besi, Off Batu 31/2, Jalan Sungai Besi, 57100,
Kuala Lumpur, Malaysia Ph: +60122213416
Brazil
A.V. Das Nacoes, Unidas, 12.995 10o, Andar Brooklin Novo-

Sao Paulo- Sp CEP: 04578-000, Brazil, Phone:+6627638774
15. Geo-Chem Middle East, Russia, Bangladesh, UAE, Oman,

No. 102, Karama, P.O. Box 5778, Dubai, UAE Kuwait, European Union, USA and
Tel: 0097143359466 / 0097148867400 Australia.
Fax: 0097143359277 / 0097148867401/02
Russia: C/o 49, Karla Marksa Street, Novorossiysk

353900, Russia.
Bangladesh: 1, Naya Paltan (5th Floor), Dhaka-1000,

Bangladesh.
Oman: P.O. Box: 1383, Postal Code:133, Al Khuwair-33,

Sultanate of Oman.
69
USA: 360 East Elizabeth Avenue Linden, New Jersey

07036.
Australia: 467 Vulture Street East Brisbane Queensland,

Australia.
16.. Salamax 1894 (Pty) Ltd., South Africa
No 1, Van Till Road, Alrode, Alberton, Johannesburg, South

Africa
Postal Address : P O Box 4177, Rivonia 2128
Phone No: +27 11 9089440
Fax No: +27 866655240, +27 119089441
17. National Marine Consultants Inc. USA and India
USA
236 Ernston Road, Parlin, NJ 08849
Tel: 732-553-9210, Fax 732-553-9215
India
No.9, 1st Floor, Dr. C.G. Road, Netaji Market, Chembur

Colony, Chembur (E), Mumbai-400074
18. Marine Inspection and Logistics International Rotterdam European Union and USA
BV,
Netherlands
Tuinlaan 48 3111 AW Schiedam The Netherlands,
Tel: +31-10-2460955, Telfax: +31-10-2469275
USA
1) 408, Richmond Ave, Pte. Pleasant Beach, NJ 08742, Tel:

70
732 899 0500, Fax, 732 899 0518

2) 322, Lafayette Street, 3rd Floor, New Orleans, LA 70130,
Phone 504-866-0014, Fax: 5048660016
3) 63, South Royal Street, Suit 1001, Mobile, AL 36602
Ph. 251-432-0511, Fax 251-432-0512
19. Valueguru Chartered Engineers and Valuers Private India

Limited,
Old No.123, New No.255, Linghi Chetty Street,
Chennai Tamilnadu-600001, India
Mobile: +919841847198
Tel: 044-42073332 / 43063332
20. Best Mulyankan Consultants Ltd., India
1st Floor, Aditya Building,
Corner of N.S. Phadke Marg and Teli Galli,
Opp. Flyover Apartment, Andheri (East),
Mumbai 400069, (India)
Telefax: 022-26841836, 26841839
21. Humber Inspection International Limited, European Union
Rivardy, Manby Road, Immingham, DN40 2LG,
United Kingdom
Phone: 0044 1469 577774
[email protected]
22. SNG Inspection Services, India
LGF-57, Ansal Fortune Arcade,
Sector-18, Noida-201301
Uttar Pradesh (India)
Tel: 0120-6548424
71
Website: www.snginspection.com
23. TUV Rheinland India Pvt Ltd., India
82/A, West Wing, 3rd Main Road,
Electronics City, Phase I,
Bengaluru-560100, India.
Tel: +91 80 3989 9888, +91 80 3055 4319,
Fax: + 91 80 3055 4342
Website: http://www.ind.tuv.com
24. Controlex Limited, Brazil, Canada, Djibouti, Egypt, Iran,

Fairmont Business Centre, Level 7, Mozambique, Qatar, Saudi Arabia
Office # 712, P.O. Box 121904, and Sudan
Dubai, UAE Tel: +971 50 8832129
Fax: +971 48867402
Brazil: Rua: Street JOSE Ricardo, Number 51-1st Floor-Suite

13 Santos, Sao Paulo Zip Code: 11010-190.
Canada: 502-130 Brew Street, Port Moody British Columbia,

Canada, V3H 0E3.
Djibouti: P.O. Box 2637, 5, Commercial Center, AI Gamil II

Ist Floor, Djibouti.
Egypt: 43 Victor Ammanwel Str., Somouha 3rd Floor

Aledandria, Egypt.
Iran: No. 118, Africa Expressway 4th Floor, Tehran 19156.
Mozambique: Naval Srevicos A Navegacao, Lda Maputo,

Mozambique.
Qatar: P.O. Box 20737, Office # 1, 1st Floor, Doha, Qatar.
Saudi Arabia: P.O. Box 17534 Jeddah 21494 Kingdom of

Saudi Arabia.
Sudan: AL-TAYEFSQ. No 22 Khartoum/Sudan.
25. SNG Inspection Services
72
Head Office
LGF 57, Ansal Fortune Arcade,
Sector18, Noida-201301, UP, India
Tel: +910120 6548424,
Website: www.snginspection.com
Branch Office Malaysia Malaysia

Viva, B-13A, -12, Jalan IPOH 51200, Kuala Lumpur,
Malaysia, Tel: +60182800026
Branch Office Vietnam Vietnam

A1. 108, Lakeside Building, Nguyen An Ninh Ward,
Vung Tau City, Vietnam, Tel: +84 937507224
E-mail: Vietnam@ snginspection.com
26. Inspectorate International Ltd. England

2 Perry Road, Witham, Essex CM8 3TU, England
Tel: +44 1376515081
27. CWM Survey & Inspection European Union
Sluisjesdijk 127, 3087 AE Rotterdam, Netherlands
Tel: 31(0) 76 3030100
E Mail: [email protected] ; [email protected]
28. Trans Border Safety Control Inspection Services LLC USA

Head Office
20C, Trolley Square, Wilmington, Delaware, 19806 U.S.A.
Tel: +1-6462334839
Branch Office, South Africa
Transnet Yard, Kennis Street, Elandsfontein, 1406
Gauteng, Johannesburg, South Africa South Africa
Tel:+27-797632759
Branch Office, UAE (Dubai)
2305 Grosvenor House, Sheikh Zayed Road, Dubai, UAE
Tel: +971-503591955 UAE (Dubai)
Branch Office, West Africa
BP.3901, Nouakchott, Mauritania
Tel: +222-52448725
Branch Office, European Union
SpaldingstraBe 160 Hamburg, Germany West Africa
Tel: +49-46903265
European Union
29. M/s Gattini & Co.
Head Office:
Plot No.8, Behind Fish Market,
73
Near Runwal Omkar E-Square,

Sion(E), Mumbai 400 022.
Tel: 022-24083318, Mobile No.:+91-9819566123
Branch Office, UAE
C/o Diera Home Technical Services LLC, UAE
P.O.Box 81729, Deira, Dubai, UAE
Tel-Fax: 009714-2390551
30. M/s Geo-Chem Inspection (Malaysia) SDN BHD, Malaysia Malaysia
No.52/52A, Jalan Sejambak 14,
Taman Bukit Dahlia,
81700 Pasir Gudang, Johor, Malaysia
Tel: +607 2541450 / 1451
Fax: +607 2541440
31. M/s Global Mines and Minerals FZE, UAE UAE
PO Box 48715, Dubai, United Arab Emirates,
Tel: +971 528327064
Website: globalminesandminerals.com
32. M/s Al Khalidiah Metal TR. CO. LLC, UAE

Head Office
PO Box 80523, Industrial Area No.10,
Sharjah, United Arab Emirates,
Tel: +971-5342131, Fax: +971-5342151
Branch Office , Tanzania Tanzania
P.O. Box 16582, Kirakoo Street, Dar-Es-Salaam, Tanzania,
Tel: +255-222181732
Branch Office, Mexico Mexico
Leibnitz No.11, Int. 604, Col. Anzures, C.P. 11590, Miguel
Hidalgo, Mexico D.F.
Tel: +521555966 1623
Email: [email protected] Namibia
Branch Office, Namibia
251, Hamutenga Avenue, Walvis Bay, Namibia
Tel: +264 64224226
Email: [email protected] Thailand
Branch Office, Thailand
1570/3 Pracharat 1 Rd, Bangsue, Bangkok 10800, Thailand
Tel: +662913 21978,
Email: [email protected] Gabon
Branch Office, Gabon
BP 6113 Schoelche, Liberville, Gabon
Tel: +241 04392871
Email: [email protected] Congo
Branch Office, Congo
BP 648, Le Balai Magique, Point Noire, Congo
Tel: +242 056281111
74
33. M/s Baltic Inspection Center, Latvija

Ludvika 4, Liepaja, LV3401, Latvija
Tel: +371 22007099,
Fax: +371 63426922
Website www.balticinspetioncenter.eu
34. M/s.Asia Inspection Agency Company Ltd., Thailand.
Head Office
124/1 Moo 7 Bangna Trade KM 26 Road,
Bangbor Samuthprakarn 10560, Thailand
Tel: 0892050404
Branch Office, Vietnam
Binh Chanh, TAN AN, Vihn CUU, Dong Nai, Vietnam Vietnam & Thailand as one territory
Tel: +8493486316
Branch Office, Angola
Rua Tenente Coronel Ivady Casa-1, Angola
Marreta Sector 12 SAPU1, Distrito Do Kilamba- Kiaxi
Luanda- Angola
Tel: 00244946058250
Branch Office, Saudi Arabia
P.O. Box 31269, Yard No.1141, Saudi Arabia
Industrial Area Aldar Albaidaa Riyadh,
Kingdom of Saudi Arabia
Tel: +966594311852
35. M/s.Tubby Impex Pvt. Ltd., Delhi

Head Office:
Bungalow No. 118, MHADA, Four Bunglows, Andheri (W),
Mumbai-400053 (India).
Tel: +022-26305003/4/5
Branch Office, Russia Russia
Touristskaya Street 4-1-155
St. Peterburg-198035, Russia
Tel: + 7 9119010037
Branch Office, South America South America with Brazil as head
Edificio Amazonas Center, office
6 Andar, Sala-68,
Rua Amazoas, 363, Bairro Centro, Sao Caetano, DO Sul-SP,
SAO Paulo, Cep: 09520-070 Brazil, Tel: +55-11-984978400
Branch Office, Namibia
House No.9, Property No. 576, Hage G Geingob Street, P.O. Namibia
Box 9095, Walvis Bay Namibia,
Tel: +64 816245756
*******
75
Appendix-2H
FORMAT OF PRE-SHIPMENT INSPECTION CERTIFICATE
This Pre-Shipment Inspection Certificate is issued in terms of paragraph 2.54 of Handbook of Procedure for
import of shredded, un-shredded, compressed and loose forms of metallic waste and scrap.
--------------------------------------------------------------------------------------------------------------------------------------------
I, hereby certify the details as below:-
(1) I / We hereby certify that I have visually inspected the consignment and certify the following:
(a) The imported consignment is actually metallic scrap/seconds/defective as per the internationally accepted
parameters for such a classification.
(b) The consignment does not contain any symbol related to ionizing radiation and/or any marking related to
transport of dangerous goods classified as Class 7 as per United Nations classification.
(b) Details of Importer is as follows:
(i) Name: _____________________________
(ii) Address: ____________________________
(iii) Importer Exporter Code No.______________________________
(iv) Telephone No. _________________________ (Mobile) __________________
(v) E-mail ______________________________
(b1) Details of Exporter is as follows:
(i) Name: _____________________________
(ii) Address: ____________________________
(iii) Telephone No. _________________________ (Mobile) __________________
(iv) E-mail ______________________________
(c) Type of Scrap: Shredded / Un-shredded.
(d) Details and quantity of import:
Description of metallic scrap Quantity (in MTs)
(e) (i) Country of Inspection ______________________________
(ii) Place of Inspection ______________________________
(iii) Date of Inspection ______________________________
76
(iv) Duration of inspection (in hours) from ------- to ----------
(v) In case inspection is carried out in a country where PSIA does not have an equipped branch office ,
then date of prior intimation by email ( at [email protected] ) ---------------------
(f) Details of radiation survey meter used:
Make-
Model-
Serial no.-
Last date of calibration-
(g) The consignment does not contain any type of arms, ammunition, mines, shells, cartridges, or any other
explosive material in any form, either used or otherwise, and that the consignment was checked for radiation level
and it does not have radiation levels (gamma and neutron) in excess of natural background. Following are the values
of :-
(i) Background radiation levels at the place of examination Sv/h to Sv/h
(ii) Maximum radiation level on the scrap = ..Sv/h
(iii) The radiation level of the consignment is within/not within the accepted range and is fit/not
fit to be exported to India
(2)The video clip of the inspection carried out has been uploaded on DGFT website / e-mailed to DGFT [at psia-
[email protected]] and customs Authorities.
(3) I/We hereby declare that the particulars and statements made in this certificate are true and correct and nothing
has been concealed or held there from.
Date ____________ Signature _________________________________
Name of the Inspecting Person/Inspector_________________________

SealofPSIA
Designation_________________________________
Address (office)____________________________________
E Mail Address______________________________
Phone Number______________________________
Name of the agency as per Appendix 2G____________________
Address: __________________
Telephone Number _________________ E mail _______________________
77
APPENDIX- 2 I
LIST OF WHO-GMP; HACCP AND SEI/CMM LEVEL II AND ABOVE CERTIFICATION AGENCIES
A.. List of WHOGMP Certification Agencies
1. Drug Controllers/FDA Commissioners

of the concerned states
B. List of HACCP Certification Agencies
1. The Marine Product Export 2. Export Inspection Agencies/Export

Development Authority Inspection Council.
MPEDA House, PanampillyAvenue
P.B.No.4272, Kochi- 682036
3. Kerala Bureau of Industrial Promotion 4. QSI (India) Certification P. Ltd.

TC IX/2197, Kurups Lane, 557, Sector-1, Vidyadhar Nagar
Sasthamangalam P.O. Jaipur-302023
Thiruvananthanpuram 695 010 Rajasthan
Tel: 0471-2311882; Fax: 0471-2311883 Tel. No.0141: 2236895
Fax: 91-141-2236133
Website: www.qsi.india.com
C. List of SEI CMM level II and above certificate issuing authority
1. Customer Relations 2. TeraQuest Metrics, Inc

Software Engineering Institute P.O.Box 200490
Carnegie Mellon University 12885 Research Blvd, Suite 207
Pittsburgh, PA 15213-3890, USA Austin, TX 78750, USA
Phone, Voice Mail and on Demand Phone: 512/219-0286
Fax: 412/268-5800 E-Mail:[email protected]
E-Mail:cut
[email protected]
www.sei.cmu.edu
3. Process Transition 4. Global Systems Technology

International, Inc 106, Archwood 5811 Amaya Drive, # 204
P.O.Box 1988 La Mesa, CA 91942, USA
Annapolis, MD 21401, USA Phone : 619/697-9947
Phone: 301/261 9921 Fax: 619/697-9948
Fax: 410/295 5037 E-Mail:[email protected]
5. Software Technology Transition 6. John Ryskowski Consulting

60 Elm Street 1544, 9th Street
Andover, MA 01810, USA Manhattan Beach, CA 90266, USA
Phone:978/474-4413 Phone:310/376-*-8255
Fax:978/475-5432 E-Mail:[email protected]
78
7. The Process Group 8. ChangeBridge, Inc.

P.O.Box 700012 15103, Gen. Stevens Ct.
Dallas, TX 75370-0012, USA Chantilly, VA 20151, USA
Phone:972/418-9541 Phone :703/378-0975
Fax: 972/618-6283 Fax: 703/378-0976
E-Mail:[email protected] E- Mail:[email protected]
9. Theta Information Systems,Inc 10. PRT Corporation of America

555 Lucerne Avenue #6 Harbour Industrial estate
Tampa, FL 33606, USA Bridgetown Barbados, WI
Phone : 813/902-0402 E-Mail:[email protected]
Fax:813/902-0258
E-Mail:[email protected]
D. The agencies for ISO (9000) Series & ISO 14000 Series have been accredited on further classification of:
(i) Quality Management System (QMS)-http://www.qcin.org/nabcb/accreditation/reg.bod qms.php for Quality

Management Systems
(ii) Environmental Management System (EMS) -http://www.qcin.org/nabcb/accreditation/reg bod ems.php for

Environmental Management system under Appendix 2I of the Appendices and Aayat Niryat Forms.
79
Annexure I to Appendix 2I
Application Form For Enlistment Under Appendix 2I

to Issue Certification and Modification In Particulars Of An Existing Enlisted Agency
[FOR WHO-GMP:HACCPAND SEI-CMM LEVEL-2 & ABOVE CERTIFICATION]
1. Application for (please tick)
(A) Enlistment (B) Modification in particulars of existing Enlisted Agency
2. Name and address of the applicant: ................................

(Registered Office in
case of limited companies, :................................
and Head Office :................................
for others )
PIN [][][][][][]
3. Address of all the Branches/ Divisions/ Units/ 1. ................. 3. ..................

located in India if they also to be enlisted.
PIN [][][][][][] PIN [][][][][][]
2. ................. 4. ..................
PIN [][][][][][] PIN [][][][][][]
4. Details of Accreditation Body from whom the applicant holds a valid accreditation certificate
i. Name and Address:
ii. Whether the accreditation Body is member : Yes / No

of International Accreditation Forum
5. In case the application is for modification in existing enlisted agency, give:
Nature of modification required : ......................................

and details thereof ......................................
(In case the application is for modification, information in S.No.2 and 3 above will be as per pre-modified status)
6. Particulars of Fees Paid:
(i) Bank Receipt/Demand Draft No. : ............................
(ii) Amount(in Rs.) : ..........................

(In.figures)
(in words) : ............................
80
(iii) Name of Bank & Branch of Issue : ............................
7. Permanent Account Number (PAN) : ............................
Issuing authority : ............................
Declaration Cum Undertaking for Enlistment in List of Agencies Authorized to issue WHO-GMP: HACCP
AND SEI/CMM LEVEL II in Appendix 2I Certification
On behalf of M/s _____________________________________________ with its registered / head office located at
__________________________________
1) I hereby certify that I am authorised to sign this declaration cum undertaking.

2) I/We hereby declare that the particulars and the statements made in this application are true and correct to
the best of my /our knowledge and belief and nothing has been concealed or held therefrom.
3) I/We full understand that any information furnished in the application if proved incorrect or false will render
me/us liable for any penal action or other consequences as may be prescribed in law or otherwise warranted.
4) I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, the
Rules and Orders framed thereunder, the Foreign Trade Policy and the Handbook of Procedures.
5) I undertake that the applicant is not a branch/ franchise of a foreign certifying body.
6) I undertake that the applicant has not been de-listed earlier on account of violation of any of the provisions of
the FTDR Act, 1992, or any misrepresentation or fraud.
7) That I/we would be liable for the penal action or other consequences as may be prescribed and taken by the
Ministry of Commerce or the Directorate General of Foreign Trade for any violation of the undertaking or
procedures that are prescribed by the Government.
Name:_______________________________
Designation:_______________________________
Address:_______________________________
Contact Nos:_______________________________
Fax:_______________________________
Email:_______________________________
Signature and seal of Agency: _______________________________
List of documents that should accompany the application for enlistment under Appendix 2I
1. Certified copy of valid accreditation certificate for quality management from National Accreditation Board
for Certification Bodies (NABCB) or any other agency who is a member of International Accreditation
Forum
2. List of firms/companies (whether Indian or foreign) granted certification by the applicant.
3. Declaration cum Undertaking to be given on a stamp paper (Minimum of Two Rupees
4. Fees of Rs. 5000/-(non-refundable)
5. Details on the logistical/infrastructural setup of the agency with regard to:
Man power, both Technical and Non- Technical
a. Office automation and information technology
b. Covered office area
6. Application form is to be submitted in duplicate
81
APPENDIX- 2 J
List of State Trading Enterprises (STEs) for FTP Purpose
S. NO. STATE-TRADING ENTERPRIESES
1. Food Corporation of India (FCI)
2. State Trading Corporation (STC)
3. Indian Oil corporation (IOC)
4. Bharat Petroleum Corporation Ltd. (BPCL)
5. Hindustan Petroleum Corporation Ltd. (HPCL)
6. Oil and Natural Gas Corporation Ltd. (ONGC)
7. Minerals and Metals Trading Corporation (MMTC)
8 Indian Potash Ltd. (IPL)
9. National Dairy Development Board (NDDB)
10. National Cooperative Dairy Federation(NCDF)
11. National Agriculture Cooperative Marketing Federation of India Ltd (NAFED)
12. Projects and Equipment Cooperation of India Ltd.(PEC)
13. Spices Trading Corporation Limited (STCL)
14. Central Warehousing Corporation (CWC)
82
APPENDIX -2K
Scale of Application Fee and Procedure for Deposit/ Refund of Application Fee/Penalty, etc.
1. Scale of Application Fee for various services:
Sl No Particulars Scale of Fee (in Rupees)
1. Application for Importer Exporter Code No/I. Card Five Hundred
2. Application for Export License/ SCOMET items for One Thousand

restricted goods/ Free Sale & Commerce Certificate.
3. Application for import License for restricted item/ One per thousand or part thereof subject to a
permission / certificate / Advance Authorization/ minimum of Rs. Five Hundred and maximum of
DFIA/EPCG Authorization Rupees one lakh on CIF value/duty saved
amount of Authorization/ license / permission.
4. Application for Duty credit scrip under rewards/ incentive One Thousand
scheme.
5. Application for grant of duplicate license/ permission / Two Hundred

certificate /scrip/ I- Card
6. Application for amendment/ correction in license / scrip / Two hundred

Authorization/ certificate /permission etc.
7. Application for first revalidation of Authorization / scrip/ Five Hundred

permission /certificate/ license for SCOMET etc.
8. Application for second revalidation of Authorization / One thousand

scrip/ permission / certificate/ license for SCOMET etc.
9. Application for Enlistment as an authorized agency Five thousand

under Appendix 2-E and Appendix 2-I of HBP
10. Application for Certification Agency as per Appendix Ten thousand for applicant based in India and
2-G US$ 250 or an amount equivalent in rupees for
applicant based abroad
11. Application for seeking relaxation in Two Thousand

Policy/procedure
12. Application for review of decision of any committees Five thousand
13. Application for enhancement of value of One per thousand for differential CIF value/duty
Authorization saved amount to be enhanced. No additional
fee is required if maximum prescribed fee has
been paid initially.
2. Mode of Deposit of Application Fee/Penalty/Any Other Fee

The application fee shall be deposited in the following manner:-
(1) By depositing cash or cheque for Treasury Receipt Challan (TR) in an authorized Branch of Central
Bank of India indicating the "Head of Accounts 1453 -Foreign Trade and Export Promotion- Minor Head
102-Import License Application Fee". The Bank Receipt must show the name of the Department viz.
83
"Directorate General of Foreign Trade". The Bank Receipt should be drawn in favour of Pay & Accounts
Officer (Foreign Trade), indicating the station of the Pay & Accounts Officer concerned. Such fees can also
be deposited with Indian Missions abroad. As a proof of payment of Fee, the applicant shall submit along
with the Application two copies of Bank Receipt as per Annexure-A.
OR
(2) Through NEFT/Debit Card/Credit Card using DGFT Server while making online Application.
Note: For electronic filling of application, exporter/importer needs to access the website of the DGFT. An e-
com number is generated. The DGFT website on completion of application details would prompt for e-
payment to select the mode of payment. If the exporter wants to use Electronic Fund Transfer (EFT) for
application fees he should be aware that he cannot change his licensing office. If EFT prompt is accepted,
the website will transfer the exporter to the particular designated bank chosen for submission of application
fees. The exporter would need to have an account with the bank, an ID and password from the bank. On
successful validation of his ID, password and request for submission of the fees, the exporter`s account
gets debited. The bank will generate a Payment ID and amount shall thereafter stand reflected in
conjunction with e-com number and name of the party in the Sever of DGFT. A successful message from
the bank shall be shown on the exporters account. The payment shall thereafter stand completed with
regard to the concerned e-com number. In case, the exporter needs to add further payments against the
particular e-com number, he may do so within the same day i.e. within 24 hours. For each additional
payment, the bank shall generate a unique payment ID. Against one e-com number only one bank shall be
required to make all payments. Alternatively, payment can also be made through Debit/Credit card instead
of Net Banking by selecting that option. OR
(3) Through running deposit account maintained with concerned RLA in the following manner: -
The applicants may deposit the anticipated amount as per their need for six months with the concerned
Regional Licensing Authority through cheque/DD in the name of concerned Pay &Accounts Officer
(Commerce). Initially, this amount will be credited into public accounts under Major Head 8443-Civil
Deposits, 114-Export Trade Deposits adjustable against License Application Fees. The licensing authority
at the time of admitting the application fee will carry out an adjustment in Broad Sheet of Export Trade
Deposits and debit the value of application fee from the Head Export Trade Deposits by contra credit to
Revenue Head Head-1453-ForeignTrade & Export Promotion, 103- ExportLicensing Application Fees. The
licensing Authority may furnish the details of all such transactions (like the amount transferred from Public
Accounts to Revenue Account etc.) to the Pay and Accounts Officer concerned who may carry out
adjustment in the monthly compilation of accounts. A copy of the transactions may also be forwarded to the
concerned firm for the purpose of reconciliation.
Note: The firms who want to resort to this mode of payment should be established and regular applicants
having at least 25 applications/ transactions during the last licensing year. The minimum deposit under the
scheme will not be less than Rs.1, 00,000/-. All subsequent payment in replenishment of the deposit will be
made through Pay order in favour of the concerned office of CPAO. No license application will be
entertained/ considered so long as the firms have a deposit balance in their account. All the charges in
connection with the depositor transaction with DGFT including under charges detected subsequently in
course of audit will be debited from the Depositor amounts. Likewise, any excess payment or wrong
payment of fee will be refunded as per the procedure mentioned in this Appendix.
4. Exemption from Payment of Fees:

No fee shall be payable in respect of any application made by such class or category of applicant as
specified in Foreign Trade (Regulation) Rules,1993.
5. Where Bank Receipt Is Lost:

The applicant should file an affidavit on a Stamp Paper to the effect that one copy/ both copies of Bank
Receipt, in question, have been lost or misplaced and have not been utilized in any other manner. Further,
the applicant should also certify that if the said copy/ or both the copies of Bank Receipt are found
subsequently they shall be returned to the licensing authority concerned and shall not be utilized in any
other manner. The particulars of the Bank Receipt i.e. licensing period, the amount remitted, the date of
84
payment etc. should also be stated in the affidavit. In addition the applicant shall produce a certificate from
the bank or the Pay and Accounts Office to the effect that the amount was deposited.
6. Refund of Application Fees:

(1) Application fee is nothing but the fee for processing of the application. Therefore, the fee once received will
not be refunded except in the following circumstances, namely: -
(a) Where the fee has been deposited in excess of the specified amount of fee; or
(b) Where the fee has been deposited but no Application has been made;
or
(c) Where the fee has been deposited in error but the applicant is exempt from payment of fee.
(2) Where the applicant is eligible for refund of application fee, an application in the ANF-2G may be submitted to
the licensing authority within whose jurisdiction the fee was paid enclosing along with both the copies of Bank
Receipt. In cases, where the said copies of Bank Receipt have been enclosed with the application for the
license, the third copy of the Bank Receipt maybe furnished. In all such cases, the number and date of Bank
Receipt and the name and address of the Bank where the fee was deposited should be given.
(3) Where the amount had been deposited by means of Net Banking/Debit Card/Credit Card, the applicant
should furnish along with the application:
a) E-com Reference No. and date.
b) Transaction ID No, amount, date and time of payment
c) The Bank and its branch Code on which transaction was made
d) The name of the licensing Authority to whom the application was made.
e) IFSC code of Branch
(4) On receipt of application, the licensing authority shall pass refund order after they have verified from the
Pay and Accounts Officer concerned that the amount in question has been credited to the Government of
India.
(5) No claim for refund of application fee shall be entertained by the licensing authority after expiry of one year
from the date of Bank Receipt/ online payment. However, on merits, for reasons to be recorded in Writing,
the licensing authority may condone the delay but in no case shall an application for refund of fees be
entertained after the expiry of three years from the date of Bank Receipt/online payment.
(6) In cases, where the applicant has lost the original Bank Receipt the licensing authority may accept a
certificate from the Bank or Pay and Accounts Officer (Imports & Exports) in support of the fact that the
amount was deposited. In such cases, where the original receipt is not available the applicant will be
required to file an affidavit containing same particulars as mentioned above.
(7) Refund Order of fees will be valid for three months from the date of issue. Request for revalidating the same
may be considered on merits by the authority which issued the Refund Order.
7. Adjustment of Fee:
In cases, where a new Advance Authorization, EPCG and Duty Credit Scrip is issued by RA in lieu of the
earlier Authorization (which has been cancelled by RA, on the request of the firm, on account of non-
registration at the Customs Port), the application fees paid in the earlier Authorization will be adjusted by
the RA for the new Authorization. However, a minimum application fee of Rs.200/- shall be paid for the new
Authorization. Head of Office of concerned RA while issuing Authorizations under this provision shall ensure
proper linkage with the earlier cancelled Authorization.
85
Annexure-A
Bank
ReceiptNo
&date
Receipt of Cash paid into the Central Bank of India at ..............................
To be filled in by the remitter To be filled in by the
department officer of the bank
By whom Name, Full Amount in Rs. Head of Accounts Order to be

tendered designation particulars account officer by Bank*
and of the whom
address of remittance/purpose adjustable
the person and name of the
on whose authority
behalf (if any)
money is
paid
Name & Rs. Paise 1453 Pay and Date, correct
foreign Accounts receipt and
Signature trade export officer grant receipt
promotion .......... (signature and
minor head (Name of full description
station) of the officer
102 ordering the
Application money to be
fee paid in)
Rs. (In Words) * To be used only in the case

of remittance to the Bank
through Departmental Officer
Cashier Accountant Date Bank Officer
NOTE:-
1. Particulars of money tendered should be given below.
2. In case where direct credits at Bank are permissible the Column "Head of Account" will be filled in by the Bank
Officer or Pay and Accounts Officer as the case may be, on the receipt of Bank's daily statement
PARTICULARS Amount In Rupees
Coins
Notes (with details)
Cheque (with details)
86
APPENDIX -2 L
CERTIFICATE FOR OFFSETTING OF EXPORT PROCEEDS
1. Name of the exporter:

2. Address of the exporter:
3. IEC number:
4. E-Mail of the applicant:
5. Specific mode of offsetting (please tick)
( )
i. Import Payables
ii. Equity Investment
iii. Loan Repayment
iv. Dividend Repayment
v. Others (Provide details)
6. Export Details
Invoice Shipping bill Description Scheme Amount Date of
against which of goods under offsetted offsetting
offset has been which (in free
done offsetting foreign
undertaken exchange)
No. Date No. Date
(1) (2) (3) (4) (5) (6) (7) (8)
(DECLARATION/UNDERTAKING TO BE GIVEN BY THE APPLICANT)
1. I/We hereby declare that the particulars and the statements made in this application are true and
correct to the best of my/our knowledge and belief and nothing has been concealed or held therefrom.
2. I/We full understand that any information furnished in the application if proved incorrect or false will
render me/us liable for any penal action or other consequences as may be prescribed in law or otherwise
warranted.
3. I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act,
1992, the Rules and Orders framed thereunder, the Export and Import Policy, Handbook of Procedures and any
other documents issued under the Policy.
4. I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.6 of the
Policy.
5. I/we hereby certify that none of the Proprietor/ Partner(s)/ Director(s)/Karta of the firm or company is a
Proprietor/ Partner(s)/ Director(s)/Karta of the firm/Company, which has come to the adverse notice of DGFT.
6. I/We certify that the RBI permission vide letter no.________ dated _______ has been obtained for the
said offsetting of export proceeds realised under ________ scheme.
Name: ........................
Designation: ........................
Official Address: ........................
Tele.No.: ........................
Residential Address: ........................
........................
Place:
Date :
87
ANNEXURE TO APPENDIX 2 L
CERTIFICATE OF CHARTERED ACCOUNTANT/COST ACCOUNTANT
(Note: This certificate is to be submitted in lieu of the Bank Certificate of Exports and Realisation)
(i) The following documents/ records have been furnished by the applicant and have been examined and verified
by me/us namely:-
Export order/ Contract, shipping bills, Bill of Lading (and/ or Airways Bills/ Receipts). Customs/Bank attested
Invoices,
(ii) I/We verify that the offsetting has been carried out with the specific consent of the Reserve Bank of India as
contained in letter no.________ dated ______ and is in accordance with the rules/regulations in force.
(iii) It has been ensured that the information furnished is true and correct in all respect; no part of it is false or
misleading and no relevant information has been concealed or withheld;
(iv) Neither I, nor any of my partners/director is a partner, director, or an employee of the above-named entity or
its associated concerns;
(v) I/We fully understand that any statement made in this certificate, if proved incorrect or false, will render
me/us liable for any penal or other consequences as may be prescribed in law or otherwise warranted.
(Signature and Stamp/Seal of the Signatory)
(Chartered Accountant/Cost Accountant)
Name of the :
Signatory
Place: Full Address :
Date: Membership No. :
Documents to be enclosed with this certificate
i) Specific permission of the Reserve Bank of India
ii) Letter from the parent company/buyer etc. indicating the proposal for offsetting of export proceeds.
88
APPENDIX- 2M
Form of Self Declaration for obtaining Duplicate Copy of
freely transferable Licences / Authorisations which are lost or misplaced
(as per para 2.23 and 2.24 of HBP)
To
The Regional authority

.....
I/We hereby solemnly affirm and declare that customs purpose copy/exchange purpose copy/both the copies of
Licence No. / Authorisation No.___________dated__________ issued to me/us have been lost/ misplaced,
without having been registered with any Customs House / after having been registered with _______________
(Customs House) and not utilised at all/ utilised partly.
The total amount for which the Licence / Authorisation was issued is Rs. (figure and words ____________) and
USD (figure in words) ..the total amount for which the duplicate is now required is to cover the balance of
Rs.__________ and USD (figure in words) ...
The said Licence / Authorisation has not been cancelled, pledged, transferred or handed over by me/us or on
my behalf to, any other party for any purpose/consideration whatsoever.
I/We request to cancel the original Licence / Authorisation in lieu of which the duplicate copy has been applied
for by me/us.
I/We agree and undertake to return the original Licence / Authorisation, if traced later, to the issuing authority for
record

Date: Name
Designation
Official Address
Telephone
Residential Address
Email Address
Documents to be enclosed with the application form
As per para 2.24 duplicate copy of freely transferable Authorisation may be issued against an application
accompanied with following documents:
1. An application with fee equivalent to 10% of duty saved or duty credit (of unutilized balance).
2. A copy of FIR reporting loss.
3. Self- declaration to indemnify revenue loss, which may be caused on account of issue of such duplicate.
89
APPENDIX- 2N
BANKGUARANTEEFORMAT
To,
The President of India
(acting through the Director General of Foreign Trade)
In consideration of the President of India, acting through the Director General of Foreign Trade (which
expression shall be deemed to include the Joint Director General of Foreign Trade/Deputy Director General of
Foreign Trade), or any other authority for the time being authorised to perform the duties of Joint Director General of
Foreign Trade/Deputy Director General of Foreign Trade), Ministry of Commerce, Government of India, New Delhi
(hereinafter referred to as the Government) having agreed to grant to
M/s.__________________________________________________________________(full expanded name, e-mail
I.D, Phone No./Fax. No. of the Importer/Exporter with complete address) (hereinafter referred to as
Importer/Exporter) an Authorisation bearing No.____________ dt._______ (hereinafter referred to as authorisation
for the import of the goods mentioned therein) for a value of Rs._________ (Rupees
________________________________ only) under the___________________ Scheme (fill up the actual Scheme)
notified by the Government under the Foreign Trade Policy 2015-20 as may be amended from time to time
(hereinafter referred to as scheme) on the terms and conditions specified in the said Authorisation which term inter
alia stipulates production of a Bank guarantee for Rs._________________
(Rupees___________________________________________only). We
________________________________________________ (indicate the name, e-mail I.D, Phone No./Fax. No and
full address and other particulars of the Bank) (hereinafter referred to as Bank) at the request of the
Importer/Exporter do hereby unconditionally and irrevocably undertake to pay the Government an amount not
exceeding Rs.____________ against any loss or damage caused to or suffered by the Government by reason of any
failure on the part of the said Importer/ Exporter of any of the terms or conditions contained in the said Authorisation
including the export obligation mentioned therein.
2. We ___________________ (indicate the name of Bank) do hereby undertake to pay the amounts due and
payable under this guarantee without any demur or protest, merely on a demand from the Government stating that
the amount claimed is due by way of loss or damage caused or suffered by the Government by reason of breach by
the Importer/Exporter of any of the terms or conditions of the said Authorisation. Any such demand made on the
Bank shall be conclusive as regards the amount due and payable by the Bank under these presents.
3. We undertake to pay to the Government any money so demanded notwithstanding any dispute or disputes raised
by the Importer/Exporter in any suit or proceeding pending before any court or Tribunal relating thereto and our
liability under these presents being absolute and unequivocal.
4. We,_________________(indicate the name of Bank) further agree that the guarantee herein contained
shall remain in full force and effect during the period that would be taken for the performance of the said
Authorisation and that it shall continue to be enforceable till all the obligations of the Importer/Exporter under or by
virtue of the said Authorisation have been fully discharged to the satisfaction of the Government or till
Jt.DGFT/Dy.DGFT, or any Licensing authority for the time being authorised to perform the duties of
90
Jt.DGFT/Dy.DGFT, Ministry of Commerce, New Delhi certifies that the terms and conditions of the said Authorisation
have been fully and properly carried out by the Importer/Exporter and accordingly discharges this guarantee.
Provided, however, unless a demand or claim under this guarantee is made on us in writing on or before the
______________. We shall be discharged from all liability under this guarantee thereafter.
5. We ____________________ (indicate the name of bank), further agree with the Government that the Government
shall have the fullest liberty without our consent and without affecting in any manner our obligations hereunder (i) to
vary any of the terms and conditions of the said Authorisation and modify the said scheme from time to time or (ii) to
extend time of performance by the said Importer/Exporter from time to time or to postpone for any time or (iii) from
time to time any of the powers exercisable by the Government against the said Importer/Exporter and to forbear or
enforce any of the terms and conditions relating to the said Authorisation and we shall not be relieved from our
liability by reason of any such variation, or extension being granted to the said Importer/Exporter for any forbearance,
act or omission on the part of the Government or any indulgence by the Government to the said Authorisation holder
or by any such matter or thing whatsoever which under the law relating to sureties would, but for this provision, have
effect of so relieving us.
That this shall be a continuing Bank Guarantee and shall not be discharged by any change in the constitution of the
importer/exporter or of the Bank.
That the guarantor will not revoke the guarantee without prior written consent of the Government.
"Dated the_______________day of____________year_________ for ______________________
indicate the name of the Bank)"
(Signature)_________________________
___________________________________
(Name & Designation of the Bank officer
with employee code & complete address)
Accepted by me on behalf of the President of India.
( )
Asstt. DGFT/ Foreign Trade Development Officer
NOTE : A) In case of EPCG authorization:
The Bond/BG shall be filed for a minimum period of three years with an undertaking to keep the BG alive for 18
months beyond the entire period of export obligation .
B) In case of advance authorization/DFIA:
Note: The Bond/ BG shall be filed for a minimum period of three years with an undertaking to keep
the BG alive for the entire period of export obligation viz., 6+2 = 8 years
Wherever Bank Guarantee is issued with (a) additional Note withstanding clause or (b) Bank Guarantee is submitted
for lesser period than 6+2=8 years, Bank Guarantee should be furnished with the following additional conditions.
91
01. Our liability under this Bank Guarantee is restricted to Rs.________ (Rupees
_________________________) valid up to ________ and shall be automatically renewed thereafter by us
and kept alive till the department approves for cancellation of Bank Guarantee.
02. Our liability under this Bank Guarantee shall not exceed Rs.____________ (Rupees
_____________________________) only.
03. And we undertake to renew the Bank Guarantee at our own from time to time until any directions by the
department.
04. Notwithstanding anything contrary contained in any law for the time being in force or banking practice, this
guarantee shall not be assignable or transferable by the beneficiary. Notice or invocation by any person
such as assignee, transferee or agent of beneficiary shall not be entertained by the bank. Any invocation of
guarantee can be made only by the beneficiary directly.
92
APPENDIX -2O
LEGAL AGREEMENT/UNDERTAKING FORMAT
To
The President of India
(acting through the Director General of Foreign Trade (which expression shall be deemed to include the Joint
Director General of Foreign Trade/Deputy Director General of Foreign Trade) Ministry of Commerce, Udyog Bhavan,
New Delhi - 110 011.
This DEED of Agreement made on ________________ day of ____________ month ___________ year
BETWEEN____________________________________________________ (full expanded name of the

Importer/Exporter with complete address) hereinafter referred to as the party which expression shall be deemed to
include his/her heirs, successors, administrators and assignee, if the firm is Sole Propreitory firm/jointly and severely
all the Partners through their legal heirs, successors, administrators, and assignee as well as the portions where
body corporate or not having the control of the affairs of the said firm, if it is Partnership firm/successors in business
and assignee if firm is limited company.
AND
The President of India (hereinafter referred to as the Government which expression shall include his successors in
office and assigns).
WHEREAS the party has made an application bearing Reference No. ____________________ dated ___________
for a Authorisation for a value of Rs.___________ for import under the _______________________ Scheme (fill up
the actual Scheme) (hereinafter referred to as 'Scheme') notified by the Government under the Foreign Trade Policy,
2015-20 as amended from time to time with an Export Obligation of Rs._______________ .
AND WHEREAS the Government may grant a Authorisation to the party for the full value applied for or for a lesser
value as it may be deemed fit and as per the terms and conditions of the Scheme.
AND WHEREAS one of the terms of the Authorisation, which may be issued as above, is that the party is to enter
into an agreement/undertaking with the Government on the terms and conditions appearing hereinafter.
AND WHEREAS the party has furnished a Legal Agreement in anticipation of the Government issuing Authorisation
as above for an amount of the export obligation imposable as per the Scheme.
AND WHEREAS the party has agreed to perform the export obligation for the quantity and or to the extent of FOB
value shown in the aforesaid application or as may be fixed by the Government in the Authorisation/ Sanction/
Approval within the stipulated period by exporting the goods as required under the Authorisation which may be
issued.
AND WHEREAS the party has agreed:
a) to perform the export obligations for the quantity and or FOB value within the period specified in the aforesaid
Scheme/Authorisation/Sanction/Approval;
b) to fulfill all the conditions of _______________ Scheme under which the Authorisation/Sanction/ Approval may be
issued;
c) to fulfill all the terms and conditions of the Authorisation/ sanction /approval which may be issued;
93
d) to fulfill the conditions subject to which the goods may be cleared by the Customs authorities including conditions
imposed under the relevant Customs notification pertaining to the Scheme;
e) to send a 'Statement of Exports' to the Regional Authority in original, on a monthly/quarterly/half-yearly basis,

within 15 days from the end of the period;
f) to furnish from a Nationalised / Scheduled bank, in original, a Bank certificate of exports evidencing the exports/
deemed exports of goods made in fulfillment of the export obligation(s) and such other documents as may be
demanded by the Regional authorities as evidence for the exports/ deemed exports made;
g) that in the event of his default in meeting the aforesaid obligations / conditions, he shall pay an amount
equal to 15% interest per annum on the amount of duty saved from the date of import of the first consignment till the
date of payment.
h) that the Government may modify the Scheme from time to time.
NOW, THEREFORE THE CONDITIONS OF THE AGREEMENT ARE AS FOLLOWS:
In anticipation of granting the said Authorisation by the Government as aforesaid, the party hereby declare(s) and
agree(s):
(i) That the party shall comply with all the obligations under the aforesaid Scheme specified by the Government and
the conditions specified in the Authorisation/Sanction/Approval to be issued for import/
export and other conditions specified herein above.
(ii) That if the party fails to fulfil the whole or part of the obligations under the Scheme, including the terms and
conditions stipulated in the Authorisation / Sanction/ Approval/ Scheme or fails to furnish any information required
under the Foreign Trade (Development & Regulation) Act, 1992, or the Orders made thereunder or the Rules framed
thereunder, on the written demand made by the Government of the
amount, in whole or part, the party shall forthwith without any demur or protest, pay to the Government the sum
demanded.
(iii) That notwithstanding any right Government may have against the party in any form and notwithstanding any
dispute raised by the party in any form, the Government's written demand to the party shall be final and binding.
(iv) That this Agreement shall continue and shall not be discharged by any change in the constitution of the party.
(v) That in the event of the non-fulfillment of export obligations mentioned in the Authorisation as aforesaid, the party
shall on the instructions of the Government hand over the unutilised imported goods to any agency as the
Government may nominate, for disposal in any manner. The amount so recovered by sale shall be deposited with
the Government towards the fulfillment of export obligations/conditions, after deducting the normal commissions and
other expenses incurred by the said agency. The decision of the agency as to the said amount shall be final and
binding on the party. The Bank Guarantee/ Bond executed with the Customs authorities, in such an event, shall also
be forfeited.
(vi) The party undertakes to pay simultaneously a sum equivalent to the value of the Authorisation / Sanction/
Approval or to the extent of the value of the imported goods against the said Authorisation / Sanction/ Approval,
whichever is higher, by way of liquidated damages to the Government. The decision
of the Government shall be final and binding on the party.
94
(vii) That this Agreement is executed by the party in public interest.
(viii) That the payment of the amount demanded by the government under this Agreement shall not affect
the liability of the party to any other action, including the initiation of legal proceedings for confiscation of the
imported material and refusal of further Authorisations, and all other liabilities, penalties and consequences under the
provisions of the Foreign Trade (Development and Regulation) Act, 1992, and the Orders and Rules made
thereunder, that may be decided by the Government.
(ix) That this Agreement shall remain in full force until all the obligations of the party are fulfilled to the full and final
satisfaction of the Government as specified above and till such satisfaction is communicated to the party.
(x) That the party irrevocably undertakes that in the event of his default in meeting the aforesaid export obligations /
conditions, they shall pay the applicable Customs Duties, 15% interest per annum on the amount of customs duties
saved from the date of import of the first consignment till the date of payment to meet the shortfall in the export
obligations as may be imposed on the Authorisation/ sanction/ approval /scheme. In addition to the aforesaid the
party shall also abide by the conditions imposed by the relevant Customs notification for the Scheme.
(xi) That the party irrevocably undertakes that in the event of his default in meeting the aforesaid export obligation /
conditions, they shall execute a Bank Guarantee for an amount as required by the Government.
(xii) Nothing in this Agreement shall debar the Government from modifying the said Scheme from time to time and/or
from implementing any such modified Scheme as if it is in force at the date of this Agreement.
IN WITNESS WHEREOF the party hereto has duly executed this Agreement on this ______________ day of
______year_______ signed, sealed and delivered by the party in the presence of:
**(Signature)_______________
(full and expanded description of the party with residential address)
Witness: _____________________
(Signature)
1. Name ___________________
Residential________________
Address ___________________
(Signature)
2. Name ___________________
Residential________________
Address ___________________
(To be authenticated/affirmed by 1st Class Magistrate/Notary Public)

( )
Asstt. DGFT/ Foreign Trade Development Officer
95
** in the light of guidelines for execution of Legal Undertaking
NOTE FOR GUIDANCE IN THE MATTER OF EXECUTING BANK GUARANTEE (BG) / LEGAL AGREEMENT
(LUT)
1. The Bank Guarantee / Legal Agreement is to be executed by the surety Bank (Guarantor)/ importer/exporter
(party) on a non-judicial stamp paper for an amount as may be prescribed by the concerned State Government
under the Indian Stamp Act, 1899 or State Act, as the case may be.
2. Any stamp duty payable on the B.G./LUT or any document executed thereunder shall be borne by the party.
3. If the party is a sole proprietary firm, the Bond/Legal Agreement shall be executed by the Sole Proprietor of the
firm, along with his permanent and complete residential address. "In such a case the expression "Importer/Exporter"
or "Party" used in the opening paragraph of the Legal Agreement should include his/her heirs, successors,
administrators and assignee".
4. If the party is a partnership firm, the LUT shall be executed in the name of the partnership firm, through the
partners to be specified, or the Managing partner, if so specified in the Partnership Deed, along with the address of
the partner/Managing Partner, and the place where the Registered Office of the partnership firm is situated.
"In that case, the expression "Importer/Exporter" or "Party" used in the opening paragraph of the Legal Agreement
should include jointly and severely all the partners, through respective legal heirs, successors, administrators and
assignee as well as the portions where body corporate or not having the control of the affairs of the said Firm".
5. If the party is a Limited Company, the LUT shall be executed by the Managing Director or two Directors of the
Company, along with the seal of the Company and also specifying the address of the Registered Office of the
Company. Alternatively the LUT shall be executed by a senior executive of the Company of the rank of General
Manager and one of the Directors of the Company who have been authorised by the board of Directors for this
purpose, along with the seal of the Company and also specifying the address of the Company. In such cases LUT
shall be countersigned by the Company Secretary.
"In that case, the expression "Importer/Exporter" or "Party" used in opening paragraph of the Legal Agreement
should include its successors in business and assignee".
6. Each page of the Bond/Legal Agreement is to be signed.
7. The importer/ exporter shall also give a separate declaration alongwith BG/LUT to the effect that in the event of
any change in the Customs Duty based on which the BG/LUT is executed for clearance of the imported goods, he
shall execute supplementary BG/LUT for the remaining value at the time of clearance of last consignment, failing
which he shall be liable to such action as is considered proper by the Regional/ customs authority.
96
APPENDIX - 2P (i)(a)
FORMAT OF IMPORT CERTIFICATE UNDER INDO US MEMORANDUM
No. DGFT /20..
GOVERNMENT OF INDIA
Import Certificate
1. Importer (Name & Address with IEC Number ):
2. Exporter (Name & Address):
3. Details of Items being imported:
Description of ITC(HS)/ Quantity Value

Goods ECCN
Code*
* Export Control Classification Number of the item under US Department of Commerce

Regulations (ECCN) in case the item of import falls under CC/ RS as per Appendice
2P(iia)/(iib)
4. The importer has submitted:
I. the Bill of Lading No......................dated ...................indicating the port of USA as

......................................
II. the legal undertaking that the said goods will not be exported/alienated.
5. It is certified that the importer named above has further undertaken:
I. To import the item into India and not to redirect it or any part thereof, to another
destination before its arrival in India.
II. Not to export the item or any part thereof without the written permission of the
Certificate Issuing Authority.
III. To abide by actual user condition, i.e., not to re-transfer within India the item(s)
specified in this Certificate without the written approval of the Certificate Issuing
Authority
Date..
Signature
Seal:
Designation..
NB: This import certificate is not a substitute for import licence in respect of the items
mentioned as restricted under ITC (HS) and an import licence, in addition to this Certificate, will
have to be obtained, wherever required for such items.
97
APPENDIX 2P(i)(b)
FORMAT OF EXPORT CERTIFICATE UNDER INDO-US MEMORANDUM
No. DGFT /201
GOVERNMENT OF INDIA
Export Certificate
1. Exporter (Name & Address with IEC number):
2. Importer in third country (Name & Address):
3. Export Order No ......................dated ...................
4. Details of items being exported:
Description of *ECCN Quantity Value Bill of entry No & date ITC(HS) code, if
Goods Code by which import was available/applicable.
made

Regulations (ECCN) in case the item of export is under CC/ RS list as per Appendice 2P(iia)/(iib)
5. It is certified that the above Exporter has submitted that:
I. The above goods were imported from ...................USA under due permission from DGFT vide
Import Certificate No:.................. dated.................................
II. The above goods are being exported to ...........................................................(consignee in third

country) in .....................(countrys name)
III. The subject goods will not be utilised for non-civilian purposes.
Date..
Signature
Seal
Designation..
NB: This export certificate is not a substitute for Export Licence in respect of the items mentioned as restricted under
ITC(HS) and an Export licence, in addition to this Certificate, will have to be obtained wherever required for such
items.
98
Appendix 2P(ii)(a)
UNILATERAL CRIME CONTROLLED ITEMS ON THE
U.S. DEPARTMENT OF COMMERCE CONTROL LIST
S. No. CC Description
ECCNs
1. 0A978 Law enforcement striking weapons, including saps, police batons, side handle batons,
tonfas, sjamboks, and whips
2. 0A979 Police Helmets, Shields
3. 0A981 Equipment designed for the execution of human beings
4. 0A982 Restraint Devices
5. 0E982 Technology for Restraint Devices and discharge type arms
6. 0A983 Specially Designed Implements of Torture
7. 0A984 Shotguns
8. 0E984 Technology for Shotguns
9. 0A985 Discharge Type Arms
10. 0A987 Optical Sighting Devices
11. 1A984 Chemical Agents, Tear Gas
12. 1A985 Fingerprinting Powders, Dyes, Inks
13. 3A980 Voice Print Identification equipment
14. 3A981 Polygraphs, Fingerprints Analyzers
15. 3D980 Software for Voice Print ID
16. 3E980 Technology for Voice Print ID
17. 4A003 Digital Computers for computerised finger-print equipment
18. 4A980 Computers for Fingerprint equipment
19. 4D001 Software for Digital Computers controlled by 4A003
20. 4E001 Technology for Digital Computers controlled by 4A003
21. 4D980 Software for 4A980 Fingerprint Computers
22. 4E980 Technology for Computer for Fingerprint
23. 6A002.c. Police-Model Infrared Viewers
24. 6E001 Technology for Police Viewer development
99
25. 6E002 Technology for Police View Production
26. 9A980 Mobile Crime Labs
Appendix 2P(ii)(b)
UNILATERAL REGIONAL SECURITY CONTROLLED ITEMS ON THE
U.S. DEPARTMENT OF COMMERCE CONTROL LIST
S. No. RS2 ECCNs Description
1. 0A606.b. Ground vehicles, parts and components, as follows:
1. Unarmed vehicles that are derived from civilian vehicles and that have all
of the following:
a. Manufactured of fitted with materials or components other than

reactive or electromagnetic armour to provide ballistic protection to
level III (National Institute of Justice Standard 0108.01, September
1985) or better;
b. A transmission to provide drive to both front and rear wheels

simultaneously, including those vehicles having additional wheels for
load bearing purposes whether driven or not;
c. Gross vehicles weight rating (GVWR) greater than 4,500 kg; and
d. Designed or modified for off-road use.
2. Parts and components having all of the following:
a. Specially designed for vehicles specified in paragraph b.1 of this

entry; and
b. Providing ballistic protection to level III (National Institute of Justice

Standard 0108.01, September 1985) or better
2. 0A918 Bayonets
3. 0E918 Technology for the development, production or use of bayonets.
4. 1A004 Protective and detection equipment and components, not specially designed for
military use, as follows (see List of Items Controlled).
a. Gas masks, filter canisters and decontamination equipment therefore

designed or modified for defence against any of the following, and
specially designed components therefor:
a.1. Biological agents adapted for use in war;
100
a.2. Radioactive materials adapted for use in war;
a.3. Chemical warfare (CW) agents; or
a.4. Riot control agents,
b. Protective suits, gloves and shoes, specially designed or modified for

defense against any of the following:
b.1. Biological agents adapted for use in war;
b.2. Radioactive materials adapted for use in war; or
b.3. Chemical warfare (CW) agents;
c. Nuclear, biological and chemical (NBC) detection systems, specially

designed or modified for detection or identification of any of the following,
and specially designed components therefor:
c.1. Biological agents adapted for use in war;
c.2. Radioactive materials adapted for use in war; or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or identifying

the presence of explosives residues and utilizing trace detection
techniques (e.g. Surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).
5. 1D003 Software specially designed or modified to enable equipment to perform the

functions of equipment controlled under 1A004.c. and 1A004.d.
6. 1E001 Technology according to the General Technology Note for the development or
production of items controlled by 1A004.d.
7. 2A983 Explosives or detonator detection equipment, both bulk and trace based,
consisting of an automated device, or combination of devices for automated
decision making to detect the presence of different types of explosives, explosive
residue, or detonators; and parts and components, n.e.s.
8. 2A984 Concealed object detection equipment operating in the frequency range from 30
GHz to 3000 GHz and having a spatial resolution of 0.5 milliradian up to and
including 1 milliradian at a standoff distance of 100 meters; and parts and
components, not elsewhere specified.
9. 2B018 Equipment as follows:
Specialized machinery, equipment, gear and specially designed parts and

accessories therefor, including but not limited to the following, that are specially
designed for the examination, manufacture, testing and checking of arms,
appliances, machines and implements of war:
101
a. Armor plate drilling machines, other than radial drilling machines;
b. Armor plate planing machines;
c. Armor plate quenching presses;
d. Centrifugal casting machines capable of casting tubes 6 feet (183 cm) or

more in length, with a wall thickness of 2 inches (5 cm) and over;
e. Gun barrel rifling and broaching machines, and tools therefor;
f. Gun barrel rifling machines;
g. Gun barrel trepanning machines;
h. Gun boring and turning machines;
i. Gun honing machines of 6 feet (183 cm) stroke or more;
j. Gun jump screw lathes;
k. Gun rifling machines;
l. Gun straightening presses;
m. Induction hardening machines for tank turret rings and sprockets;
n. Jigs and fixtures and other metal-working implements or accessories of

the kinds exclusively designed for use in the manufacture of firearms,
ordnance and other stores and appliances for land, sea or aerial warfare;
o. Small arms chambering machines;
p. Small arms deep hole drilling machines and drills therefor;
q. Small arms rifling machines;
r. Small arms spill boring machines;
s. Tank turret bearing grinding machines.
10. 2D983 Software specially designed or modified for the development, production, or use
of equipment controlled by 2A983.
11. 2D984 Software required for the development, production, or use of concealed object
detection equipment controlled by 2A984.
12. 2E983 Technology specially designed or modified for the development, production, or
use of equipment controlled by 2A983, or the development of software controlled
by 2D983.
13. 2E984 Technology required for the development, production, or use of equipment
controlled by 2A984 or required for the development of software controlled by
2D984.
102
14. 6A003.b.4.b Uncooled thermal imaging cameras
15. 6A998.c. Millimetre wave enhanced vision radar imaging systems specially designed for
rotary wing aircraft and having all of the following:
1. Operates at a frequency of 94 GHz;
2. An average output power of less than 20 mW;
3. Radar beam width of 1 degree; and
4. Operating range equal to or greater than 1500 m
16. 6A999.c. Seismic intrusion detection systems that detect, classify and determine the
bearing on the source of a detected signal.
17. 6D991 Software not elsewhere specified specially designed for the development,
production, or use of commodities controlled by 6A998.c.
18. 6D993.b. Software specially designed for seismic intrusion detection systems controlled by
6A999.c.
19. 9A515.e. Microelectronic circuits (e.g. integrated circuits and micro-circuits) that are rated,
certified, or otherwise specified or described as meeting or exceeding all the
following characteristics and that are specially designed for defence articles
controlled by Unites States Munitions List.
****
103
APPENDIX - 2 Q
FORMAT OF END USER CERTIFICATE UNDER PARA 2.38 OF HBP
No.DGFT ......... /2015-
GOVERNMENT OF INDIA
IMPORT CERTIFICATE
1. Exporter (Name & Address)
2. Importer (Name & Address)
Description of Goods Quantity Value
It is certified that the importer named above has undertaken:
- To import the item into India and not to redirect it or any part of it, to another destination before its arrival in India.
- To provide, if asked, verification that possession of the item was taken.
- Not to re-export the item without the written approval of the Certificate Issuing Authority.
- Not to retransfer within India the item(s) specified in this Certificate without the written approval of the
Certificate Issuing Authority.
- To obtain permission in writing from the Certificate Issuing Authority prior to any change in end-user which shall
be preceded by the new end-user notifying the Certificate Issuing Authority that he/she agrees to the
conditions contained in this document.
Date ....................
Signature............................................
Designation........................................
OfficialSeal
Note: This import certificate is not a substitute for import Licence in respect of the items mentioned
as restricted under ITC(HS) and an import licence, in addition to this Certificate, will have to
be obtained wherever required for such items
104
APPENDIX -2 R
Format of Registration-cum-Membership Certificate
PART I
(To be filled in by the applicant)
1 Name of the exporter : M/s_________________________

____________________________
____________________________
2 IEC Number : ____________________________
_
3 Address of the Registered/Head Office ____________________________

. ____________________________
4 Date of establishment : ____________________________
5 Description of goods/ services for : ____________________________

. which registered ____________________________
__________
6 Registration Number :
.
7 Registered as : a) Manufacturer exporter
. b) Merchant exporter
c) Merchant cum manufacturer
exporter____________________
8 Name of the Proprietor/ Partner(s)/ : ____________________________
. Director(s)/Karta
This certificate is issued as per the details of our records and is subject to the conditions laid down in the
relevant scheme of registration of this council.
(Signature of the competent

officer of the E.P. Council)
Name _________________
Designation _________________
Seal ________________
Valid/renewed upto _______________ Date of issue _________________
Space for endorsement of any amendments in this certificate
Note: This import certificate is not a substitute for import Licence in respect of the items mentioned
restricted under ITC(HS) and an import licence, in addition to this Certificate, will have to
obtained wherever required for such items.
105
APPENDIX- 2 S
END USE CUM END USER CERTIFICATE IN CASE OF EXPORT OF SCOMET ITEMS
[TO BE SUBMITTED BY ALL ENTITIES IN THE CHAIN OF SUPPLY VIZ. THE FOREIGN BUYER, THE END USER
& INTERMEDIARIES/CONSIGNEE (IF THEY ARE DIFFERENT FROM THE FOREIGN BUYER AND END USER).
THIS CERTIFICATE SHALL BE ISSUED ON THE LETTERHEADS OF RESPECTIVE ENTITY]
I /We (name)________________________________________________________(name & address of the foreign

buyer/end user/intermediary(ies)/consignee(s) certify that we are importing (name of the SCOMET
item)____________________________ from (name and address of the
exporter)_________________________________________/ through______________________________(name &
address of the intermediary/consignee) against Purchase Order No/Contract No.________________
dated__________ as capital equipment/ component / raw material / other use
(specify)_______________________________________ for the manufacture of (end
product)____________________________which will be used for (state specific
use)*____________________________________________________________.
(* if more than one use then enclose self certified list)
I/we further certify that the items detailed in the referenced purchase order shall not be used for any purpose other
than the purpose (s) stated above and that such use shall not be changed nor the items modified or replicated
without the prior consent of the Government of India. And further, if required, post installation verification shall be
allowed.
The end-user shall not himself, or through another, cause the items, or replicas, or derivatives thereof to be re-
transferred / sold without the consent of the Government of India, to any party within (name of the
country)___________________________________ or outside it.
I/We also certify that the above items imported by us shall not be used for any purpose that relate to the
development of Weapons of Mass Destruction.
I/we also certify that all the facts contained in this certificate are true and correct to the best of my knowledge and
belief and that I/we do not know of any additional facts that are inconsistent with this certificate.
Place:
Signature of end-user / authorised signatory
of the end-user with stamp and seal
Date:
Name:____________________________
Designation:_______________________
Seal Address :_________________________
Tel. (STD Code)-___________________
E-mail:___________________________
106
CERTIFICATION ON BEHALF OF THE RECEPIENT STATE

(For Schedule 3 Chemicals of CWC, viz. Category 1 C of SCOMET list)
(To be filled for transfers of Schedule 3 Chemicals to states not party to the Convention)
It is hereby certified that the transferred Chemical referred to above shall be used only for purposes not
prohibited / disallowed under the Chemical Weapons Convention and shall not be transferred to any other person or
re-exported from the recipient country.
Name of the chemical (IUPAC nomenclature) Quantity
Signature:_________________________
Name:____________________________
Position:__________________________
Seal
Organisation / State:_________________
Address:__________________________
Tel. (STD Code)-___________________
E-mail:___________________________
107
APPENDIX-2 T
LIST OF EXPORT PROMOTION COUNCILS/COMMODITY BOARDS/EXPORT DEVELOPMENT
AUTHORITIES
S. Name of Export Registered Office/Head Office Details of products falling with their
No. Promotion jurisdiction
Councils/
Commodity
Boards
EXPORT PROMOTION COUNCILS
1. Apparel Export Registered Office Readymade garments.
Promotion A-223, Okhla Industrial Area
Council Phase-I, Okhla
New Delhi-110 020
Tel : 011-26372721
Fax : 011-26814251
Head Office
Apparel House, Institutional Area
Sector-44, Gurgaon
Haryana-122 003
Tel : 0124-2708000-03
Fax : 0124-2708004.
2. Basic Jhansi Castle,4th Floor - Dyes, Dye-Intermediates, Coal

Chemicals, 7 Cooperage Road Tar Chemicals and Alcohol
Pharmaceutical Mumbai-400 001.
s & Cosmetics Tel: 022-22021288/22021330 /22825861 - Basic Inorganic and Organic
Chemicals including Agro
EPC website:222.chemexcil.gov.in
Chemicals, Oil Field Chemicals
(CHEMEXCIL) Email: [email protected] - Cosmetics and Toiletries,
[email protected] Essential Oils & Perfumery
Compounds,
- Castor Oil & it's derivatives
-
3. Carpet Export Working Office Handmade/ Handknotted Woollen
Promotion Carpets, Rugs, Druggets, Durries,
Council Niryat Bhavan, Handmade tufted Carpets,
3rd Floor, Rao Tula Ram Marg Handmade Silk Carpets,
Opp. Army R R Hospital Handmade Staple/Synthetic
New Delhi-110 057 Carpets, Kelem, Schumacks,
Tel : 26153466/26153467 Namdhas and other Floor
Fax : 26153465 Covernings.
Website:www.indiancarpets.com
108
E-mail: [email protected];[email protected]
Registered Office:
Shreejee Complex,
Shop No. T-3, Sharma Market,
Harola, NOIDA (UP).
4. Cashew Export P B No.1709, Chittoor Road - Cashew Kernels
Promotion Ernakulam South - Cashewnut Shell Liquid
Council of India Cochin-682 016 - Kardanol
Kerala
Tel : 0484-2376459/2376080
Fax : 0484-2377973
Website :www.cashewindia.org
5. CAPEXIL Vanijya Bhavan 1. Animal By-products

International Trade Facilitation Centre 2. Automobile Tyres & Tube
3rd Floor 3. Books, Publishing & Printing
1/1, Wood Street 4. Bulk Minerals & Ores
Kolkata-700016 5. Cement, Clinkes & Asbestos
Tel : 033-22890524/0525 Cement products
Fax : 033-22891724 6. Ceramics & Refractories
Website : www.capexil.com 7. Glass & Glasswares
E-mail:[email protected] 8. Granites, Natural Stones &
[email protected] Explosives.
9. Graphite Electrodes &
Explosives
10. Misc. Products such as :
- Gambier
Extracts/Myrobalam
Extracts/ Cutch Extracts/
Other dyeing & tanning
extracts
- Fire works
- Safety Matches
- Activated Carbon
- Cocoanut shell Charcoal
- Superphosphates Urea
- Other Chemical
Fertilizers
- Hard Aggregates for
Floor
11. Ossein, Glue & Gelatine
12. Paints & Allied Products
13. Paper, Board & Paper
Products
14. Plywood & Allied Products
15. Processed Minerals
109
16. Rubber Manufactured

Products
6. Cotton Textiles Engineering Centre, 5th Floor - Cotton Yarn & Sewing
Export 9 Mathew Road, Behind Opera House Thread
Promotion Mumbai-400 004 - Cotton Fabrics
Council Tel : 022-23632910, 11, 12 (Grey/Bleached & Processed
Fax : 022-23632914 Fabrics) including Yarn Dyed
Website : www.texprocil.org.in Fabrics:
E-mail: [email protected] Duck/Canvas, Sheetings,
Poplin, Shirting/Suitings,
Denims/Drills,
Twills/Sateens,
Sarees/Dhotis/Terry Fabrics,
Furnishings,
Voils/Mulls/Muslin, Knit
Fabrics
- Cotton Made-ups Bed
Linens/Home Furnishings,
Terry Towels/Toweling,
Bags/Sacks,
Curtains/Drapes, Blankets,
Table/Toilet/Kitchen,
Linens/Napkins,
Handkerchiefs/
Dusters, Carpets/Mats/
Tarpaulins/Tents,
Tapes/Narrow Fabrics,
Labels, Shawls/Scarves,
Rope &* Twine, Drop Cloth,
Mosquito Nets/Netting,
Embroidered Fabrics/Sarees,
Dress Materials,
Chaddar/Odhanis, Khangas,
Threads/Packing Threads,
Others
- Raw Cotton
7. Council for CMDA Tower-II, 3rd Floor Leather & Leather products
Leather Exports Gandhi Irwin Bridge Road
Egmore
Chennai-600 008
Tel: 044-28594367-71
Fax : 044-28594363-64
Website: www.leatherindia.org
8. EEPC INDIA Registered and Head Office 1. Machineries and equipments

(Formerly 2. Motor Vehicles
Engineering Vanijya Bhavan(1st Floor) 3. Automobile Components
110
Export International Trade Facilitation Centre 4. Bicycles, Bicycle

Promotion 1/1, Wood Street Components and
Council) Kolkata-700 016 Accessories
Tel : 033-22890651/52/53 5. Two Wheelers and Three
Fax : 033-22890654 Wheelers
Website: www.eepcindia.org 6. Internal Combustion
Engines, Compressors and
parts thereof
7. Pumps all types
8. Electric and Home
Territorial Division
Appliances
9. Hand and Machine Tools
Vandhna (4th Floor), 11, Tolstoy Marg
10. Medical, Surgical and Other
New Delhi-110 001
Instruments
Tel : 011-23353353
11. Prime Iron & Steel and
Fax : 011-23310920
Products Thereof
12. Non-ferrous Metals and
[email protected]
Products Thereof
13. Railway Rolling Stock and
Components
14. Builders Hardware
15. Project Exports.
16. Mica & other Mineral based
products.
17. Miscellaneous Manufacturers
Engineering Products not
specified elsewhere.
9. Electronics & PHD House, 3rd Floor

Computer Ramakrishna Dalmia Wing
Software EPC Opp. Asiad Village
New Delhi-110 016
Tel: 26510632, 26964463
Fax: 26853412
Website: www.escindia.in
10. Export EPCH House, Pocket 6 & 7

Promotion Sector-C, LSC, Vasant Kunj
Council for New Delhi-110 070
Handicrafts Tel : 011-26135256-57-58
Fax : 011-26135518-19
Website: www.epch.in
[email protected]
11. Export 8G, 8th Floor, Hansalaya Bldg., 15

Promotion Barakhamba Road, New Delhi-110001
Council for Tel:23329766-69,FaxNo.011-23329770,
EOUs & SEZs e-mail:[email protected],
[email protected], [email protected]
111
12. Federation of Niryat Bhawan

Indian Export Rao Tula Ram Marg
Organisations Opp. Army Hospital Research &
(FIEO) Referral,New Delhi-110 057
Tel: 011-46042222/26150101-04
Fax: 011-26148194,26150077
website:www.fieo.org
[email protected]
13. Gem & Head Office and Registered Office - Polished & Processed Pearls
Jewellery (real or culture)
Export Office No. AW 1010, - Cut & Polished Diamonds
Promotion Tower A, G Block, Bharat Diamond Bourse, - Cut & Polished Coloured
Council Next to ICICI Bank, Bandra-Kurla Complex, Gemstones
(GJEPC) Bandra - East, Mumbai - Jewellery containing gold,
Tel: 91 - 22 - 26544600 silver, platinum, or palladium
Fax: 91 - 22 - 26524764 and studded with diamonds,
Website: www.gjepc.org coloured gemstones, real or
Email: [email protected] cultured pearls or synthetic/
Exhibition Cell: [email protected] imitation stones
- Cut and Polished Synthetic
Stones
Exhibition Cell - Costume/Fashion Jewellery
G-6, Radhe Vallabh CHS (Modi Chambers) - Silver Filligree Jewellery &
French Bridge Corner, Opp. Opera House Silver Filligree
Mumbai-400 004 - Rough Diamonds
Tel : 022-23894957/20532896/23802788
Fax : 022-23804958
Website : www.iijs.org, www.gjepc.org.intl
E-mail:
[email protected];[email protected]
om
14. Handloom Address : All Handloom Products like:
Export Head Office : Fabrics, Home Furnishings,
Promotion Handloom Export Promotion Council Carpets, Floor coverings etc.
Council
34, Cathedral Garden Road,
Nungambakkam,
Chennai-600 034.
Ph:91-022-2827 8879/6043
Fax: 91-044-2827 1761
Website : www.hepcindia.com
E-Mail : [email protected]
112
15. Indian Oilseeds78-79, Bajaj Bhavan Oil seeds and oils, other than de-
& ProduceNariman Point oiled cake, rice bran oil, soya oil,
Export Mumbai-400 021 soya de-oiled cake and the
Promotion Tel:022-22023225/22029295 products other than those dealt by
Council Fax:022-22029236 Shellac & Forest Product Export
Website: www.iopea.org Promotion Council.
16. Indian Silk 62, Mittal Chambers Natural silks and silk Blends and
Export Nariman Point their products including
Promotion Mumbai-400 021 readymade Garments and
Council Tel : 022-22049113 22025866 / 22027662 Carpets.
Fax : 022-22874606
Website : www.silkepc.org
17. Jute Products Chatterjee International, All types of jute, jute blended and
Development 5th floor, Flat 08, jute union products made from jute
and Export 33A, Jawaharlal Nehru Road, fibre, yarn, twine and fabric for
Kolkata-700 001. conventional, technical and new &
Promotion
Ph:033-6500 6816 diversified uses and products
Council - Telefax:033-2288 4418.
(JPDEPC) Website:www.jpdepc.com
E-mail: [email protected]/gkrc08@
gmail.com
Mobile Office:09230616887.
18. Pharmaceutical 101, Aditya Trade Centre - Bulk Drugs and its
s Export Ameerpet intermediates,
Promotion Hyderabad-500 038 - Formulations
- Herbal
Council Tel : 040-23735462/66
- Ayurvedic,
Fax : 040-23735464 - Unani
Website: www.pharmexcil.com - Homeopathic medicines
E-mail: [email protected] - Biotech & biological products
- Diagnostics
- Surgical
- Nutraceuticals & pharma
industry related services
- Collaborative research
- Contract manufacturing
- Clinical trials and consultants
etc
- Pharma related services.
19. Plastics Export Crystal Tower, Crystal Cooperative Housing All plastics products covering
Promotion Society Limited, plastic raw materials: intermediate
Council Gundivali Road products like plastic
No.3, Off M V Road, Andheri (E)Mumbai- Films, sheets etc .plastic
400069 packaging materials including
Tel: 022-26833951-52 Plastic woven sacks/fabrics/bags
Fax: 022-26833953/ 26834057 & Flexible Intermediate Bulk
containers (FIBCs) Plastic
Website:www.plexconcil.org Email:
113
[email protected]; [email protected] Tarpaulins, plastic consumer

items, PVC Leather Cloth/Foam
leather, floor coverings (incl.
Linoleums), Moulded/soft
luggage,FRP/GRP products PVC
Rigid/Flexible,
Pipe fittings, Toys Dolls and
Game, Plastic Electrical
Accessories, Laminates, Fishnets.
Fishing Lines,
Cordage/Ropes/Twines/Yarn/Bristl
es, PVC fabricated goods, PVC
Sheeting/Film, Intraocular Lenses,
Spactacle Frames, Hard Resilene
Lenses, goggles, Poly-Lines Jute
goods, Disposable Syringes,
blood/urine bags I.V. sets, Dental
products and other medical
disposables, Cine X-Ray Films,
Plastic bangles/Imitation Jewellery
and all products made
predominantly of plastic materials
by processing raw materials
through injecton/blow moulding.
Extrusion, calendaring,
fabrications and other processes:
writing instruments and human
hair and products thereof
20. Powerloom GC-2, Ground Floor, Gundecha Onclave Powerloom products

Development & Kherani Road, Andheri (E)
Export Mumbai-400 072
Promotion Tel : 022-67254510, 67254497/98
Council Fax : 022-67254526
Website: www.pdexcil.org
21. Project Exports 123, 1st floor, Behind Shankar Road Market,
Promotion New Delhi-110 060.
Council of India Tel: +91-11-45623100-05
Fax No. +91-11-45623110
Website: www.projectexports.com
22. Services Export Services Export Promotion Council

Promotion Head Office
Council 509-511 and 514-518,
(SEPC) 5th Floor, Apparel House,
Institutional Area, Sector-44,
Gurgaon-122003
Tel: +91-124-2587666-68
114
Fax: +91-124-2587667
Website: www.servicesepc.org
23. Shellac & Vanijya Bhawan

Forest Products International Trade Facilitation Centre
Export 1/1, Wood Street, 2nd Floor,
Promotion Vanijya Bhawan, ITFC,
Council Kolkata-700 016
Tel: 033-22834417
Fax: 033-22834699
Website:www.shellacepc.com
www.shellatrade.com
Email:
[email protected]
24. Sports Goods 1E/6, Swami Ram Tirth Nagar

Export Jhandewalan Extension
Promotion New Delhi-110 055
Council Tel : 011-47761100
(SQEPC) Fax : 011-23632147
Website : www.sportsgoodsindia.org
25. Synthetic & Resham Bhavan

Rayon Textiles 78, Veer Nariman Road
Export Churchgate
Promotion Mumbai-400 020
Council Tel : 022-22048797/22048690/22040168/
22810067/22810068
Fax : 022-22048358/22810091/22810076
Website: www.synthetictextiles.org
www.srtepc.org
E-mail: [email protected]; [email protected]
26. Telecom Telecom Equipment & Services Export

Equipment Promotion Council
and Services Gate No.5, Khurshid
Lal Bhawan, Janpath,
Export
New Delhi-110 001
Promotion Tel:011-2331 4611
Council Fax: 011-2331 4611
(TEPC) E-mail:[email protected]
27. Wool Industry Churchgate Chamber, 7th Floor

Export 5, New Marine Lines
Promotion Mumbai-400 020
Council Tel : 022-22624372
Fax : 022-22624675
115
Website: www.wooltexpro.com
28. Wool & Flat No. 614, Indra Prakash Building,

Woollens 21, Barakhamba Road ,
Export New Delhi -110001
Tel: 011-23315512,23315205
Promotion
Fax: 011-23730182Email:
Council Website: www.wwepcindia.com
Email:[email protected];
[email protected]
29. Coffee Board Post Box No.5366

No.1, Dr Ambedkar Veedhi
Bangalore-560 001
Tel : 080-22266991-94
Fax : 080-22255557
Website: www.indiacoffee.org
30. Coir Board Coir House
M G Road
Kochi-682 016
Tel : 0484-2351807
Fax : 0484-2354397
Website: www.coirboard.gov.in
31. Rubber Board Shastri Road

P B No.1122
Kottayam-686 002
Ph:91-481-2301231
Fax: 91-481-2571380
32. Spices Board Sugandha Bhavan

N H By-Pass, P B No.2277
Palarivattom P.O.
Cochin-682 025
Tel : 0484-2333610-16
Fax : 0484-2331429/2334429
Website: www.indianspices.com
E-mail: [email protected];
[email protected]
33. Tea Board 14, Biplabi Trilokya

Maharaj Sarani
Kolkata-700 001
Tel: 033-22215717/22255134
Fax:033-22215715
116
34. Tobacco Board P B No.322, Grand Unmanufactured Tobacco

Trunk Road,
Guntur-522 004 - Flue cured Virginia
Andhra Pradesh - Light Soil Burley
Tel : 0863-2358399/2358499 - Sun cured country
- Chewing Tobacco
Fax : 0863-2354232
- Bidi Tobacco
Website: www.indiantobacco.com - Cigar Tobacco
www.tobaccoboard.com - HDBRG
Manufactured Tobacco products
- Cigarettes
- Cigars
- Cigarillos
- Beedis
- Cut tobacco
- Chewing tobacco
- Hookah tobacco paste
- Snuff
35. Agricultural and 3rd Floor, NCUI Building 1. Fruits, Vegetable and their
Processed Food 3, Siri Institutional Area products
Products Export August Kranti Marg (Opp. Asiad Village) 2. Meat and meat products
Development New Delhi-110 016 3. Poultry and poultry products
Authority Tel : 011-26513204/23514052/23534191 4. Dairy products
(APEDA) Fax : 011-26534870 5. Confectionary, biscuits and
E-mail: [email protected] bakery products
6. Honey, jiggery and sugar
products
7. Cocoa and its products,
chocolates of all kinds
8. Alcoholic and non-alcoholic
beverages
9. Cereals and cereals products
10. Groundnuts, peanuts and
walnut
11. Pickles, chutneys and papads
12. Guar Gum
13. Floriculture and floriculture
products
14. Herbal and medicinal plants
36. Coconut Coconut Development Board, All coconut products other than
Development P.B.No.1021, those made from coconut husk &
Board Kera Bhavaan, SRVHS Road, fiber
Kochi- 682 011.
Tel: 0484-2375216
Fax: 0484-2377902
Website: www.coconutboard.gov.in
E.mail:[email protected]
117
37. Marine Products P B No.4272, Panampilly Nagar P O Marine Products including all
Export Panampilly Avenue varieties of fishery products known
Development Kochi-682 036 Kerala commercially as shrimp, prawn,
Authority Tel: 0484- 2315 098 lobster, crab, fish, shell-fish, other
(MPEDA) Fax : 0484-2313361 aquatic animals or plants or part
Website: www.mpeda.com thereof.
Email :[email protected]
118
APPENDIX -2U
ELECTRONIC BANK REALISATUION CERTIFICATE
STATEMENT OF BANK REALISATION
1 Firm's Name
2 Address
3 IEC
4 Shipping Bill No/Invoice No
5 Shipping Bill/invoice Date
6 Port of despatch
7 Bank's Name
8 Bank's File no and Upload Date
9 Bill ID no
10 Bank Realisation Certificate No
11 Date of realisation of money by bank
12 Realised value in Foreign Currency
13 Currency of realisation
14 Date & time of printing
About the statement:
This statement is machine generated from the DGFT website. It reproduces the information (as available
on the date and time of printing of this statement) received by DGFT from the bank in secured electronic
mode. This information can be verified by accessing the DGFT website (http://dgft.gov.in).
Note on the realised value:

The Realised value (Item 12 above) is denominated in Foreign Currency and may be in CIF, C&F or
FOB terms as negotiated between exporter and buyer of the goods) and hence it may or may not include
Commission, Freight or Insurance as the case may be. Such details may be obtained from exporters, if
needed. Policy Circular No. 06(RE- 2012) /2009-14 Dated 10.10.2012 of DGFT explains this in detail.
DGFT website: http://dgft.gov.in
119
APPENDIX -2V
AGRI EXPORT ZONES
The following are notified as Agri Export Zones for the products mentioned therein. The Agri Export zone shall
cover the district/Mandals/Blocks/ satellite centres specified in the table below:
S. Product State Districts covered

No.
1 Pineapple West Bengal Darjeeling, Jalpaiguri, Uttar Dinajpur, Cooch Behar,
Howrah
2 Gherkins Karnataka Tumkur, Bangalore Urban, Bangalore Rural, Hassan,
Kolar, Chitradurga, Dharwad and Bagalkot
3 Lychees Uttranchal Udhamsingh Nagar, Dehradun and Nainital
4 Cut Flowers Tamil Nadu Dharmapuri, Krishnagiri
5 Grape & Grapevine Maharashtra Nasik, Sangli, Sholapur, Satara, Ahmednagar
6 Mango Pulp & Fresh Andhra Chitoor
Vegetables Pradesh
7 Pineapple Tripura Kumarghat, Manu, Melaghar, Matabari and Kakraban
Blocks
8 Mangoes Maharashtra Rantagiri, Sindhudurg, Raigarh and Thane
9 Apples Jammu & Srinagar, Baramula, Anantnag, Kupwara, Kathua and
Kashmir Pulwama
10 Potatoes, Onion and Garlic Madhya Malwa, Ujjain, Indore, Dewas, Dhar, Shajapur, Ratlam,
Pradesh Neemuch Mandsaur and Khandwa
11 Cabbage, Broccoli, Okra, Punjab Fatehgarh Sahib, Patiala, Sangrur, Ludhiana and
Peas, Carrot, Baby Corn, Ropar, Abohar, Bhatinda, Muktsar & Hoshiarpur
Green Chillies, Green Beans,
Tomato
12 Potatoes Uttar Agra, Hathras, Farrukhabad, Kannoj, Meerut, Baghpat
Pradesh and Aligarh, Janpad Badaiyun, Rampur, Ghaziabad,
Firozabad & Etawah
13 Mangoes and Vegetables Uttar Lucknow, Unnao, Hardoi, Sitapur and Barabanki
Pradesh
14 Mangoes Uttar Saharanpur, Muzaffarnagar, Bijnaur, Meerut, Baghpat
Pradesh and Bulandshahr, Jyotibafulenagar
15 Potatoes Punjab Singhpura, Zirakpur Distt. Patiala and satellite centres at
Rampura Phul, Muktsar, Ludhiana, Jullundur
16 Kesar mango Maharashtra Aurangabad, Beed,Jalna,Ahmednagar and Latur
17 Flowers Maharashtra Pune, Nasik, Kolhapur and Sangli

18 Walnut Jammu & Baramulla, Anantnag, Pulwama, Budgam,Kupwara,
Kashmir Srinagar, Doda, Poonch, Udhampur, Rajouri and
Kathua
19 Lychee West Bengal Murshidabad, Malda, 24 Pargana(N) and 24 Pargana(S)
20 Lychee & Vegetables Bihar Muzaffarpur, Samastipur, Hajipur, Vaishali, East and
West Champaran, Bhagalpur, Begu Sarai, Khagaria,
Sitamarhi, Saran and Gopalganj
120
21 Mango & Grapes Andhra Rangareddy, Medak, Mehboobnagar

Pradesh
22 Mangoes & Vegetables Gujarat Ahmedabad, Khaida, Anand, Vadodara, Surat, Navsari,
Valsad, Bharuch, Narmada
23 Potatoes West Bengal Hooghly, Burdhwan, Midnapore (W), Midnapore(E),
Uday Narayanpur, Howrah
24 Flowers Uttranchal Dehradun, Pantnagar,udhamsingh Nagar, Nainital and
Uttarakashi
25 Flowers (Orchids)& Cherry Sikkim East Sikkim
Pepper
26 Ginger Sikkim North, East, South & West Sikkim
27 Rose Onion Karnataka Bangalore (Urban), Bangalore (Rural), Kolar
28 Flowers Karnataka Bangalore (Urban), Bangalore (Rural), Kolar, Tumkur,
Kodagu and Belgaum
29 Apples Himachal Shimla, Sirmaur, Kullu, Mandi, Chamba and Kinnaur
Pradesh
30 Basmati Rice Punjab Gurdaspur, Amritsar, Kapurthala, Jalandhar, Hoshiarpur
And Nawanshahar
31 Flowers Tamilnadu Nilgiri
32 Mangoes Andhra Krishna
Pradesh
33 Onion Maharashtra Nasik, Ahmednagar, Pune, Satara, Jalgaon, Solapur
34 Ginger and Turmeric Orissa Kandhamal

35 Vegetables Jharkhand Ranchi, Hazaribagh and Lohardaga
36 Seed Spices Madhya Guna, Mandsaur, Ujjain, Rajgarh, Ratlam, Shajapur and
Pradesh Neemuch
37 Basmati Rice Uttaranchal Udham Singh Nagar, Nainital, Dehradun and Haridwar
38 Mango West Bengal Maldah and Murshidabad

39 Vegetables West Bengal Nadia, Murshidabad and North 24 Parganas
40 Mangoes Tamil Nadu Madurai, Theni, Dindigul, Virudhunagar and Tirunelveli
41 Wheat Madhya Ujjain Zone (Neemuch, Ratlam, Mandsaur and Ujjain), Indore Zone
Pradesh (Indore, Dhar, Shajapur and Dewas) and Bhopal Zone ( Sehore,
Vidisha, Raisen, Hoshangabad, Harda, Narsinghpur and Bhopal) &
Sagar
42 Horticulture Kerala Thrissur, Ernakulam, Kottayam, Alapuzha, Pathanamthitta, Kollam,
Products Thiruvanthapuram, Idukki and Pallakad
43 Fresh and Assam Kamrup, Nalbari, Barpeta, Darrang, Nagaon, Morigaon, Karbi Anglong
Processed and North Cachar
Ginger
44 Basmati Rice Uttar Bareilly, Shahjahanpur, Pilibhit, Rampur, Badaun, Bijnor, Moradabad, JB
Pradesh Phulenagar, Sharanpur, Mujjafarnagar, Meerut, Bulandshahr,
Ghaziabad And Baghpat
45 Medicinal & Uttaranchal Uttarkashi, Chamoli, Pithoragarh, Dehradun And Nainital, Haridwar and
Aromatic Uddamsinghnagar
Plants
121
46. Dehydrated Gujarat Bhavnagar, Surendranagar, Amreli, Rajkot, Junagadh and Jamnagar
onion & Garlic districts
47. Gherkins Andhra Mahboobnagar, Rangareddy, Medak, Karimnagar, Warangal,
Pradesh Ananthapur and Nalgonda
48 Pomegranate Maharashtra Solapur, Sangli, Ahmedabagar, Pune, Nasik, Osmanabad, Satara, Latur
49 Banana Maharashtra Jalgaon, Dhule, Nandurbar, Buldhana, Parbhani, Hindoli, Nanded and
Wardha
50 Oranges Maharashtra Nagpur, Amraoti, Wardha, Buldhana, Yeotmal;, Washin, Yeotmal
51 Lentil and Madhya Shivpuri, Guna, Vidisha, Raisen, Narsinghpura, Chhindwara

Grams Pradesh
52 Oranges & Madhya Chhindwara, Hoshangabad, Betul
Vegetables Pradesh
53 Cashewnut Tamil Nadu Cuddalore, Thanjavur, Pudukottai and Sivaganga
54 Sesame Gujarat Amerali, Bhavnagar, Surendranagar, Rajkot, Jamnagar

seeds
55 Vanila Karnataka Districts of Dakshin Kannada, Uttara Kannada, Udupi, Shimoga,
Kodagu, Chickamagalur
56 Chilli Andhra Guntur District
Pradesh
57 Medicinal Kerala Districts of Wayanand, Mallapuram, Palakkad, Thrissur, Idduki,
Plants Pathanamthitta, Kollam, Thiruvananthapuram and Ernakulam
58 Darjeeling West Bengal Darjeeling
Tea
59 Coriander Rajasthan Kota, Bundi, Baran, Jhalawar and Chittor
60 Cumin Rajasthan Nagaur, Barmer, Jalore, Pali and Jodhpur
122
APPENDIX -2W
FORMAT OF IDENTITY CARD
(To be filled by the licensing authority)
Non Official Photograph
1. Name of the card holder : ...............................................................
2. Designation : ...............................................................
3. Aadhaar Card No. :
4. Name and address of the firm/ : ...............................................................

company
5. Period of validity : ...............................................................
Signature ______________________
Name and address of issuing authority
________________________
________________________
Date of issue ________________
123
APPENDIX- 3A
List of items not allowed for import under Export From India Schemes under Chapter 3, unless otherwise
specified
(Please read para 3.02 of FTP)
Sl.No. Name of the Product

Garlic, Peas and all other Vegetables with a Duty of more than 30% under Chapter 7 of ITC
01
(HS) Classification of Export and Import items.
Coconut, Areca Nut, Oranges, Lemon, Fresh Grapes, Apple and Pears and all other fruits
02 with a Duty of more than 30% under Chapter 8 of ITC (HS) Classification of Export and
Import items.
All Spices with a Duty of more than 30% under Chapter 9 of ITC (HS) Classification of Export
03
and Import items (except Cloves)
Tea, Coffee and Pepper as per Chapter 9 of ITC (HS) Classification of Export and Import
04
items.
05 All Oil Seeds under Chapter 12 of ITC (HS) Classification of Export and Import items.
06 Natural Rubber as per Chapter 40 of ITC (HS) Classification of Export and Import items.
Capital Goods
(i) General-purpose agricultural tractors above 25 HP and upto 75 HP.
(ii) Stationary Diesel Engines.
(iii) Irrigation pumps.
07
(iv) Threshers for cereals.
(v) Combine harvesters suitable only for wheat and paddy crops.
(vi) Animal driven implements.
-----------
124
APPENDIX -3B
List of products and list of markets eligible under Merchandise Exports from India Scheme (MEIS)
(Kindly see Paras 3.03 to 3.06 of FTP and Para 3.01 to 3.03 of HBP and other common procedural features
applicable to MEIS)
(To be notified separately)
Appendix- 3C
(Please read para3.05 of FTP)
List of eligible category under MEIS if exported through using E-commerce platform
Sl no. Category
1 Handicraft Items/Products
2 Handloom Products
3 Books/Periodicals
4 Leather Footwear
5 Toys
6 Customised Fashion Garments*
Notes
1. The MEIS benefits on exports admissible for handicraft /handloom products shall be allowed only if the
export documents show that the items exported are handicraft /handloom products respectively.
.
2. In case of any doubt about a product being a handicraft product, a certificate from Development
Commissioner (Handicraft) shall be required.
3* Customised Fashion Garments are garments that are made on specific request/order of customer and
accordingly tailored/manufactured.
125
APPENDIX- 3D
List of Services eligible under Service Exports from India Scheme (SEIS)
(Kindly see para 3.07 to 3.12 of FTP and Para 3.04 of HBPand other common procedural features applicable to
SEIS)
APPENDIX -3E
(Please read para 3.08 of FTP)
List of services where payment has been received in Indian rupees which can be treated as receipt in Deemed
Foreign Exchange as per guidelines of Reserve Bank of India
126
APPENDIX- 4A
JURISDICTION OF REGIONAL AUTHORITY AND REGIONAL AUTHORITY COMPETENT TO
ISSUE NOMINATED AGENCY CERTIFICATE UNDER SCHEMES FOR GEMS AND JEWELLERY
SECTOR
(Please see paragraph 4.41 of FTP and 4.58 of HBP)
REGIONAL AUTHORITY COMPETENT TO JURISDICTION

ISSUE NOMINATED AGENCY CERTIFICATE
i) The Addl. DGFT, Mumbai. Districts falling under the jurisdiction of Jt.DGFT,
Mumbai, Pune, Bhopal, Goa and Dy.DGFT, Raipur as
given in Appendix 1A.
ii) The Addl. DGFT, Kolkata. Districts falling under the jurisdiction of Jt. DGFT,
Kolkata, Guwahati, Patna and Shillong as given in
Appendix 1A.
iii) The Addl. DGFT, Chennai Districts falling under the jurisdiction of Jt.DGFT,
Chennai, Coimbatore, Madurai and Pondicherry as
given in Appendix 1A.
iv) The Addl. DGFT (CLA), Delhi. Districts falling under the jurisdiction of Jt. DGFT,
(CLA) New Delhi, Kanpur, Ludhiana, Moradabad,
Varanasi, Amritsar, Chandigarh, Panipat, Jammu and
Dy.DGFT, Dehradun as given in Appendix 1A.
v) Jt. DGFT, Jaipur. Districts falling under the jurisdiction of Jt.DGFT,
Jaipur as given in Appendix 1A.
vi) Jt. DGFT, Bangalore. Districts falling under the jurisdiction of Jt. DGFT,
Bangalore as given in Appendix 1A.
vii) Jt. DGFT, Kochi Districts falling under the jurisdiction of Jt.DGFT,
Kochi as given in Appendix 1A.
viii) Jt. DGFT, Ahmedabad. Districts falling under the jurisdiction of Jt. DGFT,
Ahmedabad, Baroda, Rajkot, as well as Development
Commissioner, KFTZ as given in Appendix 1A.
ix) Jt. DGFT, Hyderabad Districts falling under the jurisdiction of Jt.DGFT,
Hyderabad, Visakhapatnam as given in Appendix 1A.
x) Jt.DGFT, Surat Districts falling under the jurisdiction of Jt.DGFT,

Surat as given in Appendix 1A.
xi) Jt.DGFT, Cuttack Districts falling under the jurisdiction of Jt.DGFT,

Cuttack as given in Appendix 1A.
xii) Jt.DGFT, Thiruvanathapuram Districts falling under the jurisdiction of Jt.DGFT,

Thiruvananthapuram as given in Appendix 1A.
127
APPENDIX 4B
LIST OF NOMINATED AGENCIES
A. NAMES AND ADDRESSES OF BANKS AUTHORISED BY RESERVE BANK OF INDIA FOR IMPORT OF
PRECIOUS METALS
1 Allahabad Bank 2 Axis Bank Ltd.

The Chairman and Managing Director Allahabad Bank The Managing Director & CEO Axis Bank
Head Office 2, NetajiSubhas Road Kolkata700 001 Central Office Maker Towers 'F', 13th floor
Cuffe Parade, Colaba Mumbai - 400 005
3 Bank of Baroda 4 Bank of India
The Chairman & Managing Director, The Chairman & Managing Director
Bank of Baroda, Bank of India
Baroda Corporate Centre, C26, G Block, Head Office Express Towers-14th Floor,
BandraKurla Complex, Mumbai - 400 051 Nariman Point, Mumbai 400021
5 Bank of Nova Scotia 6 Canara Bank
Vice President & Country Head Bank of Nova Scotia The Chairman & Managing Director
Mittal Tower "B" Wing Nariman Point Canara Bank, H.O., 112, J.C. Road, Bangalore
Mumbai - 400 021 560 002
7 Corporation Bank 8 Andhra Bank
The Chairman & Managing Director The Chairman and Managing Director
Corporation Bank Andhra Bank Head Office Dr. PattabhiBhavan
Head Office Mangaladevi Temple Road Pandeshwar 5-9-11, Saifabad Hyderabad-500 004
Mangalore - 575 001
9 The Federal Bank Ltd. 10 The HDFC Bank Ltd
The Managing Director & CEO The General Manager,
Federal Bank Ltd. Federal Towers, Head Office HDFC Bank Ltd.
Aluva - 683 101 Kerala Kamala Mills Compound SenapatiBapatMarg,
Lower Parel, Mumbai 400 013
11 ICICI Bank Ltd. 12 Indian Bank
The Managing Director & CEO The Chairman & Managing Director
ICICI Bank Ltd. Indian Bank,
ICICI Bank Towers, BandraKurla Complex Post Box No.1384, Head Office, 66, RajajiSalai,
Mumbai 400 051 Chennai 600101
13 IndusInd Bank Ltd. 14 Indian Overseas Bank
The Managing Director The Chairman & Managing Director
IndusInd Bank Indian Overseas Bank
Corporate Office, Solitaire Corporate Park, 167, Guru Central Office, P.B.No.3765, 763, Anna Salai,
HargovindjiMarg, Andheri East., Chennai 600 002
Mumbai 400 093
15 Kotak Mahindra Bank Ltd. 16 Oriental Bank of Commerce
The Executive Vice Chairman & Managing Director The Chairman & Managing Director
Kotak Mahindra Bank Ltd., Oriental Bank of Commerce,
Bakhtawar,2nd Floor, 229, Nariman Point, International Banking Division, F-14, IVth Floor,
Mumbai 400021 Competent House, Connaught Place, New
Delhi 110 001
128
17 Punjab National Bank 18 State Bank of India *

The Chairman & Managing Director The Chairman State Bank of India
Punjab National Bank Head Office, Precious Metals Department Corporate Centre,
International Banking Division 7, Bhikaji Kama Place 12th floor, Madam Cama Road Mumbai - 400
New Delhi 110 066 021
19 Syndicate Bank 20 Union Bank of India

The Chairman & Managing Director, The Chairman & Managing Director
Syndicate Bank, Union Bank of India
International Division, Head Office, Manipal-576119, International Banking Division, Central Office,
Karnataka Union Bank Bhavan, 239, VidhanBhavanMarg,
Nariman Point, Mumbai 400 021
21 Bank of Maharashtra 22 Central Bank of India
The Chairman & Managing Director The Chairman and Managing Director
Bank of Maharashtra Central Bank of India
Head Office Lokmangal 1501, Shivajinagar Corporate Office ChanderMukhiNariman Point
Pune - 411 005 Mumbai 400 021
23 City Union Bank Limited 24 Dhanlaxmi Bank Limited
The Managing Director & Chief Executive Officer City The Managing Director & CEO
Union Bank Limited Dhanlaxmi Bank Ltd.
Central Office 149, T.S.R. (Big) Street Dhanalakshmi Buildings Naickanal, Thrissur
Kumbakonam - 612 001 Kerala 680 001
25 ING Vysya Bank Limited 26 KarurVysya Bank Ltd.
The Managing Director & CEO The General Manager KarurVysya Bank Ltd.
ING Vysya Bank Limited ING Vysya House 22, M.G. Planning and Development Department Central
Road Banglore - 560 001 Office, Erode Road KARUR - 369 002 Tamil
Nadu
27 Punjab & Sind Bank 28 South Indian Bank Limited
The Chairman & Managing Director Punjab & Sind The Managing Director & CEO South Indian
Bank Bank Ltd.
'Bank House', 6th floor 21, Rajendra Place New Delhi Head Office S.I.B. House P.B.No.28
- 110 008 Thrissur 680 001 Kerala
29 Standard Chartered Bank 30 State Bank of Bikaner and Jaipur
The Chief Executive Officer Standard Chartered The Managing Director State Bank of Bikaner
Bank and Jaipur
23-25, Mahatma Gandhi Road Fort Head Office TilakMarg P.B.No.154
Mumbai - 400 001 Jaipur 302 005
31 State Bank of Hyderabad 32 State Bank of Mysore
The Managing Director State Bank of Hyderabad, The General Manager (P&D) State Bank of
Credit Department Head Office Gunfoundry Branch Mysore
Hyderabad - 500 001 Head Office, P.B.No.9727 Mysore Bank Circle
Kempegowda Road
Bangalore - 560 009
33 State Bank of Patiala 34 State Bank of Travancore
The Managing Director State Bank of Patiala The Managing Director State Bank of
International Banking Head Office, Mall Patiala Travancore
Head Office P.B.No.2704 Poojappura
Thiruvananthapuram -695 012
129
35 Yes Bank Limited 36 Dena Bank

The Managing Director & Chief Executive Officer Yes The Chairman
Bank Limited Dena Corporate Centre, C-10, G -Block,
Nehru Centre 9th Floor Discovery of India Dr. A.B. Bandra - Kurla Complex
Road, Worli Mumbai - 400 018 Bandra (E), Mumbai - 400 051
* LIST OF BRANCHES OF STATE BANK OF INDIA
Sl Name of the Branch Sl No Name of the Branch

No
1. A K Road New Delhi 2. Ahmedabad
2704/16, Bank Street, Karol Bagh, New delhi Main Branch, Ahmedabad - 380 001 (Gujarat)
M.No. 9871952882 M.No. 7600042014
PH. No. 011-257848829 PH. No. 079-2558675
Fax No. 011-25784829 Fax No. 079-25508305
E-mail No. [email protected] E-mail No. [email protected]
3. Ambala City 4. Amritsar SCB
Ambala City, Ambala (Haryana) S C O # 5, Dist. Shopping C'lex, B Block,
M.No. 9729242903 Ranjeet Avenue, Amritsar - 143 001 (Punjab)
PH. No. 0171-2530505 M.No. 9876021025
Fax No. 0171-2530911 PH. No. 0183-5094903
E-mail No. [email protected] Fax No. 0183-2507562
E-mail No. [email protected]
5. Bangalore Main 6. Bangalore O B
PB NO.5310, State Bank Road, # 65, St Marks Rd, Bangalore - 560 001
Bangalore - 560 001 (Karnataka) (Karnataka)
M.No. 9448993831 M.No. 9845539280
PH. No. 080-25943310 PH. No. 080-25943453
Fax No. 080-22213821 Fax No. 080-25943415
7. Baroda Main 8. Bullion Branch Mumbai
Post Box no 94, Mandvi, Baroda 390017 Jewel Building, Lower Ground Floor, Kalba Devi
(Gujarat) Road, Mumbai - 400 002 (Maharashtra)
M.No. 7600037206 M.No. 9820286735
PH. No. 0265-2566914 PH. No. 022-22424170
Fax No. 0265-2580416 Fax No. 022-22424172
9. Chandigarh SME 10. Chandnichowk
SCO 43-48, 3rd floor, Sector 17-B, Chandigarh - Chandnichowk, Delhi - 110 006
160 017 M.No. 9910300043
M.No. 9779664830 PH. No. 011-66166065
PH. No. 0172-4603329 Fax No. 011-23862977
Fax No. 0172-4603345 E-mail No. [email protected]
11. Chennai O B 12. Coimbatore
86, RajajiSalai, Chennai - 600 001 (T.N) State Bank Rd., Coimbatore, - 641 018 (TN)
130
M.No. 9445860184 M.No. 9442645310

PH. No. 044-25255741 PH. No. 0422-2302164
Fax No. 044-25255745 Fax No. 0422-2300181
13. Cuttack 14. Dehradun
Collectorate Compound, Cuttack - 753 002 4 Convent Road, Dehradun 248001
(Orissa) (Uttaranchal)
M.No. 9437062391 M.No. 9456594115 & 9897077631
PH. No. PH. No. 0135-2656351 & 0135-2714055
Fax No. 0671-2368129 Fax No. 0135-2657179/2714054
15. Ernakulam 16. Guntur
KTDC Bldg.,Shanmugham Rd.,Ernakulam, Kochi - Commercial Network, KannavariThota, Guntur-
682 011 (Kerala) 522004 (A.P)
M.No. 9447788769 M.No. 9848308408
PH. No. 0484-2380184 PH. No. 0863-2354097
Fax No. 0484-2370241 Fax No.
17. Hyderabad C B 18. Hyderabad Main

Bank street, Koti, Hyderabad - 500 095 (A.P) Bank street, Koti, Hyderabad - 500 095 (A.P)
M.No. 9849662787 M.No. 9949096203
PH. No. 040-24755933 PH. No. 040-23466730
Fax No. 040-24757627 Fax No. 040-24756497
19. Indore CB 20. Indore Main
Near GPO, AB Road, Indore 452001 (M.P) Indore 452001 (M.P)
M.No. 9425400845 M.No. 9425322145
PH. No. 0731-2707616 PH. No. 0731-4298500
Fax No. 0731-2707301 Fax No. 0731-2700441
E-mail [email protected] E-mail [email protected]
21. Jaipur Main 22. Jalandhar Main
Main Branch, Sanganeri Gate, Civil lines, Jalandhar - 144 001 (Punjab)
Jaipur - 302001 M.No. 9417659221
M.No. 9950999102 PH. No. 0181-5081295
PH. No. 0141-2565421 Fax No. 0181-2224544
Fax No. 0141-2564597 E-mail No. [email protected]
E-mail [email protected]
23. Kanpur Main 24. Kanpur O B
Mall Road, Kanpur (U.P) 15/54 -B, VirendraSmruticlex, Civil lines,
M.No. 9897054373 Kanpur - 208 001 (U.P)
PH. No. 0512-2306002 M.No. 9457855233
Fax No. 0512-2303078 PH. No.
E-mail [email protected] Fax No. 0512-2304474
25. Kolkata O B 26. Kollam
SamriddhiBhavan, Block-A, 1 Strand Rd, PB NO. 24, Kollam - 691001 (Kerala)
Kolkata - 700 001 M.No. 9447700033
131
M.No. 9674719794 PH. No. 0474-741421

PH. No. 033-22437601 Fax No. 0474-741421
Fax No. 033-22437601 E-mail [email protected]
27. Lucknow SME 28. Ludhiana SCB
Main Branch, MahalMarg, Deol Complex, Civil lines,
Lucknow - 226001 (U.P) Ludhiana - 141 001 (Punjab)
M.No. 9415409612 M.No. 9855021866
PH. No. 0522-3297781 PH. No.
Fax No. 0522-2234136 Fax No. 0161-2421550
E-mail [email protected] E-mail No. [email protected]
29. Madurai 30. MIDC Jalgoan
Sangam Towers, 7-A, WestVeli Street, Madurai - JALCOAN MIDC area, Ajanta Road, Plot
625 001 (T.N) No.P7/2, JalgoanKhandesh- 425003
M.No. 9445863619 (Maharashtra)
PH. No. 0452-2342123 M.No. 9673000672
Fax No. 0452-2340967 PH. No. 0257-2211499
31. Mukandpalli 32. Nellore Town
310, SIPCOT staff Housing Colony, Railway Feeders Rd., Near Rly Station.,
Mookandpalli 635126 Dist. Hosur (T.N) Nellore (A.P)
M.No. 9442508993 M.No. 9966001200
PH. No. 04344-277243 PH. No.
Fax No. Fax No. 0861-2344166p
33. Patiala 34. Patna Main
ChotiBaradari, Patiala 147001 (Punjab) West Gandhi Maidan, Patna 800001 (Bihar)
M.No. 9779910568 M.No. 9934588825
PH. No. 0175-2210568 PH. No. 0612-2223085
Fax No. Fax No.
35. Raipur Main 36. Ranchi Main

P B No 29/61, Raipur 492001 (Chhattisgarh) Court Compound, Ranchi 834001
M.No. 9826143974 (Jharkhand)
PH. No. M.No. 9431108608
Fax No. 0771-2533509 PH. No. 0651-2208437
37. Seepz, Mumbai 38. Surat
New Bank Building, Behind SEEPZ Ser. Centre, Chowk Bazar Surat 395001 (Gujarat)
Mumbai - 400 096. M.No. 7600039114
M.No. 9820299937 PH. No. 0261-2462709
PH. No. 28292070 Fax No. 0261-23238945
Fax No. 28290266 E-mail [email protected]
39. Thrissur 40. Tiruchirapalli
132
Dharmodayam bldg., Round east, Mc Donald's Road, Cantonment,

Thissur, - 680 001 (Kerala) Tiruchirapalli 620001 (T.N)
M.No. 9447788858 M.No. 9445862391
PH. No. 0487-2320232 PH. No. 0431-2417178
Fax No. 0487-2331471 Fax No. 0431-2414525
41. Trivandrum 42. Varanasi SCB
M G Road, Trivandrum 695001 (Kerala) Chandra Chamber, Ist Floor, Club Road
M.No. 9447778710 Varanasi (U.P)
PH. No. 0471-2460624 M.No. 9415303870
Fax No. PH. No. 0542-2284504
43. Vijayawada 44. Visakhapatnam
Main branch, BRP Road., Main branch, Rednam Gardens, Jail Rd
Vijayawada - 520 001 (A.P) Junction, Visakhapatnam - 530 002 (A.P)
M.No. 9849656823 M.No. 9948999012
PH. No. 0866-2426169 PH. No. 0891-2731843
Fax No. 0866-2425240 Fax No. 0891-8562864
B. LIST OF NOMINATED AGENCIES UNDER FTP
I. MMTC Ltd
1 MMTC Ltd 2 Deputy General Manager
General Manager MMTC Ltd
JhandewalanJewellery Complex, B1, SDF, NEPZ, Noida - Dadri Road, Noida - 201305
F-8-11 Flatted Factory Complex, U.P.
Rani Jhansi Road, New Delhi110055 TEL : 0120-24567047, 24568462,
Tel.:011-23623950, 23623952, FAX-23633175, FAX - 0120-2562009
23681369 E-mail : [email protected]
3 General Manager 4 General Manager,

MMTC Ltd MMTC Ltd
Arihant Towers-II, Opp. Sanganeri Gate, 2, Nagindas Chambers, Usmanpura, Ashram Road,
Telephone Exchange, Agra Road, Ahmedabad4
Jaipur 302003 EPABX : 079-7542348, 7543796, 9540643;
Tel.: 0141 - 2601882, 2617754, 2601386, Fax : 079-7543739
2619859 FAX - 2618294 E-mail : [email protected]
5 General Manager 6 Deputy General Manager,
MMTC Ltd MMTC Ltd
MMTC House, Plot No.C-22, Bandra-Kurla Colaco Building, Swatantra Path, Vasco-da-
Complex, Block-E, Bandra (East), Gama,Goa-403802
Mumbai 400051 EPABX 0832-512411, 512521, 5413850, FAX -
Tel.: 022-26572437, FAX :022-26572541 513283, 517089
E-mail : [email protected] E-mail : [email protected]
133

7 General Manager 8 General Manager
MMTC Ltd MMTC Ltd
Ground Floor, ShikshakSadan, Kempengowda 10-2-1, 1st floor, APFDC Complex, A.C. Guards,
Road, Hyderabad 550028
Bangalore 560002 EPABX - 040-3394924, 3376900, 3394960, FAX -
Tel. : 080-2290745, 2228015, 2244605 FAX - 3394923
2272043 E-mail: [email protected]
9 General Manager 10 General Manager

MMTC Ltd MMTC Ltd
South Zone Office, 6, Chennai House, MMTC Bhavan, Port Area, Visakhapatnam 530035
Esplanade, Chennai 600108 (Andhra Pradesh)
Tel. : -044-25340831, FAX-044-25340317, EPABX 0891 - 2562356 - 2562359, 2562771 FAX -
25340844 0891-2561761
E-mail : [email protected] E-mail : [email protected]
11 General Manager 12 Deputy General Manager

MMTC Ltd MMTC Ltd
NIC Building, 4th& 5th Floor, 8 India Exchange Gems &Jewellery Complex No.1
Place, Kolkata-700001 SEEPZ, Andheri(East), Mumbai 400096
Tel : 033-22103451, 22103455, FAX : 033- Phone 28291768
22421292 Fax 28290861
II. THE HANDICRAFT AND HANDLOOMS EXPORTS CORPORATION OF INDIA LTD

REGISTERED OFFICE CORPORATE OFFICE
The HHEC of India Ltd. The HHEC of India Limited
JawaharVyaparBhawanAnnexe, Noida Complex A-2, Sector-2, UdyogMarg,
1, TolostyMarg, New Delhi-110001 Noida- 201301 (U.P.)
Phone : 011- 23701086 Phone : 0120-2539155,2539156
Fax : 011- 23701051 Fax : 91-0120-2537003
Cable : INDICACARFT E-mail : [email protected]
[email protected], www.hhecworld.com Website : www.hhecworld.com
CHENNAI REGIONAL OFFICE KOLKATA REGIONAL OFFICE
The HHEC of India Ltd. The HHEC of India Ltd.
76, Greams Road, 15- N, Nellie SenguptaSarani
Thousandlights, Chennai- 600006 Lindsay Street, 6th Floor,
Phone : 044-28295609, 28294618 New Market Complex, Phase- I
Fax : 044-28294610 Kolkata 700087
E-mail : [email protected] Phone : 033-22521360, 22526863
Website : www.hhecworld.com Fax : 033-22526864
Cable : CRAFT CORPN
MUMBAI REGIONAL OFFICE AHMEDABAD REGIONAL OFFICE
The HHEC of India Ltd. The HHEC of India Ltd.
134
11th Floor, Nirmail Building, Nariman Point, 212, Chitrarath Complex, Opp. Municipal Market, Near
Mumbai- 400021 President Hotel, C.G. Road,
Phone : 022-22020368 Ahmedabad 380009 ( Gujarat)
022-22882098 Telefax : 079-26461649
Fax : 022-22024312 Email : [email protected]
Cable : Handevcor Website : www.hhecworld.com
Website : www.hhecworld.com
III. PEC LIMITED

HANSALAYA, 13th Floor, 15-Barakhamba Road,
New Delhi - 110 001, India
Phone : 011-23322268, 23316372,
Fax : 011-23315279, 23314797
Website : http://www.peclimited.com,E-mail : [email protected]
IV. STCL LIMITED

166/2, 13th Main Road,
Vasanthanagar,
Bangalore-560052
V. MSTC Ltd.
225-C, AcharyaJagdish Chandra Bose Road,
Kolkata-700020.
VI. (a) DIAMOND INDIA LIMITED

306-307, Modi Chambers, French Bridge,
Opera House,
Mumbai-400004
(b) DIAMOND INDIA LIMITED

6-1950, DalaglanaMahollo, 1st Floor, Near R.T. Apartment, Mahidharpura,
Surat, Gujarat.
135
APPENDIX- 4C
VALUE ADDITION NORMS FOR EXPORTS FOR WHICH PAYMENTS ARE
NOT IN FREELY CONVERTIBLE CURRENCY
1. The trade with all erstwhile Rupee Payment Area (RPA) countries has since been switched over
to payment in freely convertible currency except
(i) for exports from India against liquidation of Rupee balances to the credit of erstwhile
RPA countries; and for exports to the Russian Federation against funds available in
the special Rupee Accounts in the names of Russian entities.
(ii) For exports to the Russian Federation against India's repayment of State credits
granted by the former USSR.
2. The following value addition norms shall be applicable for exports to erstwhile Rupee Payment
Area countries:-
(a) For the trade taking place in freely convertible Currency, the value addition norms will be the
same as applicable to exports to GCA countries:
(b) For the exports from India against liquidation of rupee balances to the credit of erstwhile RPA
countries, the value addition norms shall be 33% or the percentage of value addition indicated
in the Handbook of Procedures, whichever is higher.
(c) For exports to the Russian Federation against India's repayments of State credits granted by
the former USSR, the value addition norms shall be 33% or the percentage of value addition
indicated in the Handbook of Procedures whichever is higher.
(d) For exports to the Russian Federation against funds available against Special Rupee
Accounts in the name of Russian Entities, the value addition norms in cases involving duty
free imports under the Duty Exemption/ Remission Scheme shall be 33% or the percentage of
value addition indicated in the Hand Book of Procedures, whichever is higher.
3. In respect of the exports indicated at sub-paragraphs (b),(c) and (d) above, following further
relaxations shall be applicable:-
(i) The provisions of Paragraph 2.52 of the Foreign Trade Policy shall stand relaxed to the extent
that export contracts and invoices shall be determined in non-convertible Indian Rupees; and
(ii) The provisions of Paragraph 9.01(a) of the Handbook of Procedures shall stand relaxed to the
extent that imposition and discharge of export obligation on the Advance Authorisation, if
availed under the Duty Exemption Scheme on such exports, shall be indicated in non-
convertible Indian Rupees.
4. In case of exports to Iran in Indian Rupees, minimum value addition to be achieved will be 15%. This
will also apply to exports of jewellery to Iran in Indian rupees and value addition mentioned in Para
4.61 of HBP will not be applicable in such cases.
136
APPENDIX-4D
VALUE ADDITION NORMS (BELOW 15%) FOR SPECIFIC PRODUCT(S) UNDER ADVANCE
AUTHORIZATION SCHEME UNDER PARAGRAPH 4.09 OF FTP (2015-20)
S. No. Export Product Minimum Value addition

1. Copper Anode / Copper Cathode / Copper Wire Rods 8%
(Manufactured from Copper concentrate)
2. Petroleum product(s) covered under SION Sl. No. A- 8%

2688, A-2689 and A-2690 of the product Group
Chemicals & Allied Products i.e.:
(i) Light Ends (LE) viz., Naphtha, Motor Spirit,

Gasoline, Solvents, Reformate, Hexane, TAME,
excluding C3, C4 Hydrocarbons and mixtures thereof;
(ii) Middle Distlliates (MD) viz., ATF, SKO, HSD, Gas

Oil, MTO, LABFS, AROMEX, JBO, LDO, VGO,
Solvents; and
(iii) Heavy Ends (HE) viz. FO, Furnace Oil, Fuel Oil,
LSHS, HPS, Puch, Asphalt, Petroleum Bitumen, Raw
Petroleum Coke &CalcinedPeroleum Coke, Slack
Wax, Paraffin Wax, Microcrystalline Wax, CBFS,
RPO, Sulphur.
(Excluding lubricating oils and petrochemical

products like Benzene, Toluene, MTBE etc.)
137
APPENDIX- 4E
TECHNICAL DETAILS &DATA SHEET FOR ADVANCE AUTHORISATION APPLICATION ON SELF
DECLARATION UNDER PARA 4.04 & 4.07) OF HBP.
1. Details of Items required for manufacture of one Unit of Export Product:
A. Imported Inputs
S Required import item Quantity UOM Purpose of Wastage Name of the
No Description Technic ITC(HS) required requirement Claimed country from
Raw Comp al Code for each (%age) on where
mate onent Charact of export net content imported
rial s eristics product basis / yield,
if applicable
B. Indigenous Inputs
Sl. Required indigenous item Quantity UOM Purpose of Wastage Claimed
No Description Technical ITC(HS) required requirement (%age) on net
Characteristics Code for each content basis/
Raw Components unit of yield, if applicable
material export
product
2. Production and consumption data of the manufacturer/supporting manufacturer (of preceding three financial
years duly certified by the Chartered Accountant/Cost Accountant/ Jurisdictional Central Excise Authority*). (*In
case there is no past production, the Jurisdictional Central Excise Authority shall certify the production and
consumption data on the basis of production batch sheets and for this purpose the firm shall maintain separate
record of batch data for inputs consumed in the manufacture of the export product.
Year Total production in UOM Quantity of different Items Quantity

each of the consumed consumed/unit
resultant product production
by weight
3. Particulars of the authorisations obtained in the past and ratified by Norms Committee (NC) for the same
export product covered under this application in the latest three years.
S.No. Authorisation Description of Description of Import item qty Import item qty NC meeting
No & Date export product import items per unit of each per unit of No & Date &
138

export product each export Case No.
(as applied for) product (as when
approved by approved
NC while
ratifying
licence)
4. FOB value of exports in the CIF value of authorisations already Balance entitlement as per
preceding financial years obtained under paragraph 4.07 of paragraph 4.12 of HBP
HBP
CHARTERED ENGINEER CERTIFICATE
I have examined the applicant company's import requirements of raw materials, components etc with
regard to their technical description/ specification and the quantity against each item of import and having
regard to proper technical norms of consumption and after technical scrutiny of relevant designs and
drawings, I hereby certify that they are correct in all respects and are actually required for the execution of
the export/supply contracts for ......................... The list of Items covers
pages and contains items for a total value of Rs. (in free foreign exchange )
Signature of the Applicant or

Chartered Engineer or both..................................
Name in Block letters................
Designation...............................
Address....................................
Place: .............
Date: ..............
139
Technical Details
Please furnish technical details, as applicable:
(I) CHEMICALS PRODUCTS, DRUGS AND PHARMACEUTICALS

a) Step-wise Manufacturing Process.
b) Complete Chemical reactions with molecular and structural formula and molecular weights
along with stage-wise % yields on molar basis.
c) Material balance (Stoichiometric Balance Details) for the entire manufacturing process.
d) Requirement and recovery of solvents used in the entire manufacturing process at each
step.
e) Authentic technical literature/catalogue in support of percentage yield claimed in the entire
manufacturing process.
f) Details of by-product/co-products formed in the above process with their quantities and
values
g) Details of solvents charged, recovered and consumed in each step of the manufacturing
process in terms of quantity.
h) Collaborators guaranteed norms, if any.
i) Percentage purity of finished product and raw materials and percentage of any
diluent/moisture etc. in the export product.
j) End use of the chemical intermediates being exported. In case of the drug intermediate, the
name of the bulk drug where the same is to be used should be indicated.
k) Copy of the valid drug manufacturing licence, wherever applicable.
l) Standard technical literature pertaining to the process as well as yields in case of new drug
molecules being exported. This technical material can be by way of standard references
Chemical Abstracts, Journal of Organic Chemistry and the like or copy of the relevant
patent.
m) Pharmaceutical references whether the export product is of USP, BP etc.
(II) ENGINEERING PRODUCTS
a) Catalogue / Engineering Drawing of each export product, Model number, technical

specification and specific quantity-both in terms of number (if any) and/or weight, of each
export product
b) Detailed technical Note on manufacturing process, material balancing, cross sectional
diagrams for cables.
IMPORT ITEMS
A. COMPONENTS
a) Technical characteristics/part numbers, if any.

b) Assembly drawings/diagrams of the resultant product showing placement of components.
c) Usage of the components.
d) Weight of the components
e) Bifurcated quantities of components to be accounted for in the resultant product and the
requirement of components as spares.
B. RAWMATERIALS/ CONSUMABLES
a) Grade /composition/ range/ thickness etc.

b) Detailed calculation for the quantity of each raw material, engineering drawings and net
weight of each item to be fabricated/manufactured from the said raw material.
140
c) Stage wise wastage details on the net content in the resultant product with complete
justification thereof.
(III) TEXTILE PRODUCTS
a) Detailed computer aided drawings of the items of manufacture i.e. export product.
b) Justification for wastages claimed in regard to the items to be imported.
c) Justification for import of particular grade / specification / dimension etc. of the raw material
applied.
d) Processing flow charts, along with stage wise wastage.
e) Calculation sheet and measurement of Export Product.
(IV) PLASTIC/ RUBBER PRODUCTS
a) Technical descriptions/specifications, percentage composition (by weight) including size,

thickness and weight range of plastic/rubber etc. of the products to be exported along with
small samples of export product.
a) Detailed manufacturing process along with technical justification for wastages claimed at
each stage and each of the materials required in the manufacturing process.
c) Chemical name, Technical specifications of items proposed to be imported.
d) Whether the scrap generated in the process is being reused or not. If not the technical
justification for its non-use may be furnished. If the scrap is being sold, the sale
value/commercial value may be indicated.
e) Percentage of rubber compound in the export product.
f) Material balance indicating calculative statement of the requirement of each of item for
manufacture of each of export product.
(V) PESTICIDES
a) Manufacturing process for pesticides for both technical grade as well as formulation, as the
case may be.
b) Detailed chemical reactions and material balance along with molecular weight of the
reactants, % yield and wastages at different stages of manufacturing process supported by
authentic/printed technical literature.
c) Details of by-products, if any, formed during the reaction along with its recovery in terms of
quantity and value.
d) Percentage purity of finished product and raw materials and percentage of any
diluent/moistureetc. in the export product.
e) Registration Certificate issued from Central Insecticides Board for the manufacture of
pesticides (technical grade) and also pesticides formulations.
(VI)PAINTS/ SURFACE COATINGS/ PRINTING INKS
a) Percentage solid resin / non volatile content in the export product.

b) Percentage pigment content in the export product.
(VII) DYES & DYE INTERMEDIATES
a) Manufacturing process, material balance and flow chart.

b) Balanced chemical reaction showing all the reactants, product and by-products(s) with their
molecular formulas and molecular weights.
c) Stage-wise % yield in respect of each reactant along with justification.
d) Authentic/ printed technical literature in support of yield or quantity of items applied for import.
e) Details of solvents charged during the process, quantity recovered and loss in process and
recovery.
141
f) Details of byproducts formed during the process and their recovery in terms of quantity and value.
g) Details of standardization and %dye content of export item.
h) Colour Index No. and Hue No. of Dyes
(VIII) PAPERANDPAPER PRODUCTS
a) GSM of item of export/ import

b) Coating composition in case of coated paper and percentage coating weight in the export
product.
ix) Food Products:-
a) Detailed manufacturing process along with technical justification for each raw materials and
wastages claimed at each stage of manufacturing process.
b) Technical description/specification, percentage composition (by weight) of the each product to be

exported.
c) Chemical/technical name of colouring and flavouring materials, spices, condiments and other
ingredients required and justification for use of each colour/flavour and also justification for the
quantity required.
d) Process flow chart with material balance indicating calculative statement of the requirement of
each of the items for the manufacture of each of the export product.
e) Details of indigenous raw materials and its quantity used for manufacture of each export product.
f) By-products generated/ wastage generated during manufacturing/processing of the final product.

Value of by product generated.
142
APPENDIX -4F
REPLENISHMENT FOR GEM & JEWELLERY
S. No. EXPORT PRODUCT REPLENI IMPORT ITEM

SHMENT
RATE
(%AGE
OF FOB)
1. Polished, Processed Pearls (Real or Cultured) 65 1 Real or Cultured Pearls

Unset/ Undrilled
2.1 Cut & Polished Emeralds/ Rubies/ Sapphir (with 80 1. Emeralds Uncut and Unset
per carat realisation of US$ 350 and upto US$ 2. Rubies Uncut andUnset
600FOB) 3. SapphiresUncut and Unset
4. Precious stones unset including
in tumbled/ broken/ sliced/
damaged form
2.2 Cut & Polished precious stones and semi- 60 1. Precious or semi- precious
(I) preciousstones including cut and polishedsemi- stones unset& uncut
precious stones from tumbled/ broken/ sliced/ 2. Rough semi- precious stones in
damaged rough semi-precious stones, not tumbled/ broken/ sliced/ damaged
covered by S.No. 2.1 of less than US$350 per form.
carat FOB
(II) 65
Cut & Polished Coral 1. Coral unprepared, or coral
sticks not cut to any shape or
(iii) 90 size.
Cut & Polished precious stones (when per carat
FOB 1. Emeralds Uncut and Unset
is more than US$ 600) 2. Rubies Uncut andUnset
3. SapphiresUncut and Unset
4. Precious stones unset including
damaged form
2.3 Cut & Polished Onyx 50 1 Sliced Onyx.

3. Jewellery containing palladium and studded/ 65 1 Diamonds Uncut and 50
strung with diamonds, Precious or semi-precious Unset
stones, real or cultured pearls, synthetic/ imitation 2 Precious or Semi- precious
stones provided the value of synthetic/imitation stones uncut and unset
stones does notexceed 10% of the FOB value of 3 Real or CulturedPearls unset/
Jewellery excluding the value of metal undrilled
4 Rough Semi- precious stones
damaged form5 Empty
JewelleryBoxes (1 %)
4. Cut or Polished synthetic stones 50 1 Rough synthetic stones

2 cubic zirconia
5.1 ImitationJewellery/ costumejewellery studded or 30 1 Glass beads, false

strung with synthetic imitation stones/ plastic pearls&glass chatons/ glass
beads, wooden beads, glass beads, false chatons in stock lots.
143

pearls,glass chatons etc. 2 Rough synthetic stones
3 Metal fittings, findings,
components& accessories
required for imitation jewellery.
4 Cubic zirconia.
5 Empty JewelleryBoxes (1 %)
5.2 Imitation Jewellery/ costume Jewellery plain 10 1 Metal fittings, findings

(other than those specified under S.No. 5.1). components& accessories
required for imitation jewellery.
5.3 Silver Filigree and Silver Filigree Jewellery 10 1 Metal Fittings

5.4 Jewellery made of palladium and studded with 30 1. Glass Beads, False
synthetic/ imitation glass, stones, chatons, beads, pearls&glass chatons/
false pearls, etc. with or without diamonds, glasschatons in stock lots.
precious stones, semi-precious stones, 1. Rough synthetic stones.
real/cultured pearls. 2. Cubic Zirconia
3. Empty jewelleryBoxes (1 %)
Note (General): Necklaces strung or threaded, with cut and polished precious/ semiprecious stones/
polished and processed pearls will also fall under respective entries of this Appendix and
replenishment allowed accordingly, provided the value of metal fittings, namely, clips,
clasps, pins, hooks etc. is negligible and such value is excluded
Note for S.No.3: (1) Studded/ Strung Jewellery containing SyntheticorImitation stones exceeding10%ofthe
valueofJewelleryexcludingthevalueofmetal,inadditiontotheDiamonds,preciousor semi-
precious stones and/ or Pearls are excluded from the scope of this Export Product
(2) Precious Metal Jewellery as described under Col. 2 will be covered underSl.No.3
provided the value of precious metali.e.Palladium is not less than70% of total value of metal
used therein or studded jewellery containing in whole or in part, metal other than Palladium
and studded/ strung with diamonds, pearls, precious/semi-precious stones will also be
grouped under Sl.No. 3 for the purpose of import replenishment, provided the value of the
studdings/ stringings amount to 90% or above of the total FOB value
(3) For the purposes of determining the FOB value of the studdings in jewellery, namely, the
value of cut and polished diamonds and/or precious and semi-precious stones and/ or
finished pearls as per the declaration of the exporter duly scrutinised and appraised by
customs will be taken into account
(4)Replenishmentofdiamondsuncutandunsetprecious/semi-preciousstones,uncut&unset real
or cultured pearls, unset/ undrilled shall be allowed in proportion to the FOB value content of
diamonds, uncut and unset, precious or semi-precious stones unset and uncut and real or
cultured pearls unset/ undrilled respectively used, as contained in the exported product, as
declared by the exporter and duly attested by the customs in the invoice.No
interchangeability of the aforesaid studding materials inter-se shall be allowed
Note forSl.No.4 : Production of customs attested invoices is not required for claiming Replenishment
(1)OnlyjewellerymadeofmetalsotherthanpreciousmetalsreferredtoinSl.No.4willbecoveredby
144

thisentry.Inotherwords,onlyjewellerymadeofbasemetallikealuminium, copper,brassetc.and
studded/ strung with synthetic/ imitation stones/ plastic beads, wood to be given on a stamp
paper (Minimum of Two Rupees en beads, etc. would fall under this Sl.No.Base metal
imitation jewellery studded/ strung with semi-precious stones will also fall under this Sl.No.
(2) Production of customs attested invoices is not required while claiming replenishment.
(3) Cuff links (including brass cuff links) studded with synthetic/ imitation stones, decorated
cuff links and gold plated cuff links will also fall under this Sl.Number.
Note forSl. No.5.1: (1) Jhumka, Rings, Finger rings, belts, necklaces, Ghungroos etc.made of base metals
such as Aluminium and "Gillet" will also fall under this S.No. Brass cuff links other
than those covered by Sl.No. 5.1 will also fall under this S.No.
(2) Production of customs attested invoices is not required while claiming replenishment.
145

APPENDIX -4G
REPLENISHMENT SCALE FOR GEM REP AUTHORISATION
(Please see paragraph 4.35 of FTP and 4.64 of HBP)
S. GEM REPLENISHMENT SCALE %AGE OF ENTITLEMENT ON REMAINING FOB

No. VALUE OF EXPORTS
i) a) Cut and polished Emeralds/ 60% for uncut and unset Emeralds Rubies/Sapphires
Rubies/ Sapphires in Jewellery
valued upto US$ 350 per carat fob.
b) Cut and polished Emeralds/

Rubies/Sapphires in Jewellery 80% for uncut and unset Emeralds Rubies/Sapphires
valued above US$ 350 per carat
fob.
ii) All varieties of semi-precious stones 50% on fob value of such stones
and synthetic stones
iii) Pearls 60% on fob value of such pearls.
iv) Plain Gold/Silver Jewellery and 50%

articles
v) Plain platinum jewellery and articles 50%
NOTE : For diamonds and precious stones, entitlement may be arrived a separately on the basis of
overall average of per carat realisation. For semi-precious/synthetic stones and pearls, the
entitlement may be worked out on an individual basis. The total will be the value of the Gem
Replenishment Authorisation / Licence.
146
APPENDIX -4H
REGISTER FOR ACCOUNTING THE CONSUMPTION AND STOCKS OF DUTY FREE IMPORTED OR
DOMESTICALLY PROCURED RAW MATERIALS, COMPONENTS ETC. ALLOWED UNDER ADVANCE
AUTHORISATION / DFIA*
PRODUCT (S) EXPORTED EXCESS IN CASE OF EXCESS AS IN REMARK

INPUTS ALLOWED
UNDER THE INPUTS, COLUMN 9 S
IN THE
AUTHORISATION (S) IF ANY
AUTHORISATION
ALLOWE
(S)
(A NO. OF D
AUTHORISATIONS*** CAN
BE CLUBBED TOGETHER UNDER
FOR THE
PURPOSE OF ACCOUNTING
Authorisa Inputs Actually THE
tion consumed for AUTHO
No(s) the Additio
exported product RISATIO Input Custom
Sl with date Input Quantit Produ Quanti Quantity nal quantity s
N(S).
No (A No. of s y ct ty Inputs (Includin export reduced dutypai
. authorisat g actual s proportion d
ions can wastage effecte a-tely in alongwi
be incurred) d in the th
clubbed (4 - 8) propor authorisat interest
together tion to i 11**
1 2 3 4 5 6 7 8 9 10 12 13
*In case of Post export replenishment, details of inputs used (whether duty paid or not) in the exported
product has to be furnished.
**Applicable only in case either partial import or NIL import has been effected.
*** In case of transferable DFIA, information in the above format has to be furnished individual DFIA wise.
We declare that the aforesaid particulars are correct.
Place:
Date:
Signature of the
authorisationholder: ........................................
Name in block letters:__________________
Designation:________________
Full official address:______________
Full Residential:_______________
address
Official
Seal/stamp
147

Appendix4H Continued
CHARTERED ACCOUNTANT / COST ACCOUNTANT/CERTIFICATE
I/We hereby confirm that I / We have examined the prescribed registers and also the relevant
records of M/s..........................having IEC number...
and PAN number.for the licensing period(s)
and hereby certify that the information furnished above is true and correctin all
respects; no part of it is false or misleading and no relevant information has been concealed or withheld;
I / We fully understand that any statement made in this certificate, if proved incorrect or false, will
render me/us liable to face any penal action or other consequences as may be prescribed in law or
otherwise warranted.
I/We further declare that neither I, nor any of my/ our partners is a partner, director, or an employee
of the above-named entity, its Group companies or its associated concerns.
(Signature and Stamp/ Seal of the Signatory)

(Chartered Accountant/ Cost Accountant)
Name of the Signatory:

Place:
Address:
Date:
Membership No:
Note:
1. Each page of this document is to be signed by the Chartered Accountant/Cost Accountant with his
registration number.
2. Mention N.A. wherever the information required in the table is not applicable.
3. For columns 10, 11 & 12 of the table, please furnish the copy of the documentary evidence.
4. The authorisation holder is required to furnish the details for the authorisations which have been
redeemed in the last licensing year.
148
APPENDIX 4 I
(Please see Para 4.18 to 4.21 of HBP)
Register for accounting of consumption and stocks of duty free imported or domestically procured raw materials,
components etc. allowed under advance authorisation for pharmaceutical product manufactured through Non
Infringing (NI) process.
Inputs allowed in the Product(s) exported under the Bal In case of balance inputs as Rem
authorisation authorisation anc in column 9 arks
Sl Authorisatio Nam Quant Name Quant Inputs Actually e Additio Input Custom
No. n No (s) e of ity of the ty consumed for inp nal quantity s duty
with date the Produ the exported uts, exports reduced paid
Input ct product** effecte proportion alongwit
if
s Inputs Quantity any d in ate-ly in h
(Includin proporti the interest
(4 -
g actual on to authorisati
8)
wastage excess on*
incurred inputs
)
1 2 3 4 5 6 7 8 9 10 11 12 13
*Applicable only in case either partial import or NIL import has been effected.
** In case of post export replenishment, details of inputs used (whether duty paid or not) in the exported product has
to be furnished.
We declare that the aforesaid particulars are correct.
Signature of the authorisation holder

Place: Name in block letters: ___________.
Date: Full official address: ____________
Full Residential address: _________
149
Official Seal / Stamp Telephone No.: ________________

E-mail: ______________________
Note:
1. Please mention N.A. wherever the information required in the table is not applicable.
2. For columns 10 & 12 of the table, please furnish the copy of the documentary evidence.
150
FORMAT OF CENTRAL EXCISE CERTIFICATE
I hereby confirm that I have examined the production details and the records of M/s __________(Name of the
authorisation holder) and verified the details furnished in Appendix 4-I format. I hereby certify the following details of
consumption of inputs for the pharmaceutical product, manufactured through Non Infringing (NI) process, against
their advance authorization No. -------------- dated -----------.
1. Name of the Advance Authorisation holder:

2. Address of the manufacturing unit:
3. Name of the exported product:
4. Type of exports: Physical / Deemed / Both (pl strike out whichever is not applicable).
5. Period for which production details verified:
6. Quantity exported against the authorization:
7. Details of inputs consumed in per unit of exported product:
Sl. No. Name of the Input(s) used Quantity consumed

1
2
Date: Name of the Central Excise official:

Place: Designation:
Office seal/Stamp: Telephone No. (O):
E-mail address (if any):
Postal Address:
Note:
1. This certificate shall be required only when the product manufactured and exported is a pharmaceutical
product manufactured through Non-Infringing (NI) process. This certificate is to be signed by an official not
below the rank of Superintendent of Central Excise, under whose jurisdiction the manufacturing unit of the
Advance Authorisation holder is located).
2. As per the policy provision, solvent(s) shall be allowed maximum upto 25% of the requirement of solvents
indicated in the ANDA / DMF. However, in cases where recovery is not possible and the solvent gets
poisoned, full quantity of solvent as per ANDA / DMF shall be allowed. Central Excise Authority shall verify
and certify the actual requirement of solvents accordingly for the purpose of Sl. No. 7 above.
151
APPENDIX 4J
(Please see paragraph 4.42 of HBP)
Export Obligation Period for Specified Inputs with Pre-import Condition.
Sl. No. Import Item(s) Export Obligation Period from the date of
clearance of each import consignment by
Customs Authority
1) Spice 120 days
(a) Pepper; cardamom and chilies for However, for imports completed up to
Value Addition purpose like crushing / grinding 31.12.2008, Export Obligation Period (EOP)
/sterlisation or for manufacture of oils and shall be 150 days.
oleoresins and not for simple cleaning, grading,
repacking etc.
(b) Spices other than pepper, cardamom and 12 months.
chilies for manufacture of Spice oils.
Oleoresins.
(c) Other than (a) & (b) above. 90 days
2) Drugs (with a specific export order and pre-import 12 months

condition)
3) Penicillin and its salts [ITC(HS) Code No. 12 months

29411010]
4) Tea 6 months
5) Coconut Oil 90 days
6) Silk in any form 9 months
7) Drugs from unregistered sources 12 months
8) Precious Metal/Gold/Silver/Platinum 120 days
152
APPENDIX -4K
FORMAT OF CHARTERED ENGINEER CERTIFICATE FOR FIXATION OF SION
(To be furnished on the letterhead of the Chartered Engineer)
I have examined the applicant company's import requirements of raw materials etc. with regard to their technical
description/ specification and the quantity against each item of import as given in AaayatNiryaat Form and having
due regard to proper technical norms of consumption and after technical scrutiny of relevant designs and drawings of
the export product, I hereby certify that they are correct in all respects and are actually required for the execution of
the export item for which the application is made.
Signature & Seal of Chartered Engineer

Place
Date
Registration Number
Official Address
Official Telephone
Residential Address
Name & Address of the Institution with which registered
153
APPENDIX- 4L
FORMAT OF CHARTERED ENGINEER (CHEMICAL) CERTIFICATE
(Please see paragraph 4.18 of HBP)
(For Pharmaceutical Product manufactured through Non-Infringing process)
1. I am a Chartered Engineer (Chemical) with Registration No. ______ dated ______. This Certificate is being
furnished as per the requirement of paragraph 4.18 of Handbook of Procedures.
2. I hereby certify that the approval communication dated ______ of the Food & Drug Administration / concerned
regulatory authority of the country of import _________(name of country) pertains to the Drug Master File
(DMF) reference No.________, meant for the export product for which the advance authorisation application
is being filed.
3. I have examined the details of requirements of inputs of the applicant M/s ________________,
________________(Name and address of the manufacturer exporter) with regard to their technical
description / specification and the quantity against each input from the Abbreviated New Drug Application
(ANDA) / Drug Master File (DMF) of the applicant, as given at Sl. No. 2 above and as approved by the Food &
Drug Administration / Concerned regulatory authority of the country of import. I have also verified that the
details of the export product and the inputs sought thereof in their applicationin AayaatNiryaat Form (ANF 4
E)are as per ANDA / DMF. I have also examined the proper norms of consumption and after technical
scrutiny of relevant designs and drawings of the export product, I hereby certify that they are correct in all
respects and are actually required for the execution of the export product, for which the application is made.
4. I hereby certify the export product and the requirement of inputs thereof as follows:
(a) Details of product(s) to be exported / supplied under the Authorisation:
Sl. Product Technical Characteristics / ITC (HS) Quantity

No. Description Quality / Specification Code (Along with the Unit of
Measurement)
(b) Details of inputs required as per ANDA / DMF of the applicant and that as per SION or Adhoc Norms*:
Sl. Input Technical ITC (HS) Quantity (Along Quantity

No Description Characteristics / Code with the Unit of allowed as per
Quality / Measurement) SION or Adhoc
Specification of the Norms*
Inputs
154
* State NIL in case the SION or the adhoc norm for the said export product is not available.
5. I am issuing this certificate having verified the approval of the concerned department / authority of the
regulated overseas market and the details of each input and its quantity as given in ANDA / DMF of the
applicant to that declared in the Aayaat Niryaat Form (ANF 4 E) and found them to be correct.
6. In the event that any of the statements / facts certified above by the undersigned, is found to be incorrect, I am
liable for penal action under the Foreign Trade (Development & Regulation) Act, 1992 (as amended), Rules
and Orders framed there under and the provisions of any other Act, in force.
Date: Signature of Chartered Engineer (Chemical)
Place: Name:
Seal of Chartered Engineer: E-mail:
Tel. No. (O):
Official Address:
Residential Address:
Registration Number:
Name & Address of the Institution with which registered:
Note :
1. Unless and otherwise provided for, solvent(s) shall be allowed maximum upto 25% of the requirement of
solvents indicated in the ANDA / DMF for the purpose of advance authorisation. However, in cases
where recovery is not possible and the solvent gets poisoned, full quantity of solvent as per ANDA /
DMF shall be allowed. Chartered Engineer shall verify and certify the same accordingly for the details
of solvents required as in Table 4(b) above.
2. In case of deemed exports, this certificate shall be based on details given in ANDA of the recipient unit
and DMF of supplying unit (deemed exporter).
155
APPENDIX- 4-M
STATEMENT OF PRECIOUS METAL FOR THE PERIOD APRIL TO SEPTEMBER../
OCTOBER TO MARCH
(Please refer to paras 4.41 of FTP & para 4.94 of HBP)
Name of the Nominated Agency (Other than Designated Banks) in terms of paragraph 4.41 of FTP:
Date of Statement:
Name of Precious Metal: Gold / Silver / Platinum (Strike which is not applicable and give the details in separate
sheets for different metals) to be signed by Authorised signatory as per Para 9.06 of HBP and to be sent by e-mail to
concerned Regional Authority.
Number of Value of Qua Open Utilization
Transactio Gold ntity ing
n Imported of Stock
Own use Supply to Supply to Balan
Gold (in
exporter domestic ce in
Imp Quan
units stock
orte tity)
d
(US (Rs Kg. Kg. Valu Qt Val Qty Value Qty. Quan
D . e y ue . (Rs. (Kg.) tity
milli Cro (Rs. (K (Rs (Kg Crore (Kg.)
on) re) Cror g.) . .) )
e) Cro
re)
Sl. Mode of
No. Import
(i) Delivery
Against
Payment
Basis
(ii) Supplier
s Credit
Basis
(iii) Consignme
nt Basis
(iv) Unfixed
Price Basis
Note:
1. Full details of transactions may be provided in cases where the number of transactions in respect of a single
importer exceeds ten transactions in a month or the aggregate value of imports exceeds US Dollar 50 million.
2. Details of EOUs / Units in SEZ and Nominated Agencies should be given separately.
156
3. Separate statement in the aforesaid format shall also be furnished for other precious metal as well (i.e. silver,
platinum etc.).
4. Nominated Agencies may refer the RBI Guidelines as stated in A.P. (DIR Series) Circular No. 2 Dated July 9,
2004, Paragraph B 15 of part III of Master Circular of RBI, as amended from time to time.
157
APPENDIX-4N
(Please refer to Para 4.41 of FTP & para 4.94 of HBP)
Certificate by Regional Authority for Import of Precious Metal by Nominated Agencies
This is to certify that M/s _______________________, holder of a Valid _____________ (mention the
category of Status certificate Holder) Certificate bearing Number _____________________Dated__________
issued by Regional Authority _________ (Mention the name of the Regional Authority) and having Importer -
Exporter Code ________________, has been designated as Nominated Agency under Paragraph 4.41 of Foreign
Trade Policy (2015-20), as amended from time to time for the purpose of Direct Import of Precious Metal. This is
subject to provisions of FTP and the Procedure laid thereunder, RBI Guidelines and the Customs Rules and
Regulations.
This permission shall be valid from ________________to ______________ (Mention specific Date).
Name of RA:
Date:
[Signature]
Head of Office
[Office Seal]
158
APPENDIX- 4 O
CERTIFICATE BY NOMINATED AGENCY / GJEPC FOR CLAIMING REPLENISHMENT OF GOLD / SILVER

AGAINST JEWELLERY SOLD AT EXHIBITIONS ABROAD
Note :
1. Please see Paragraph 4.46 of the FTP and Paragraph 4.80 of Handbook of Procedures.
2. Please read the general instructions given in the Handbook of Procedures before filing this application.
FOR OFFICAL USE
File No.---------------------------------------------- Dated:----------------------
This is to certify that the following are the details of goods actually sold against invoice
No.(s)______________________dated_____________in the exhibition and the foreign exchange repatriated into
India and surrendered to the RBI / authorized dealer. The export has been in accordance with the Foreign Trade
Policy, 2014-19.
1. Name of the Indian Exporter : ..
2. Exhibition held on : (i) Date:. From:..

.
To
(ii) Place/Country
2. Exhibition held on : (i) Date:. From:...
To
(ii) Place/Country
3. Organised by whom : ..
4. Details of Bank Guarantee, if any : ..

..
5. Price of gold / silver as per export invoice.
S.No. Pieces Description Gross wt. Net wt. Value of Description/ Pieces
Gms. gms gold/ silver Type of
as per rate studding/
of booking for diamonds/
replenishment precious semi-
precious/
synthetic
stones / pears
(1) (2) (3) (4) (5) (6) (7) (8)
Wt. In Value of Actual Making Value i.e. Selling FOB value Value
cts. studdings Sale charges At rate of price in repatriated Addition
Price gold / foreign achieved
And date silver currency With respect
of sale At 6 value
159
At 13.
(9) (10) (11) (12) (13) (14) (15) (16)
Signature :..
Name :..
Designation :.
Name of the Nominated Agency :
SEAL
Place :
Date:
160
APPENDIX -5A
FORMAT OF CHARTERED ENGINEER CERTIFICATE FOR NEXUS UNDER EPCG SCHEME
(To be furnished on the letterhead of the Chartered Engineer)
A. I have examined the applicant firms/companys import requirement for the Capital Good(s) with respect to
their nexus with the pre-production/production/post-production activity undertaken by the firm/company and
with reference to their endorsement in MSME/Industrial Licence/IEM/LOI as mentioned in Aayaat Niryaat
Form and I hereby certify that the Capital Good(s) proposed to be imported under EPCG Scheme by
M/s.______________having IEC number______________and PAN number______________ is/are
required for use at the pre-production/production/post-production stage for manufacture of the export
product (s)/rendering service(s) as per the details given below:-
1. Name, Model Number and Technical Description of the Capital Good (s) to be imported
2. Quantity required with justification thereof
3. Export products /Services rendered to which Capital Good(s) is/are related
4. Stepwise Process/Flow Chart indicating the stages where the capital goods are to be be used
B. I have examined the applicant firms/companys declaration on the wastages anticipated at the time of
installation of capital goods and certify that the wastage claimed by the applicant i.e.________(item-wise
percentage where wastage is being claimed) is reasonable. (please strike off, if not applicable)
Signature & Seal of Chartered Engineer

Place
Date Registration Number
Address
Telephone / Mobile
E-mail:
Name & Address of the Institution with which
registered
Note: -
1. Additional sheets, wherever required, may be attached.

2. Each page of the Certificate has to be signed by the Chartered Engineer.
161
APPENDIX -5B
CERTIFICATE OF CHARTERED ACCOUNTANT/ COST ACCOUNTANT/COMPANY SECRETARY
(FOR ISSUE OF EPCG AUTHORISATION)
I/We hereby confirm that I/We have examined the prescribed registers and also the relevant records of
M/s.............................................. and hereby certify that:
I. The following documents/ records have been furnished by the applicant firm/company and have
been examined and verified by me/us: -
(a) For deemed exports:
(i) Copy of ARO/Back-to-back inland letter of Credit of Advance Authorisation

for intermediate Supplies or Supply invoices or CT3/ARE3 duly certified by
the Bond Office of EOU concerned showing that supplies have been received.
(ii) e-BRC as evidence of having received the payment through normal banking
channel or a self certified copy of payment certificate issued by the Project
Authority concerned in the form given in Appendix-7D.
(b) For export of goods:
(i) Export Order/Contract,

(ii) Shipping Bills/Bill of Exports /Airways Bills/PP Receipts
(iii) Bill of Lading
(iv) Customs/Bank attested invoices
(v) e-BRC / Bank Certificate of Export and Realization
(vi) GR declaration, and
(vii) Connected books of accounts
(c) For export of services:
(i) e-BRC / Bank Certificate of direct foreign exchange earning,

(ii) GR declaration,
(iii) Forward Inward Remittance Certificates (FIRCs)
(iv) Certificate from international credit card companies
(v) C.A. certificate for indirect sources,
(vi) Certified statements from the Banker/ Chartered Accountant of Foreign Exchange
earnings and connected books of accounts.
II. The relevant accounting and financial register(s) as prescribed under different Acts and Rules made
thereunder have been maintained and authenticated under my/our seal and signature.
III. The information given by the applicant firm/company in the Aayaat Niryaat Form including details on
(a) imports/exports made and services rendered,
(b) foreign exchange earnings/ realization (both from direct and indirect sources)
(c) third party exports
(d) deemed exports
162
is in agreement with the Foreign Trade Policy 2015-20 and the rules and procedures made there
under, the relevant register and records and the books of accounts maintained by
M/s.............. and their subsidiaries and is also true and correct.
IV. Neither I, nor any of my/our partners is a partner, director, or an employee of the above-named
entity, its Group companies or its associated concerns.
V. I/We fully understand that any statement made in this certificate, if proved incorrect or false, will
render me/us liable to face any penal action or other consequences as may be prescribed in law or
VI. Details of export of same/similar products made during the Preceding 3 years as in Column 10 of
ANF 5A:
Financial Year FOB Value

1. US$ Rs.
2. US$ Rs.
3. US$ Rs.
(Chartered Accountant/ Cost Accountant/Company Secretary)

Place: Address:
Date: Membership No:
The following documents or records mentioned in serial number (I) have not been maintained/ furnished,
examined or verified:-
1.
2.
Note: Each page of this annexure is to be signed by the Chartered Accountant/Cost

Accountant/Company Secretary, with his registration number.
163
APPENDIX- 5C
CERTIFICATE OF CHARTERED ACCOUNTANT/
COST ACCOUNTANT/COMPANY SECRETARY
(FOR REDEMPTION OF EPCG AUTHORIZATION / ISSUANCE OF POST EXPORT EPCG DUTY

CREDIT SCRIP)
M/s..........................in respect of Authorisation No dated..
and hereby certify that:
I. The following documents/ records have been furnished by the applicant firm/company and have
been examined and verified by me/us: -
(a) For deemed exports:
(i) Copy of ARO/Back to back inland letter of credit of Advance Authorisation for intermediate
supplies or Supply invoices or ARE-3 duly certified by the Bond Office of EOU concerned
showing that supplies have been received.
(ii) e-BRC as evidence of having received the payment through normal banking channel or a
self certified copy of payment certificate issued by the Project Authority Concerned in the
form given in Appendix-7D.
(b) For export of goods:
(i) Export Order/Contract,

(ii) Shipping Bills/Bill of Exports /Airways Bills/PP Receipts
(iii) Bill of Lading
(iv) Customs/Bank attested invoices
(v) e-BRC / Bank Certificate of Export and Realization
(vi) GR declaration, and
(vii) Connected books of accounts
(c) For export of services:
(i) e-BRC / Bank Certificate of direct foreign exchange earning,

(ii) GR declaration,
(iii) Forward Inward Remittance Certificates (FIRCs)
(iv) Certificate from international credit card companies
(v) C.A. certificate for indirect sources,
(vi) Certified statements from the Banker/ Chartered Accountant, of Foreign Exchange
earnings and connected books of accounts.
II. The relevant accounting and financial register(s) as prescribed under different Acts and Rules made
there under have been maintained and authenticated under my/our seal and signature.
III. I/We hereby certify that the Shipping Bills containing the relevant EPCG Authorization Number and
Date have been verified in respect of specific export obligation. In cases where the Shipping Bills do not
contain EPCG Authorization Number and Date an Affidavit from the authorization holder has been obtained
that the exports accounted for fulfillment of specific EO against this EPCG authorization have not been/shall
not be taken into account for fulfillment of either specific or average EO of any other EPCG authorization. It is
further certified that the shipping bills mentioned in the Affidavit are not Third party shipping Bills/Free
Shipping Bills.
164

A statement giving details of the documents submitted by the authorisation holder towards evidence of EO
fulfillment and Affidavit (if any) are enclosed.
IV. Neither I, nor any of my/our partners is a partner, director, or an employee of the above-named
V. I/We fully understand that any statement made in this certificate, if proved incorrect or false,
will render me/us liable to face any penal action or other consequences as may be prescribed in law
or otherwise warranted.
(Chartered Accountant/ Cost Accountant/Company Secretary)
Place: Name of the Signatory:

Date: Address:
Membership No:
The following documents or record mentioned in serial number (I) have not been maintained/ furnished,
examined or verified:-
1.
2.
Note: Each page of this annexure is to be signed by the Chartered Accountant/Cost Accountant/
Company Secretary, with his registration number.
165
APPENDIX-6A
CRITERIA TO BE ADOPTED FOR AUTOMATIC APPROVAL OF UNITS UNDER EOU SCHEME
(Please see Paras 6.01 (b) and 6.33 of HBP)
APPROVAL OF NEW UNITS:
Proposals for setting up units under EOU scheme under automatic route shall be considered by the Unit Approval
Committee taking into account the following:
(i) Residence proof in respect of individual/partnership firms of all Directors/Partners. (Passport/ration

card/driving licence/voter identity card/aadhar card or any other proof to the satisfaction of Development
Commissioner);
(ii) Income Tax return of all the promoters for the last three years;
(iii) Experience of the promoters;
(iv) Marketing tie-ups;
(v) In case of EOUs, inspection of the project site by an Officer;
(vi) A report from other DCs as to whether any case under EOU Scheme in regard to diversion of goods etc.
is pending.
Wherever necessary, the above may be verified through personal interview with the promoters of the project. In
the event of the promoters being a well-established entity, the procedure of personal interview may be dispensed
with.
The Unit Approval Committee shall meet on Monday, every week. In case of the absence of Development
Commissioner, the meeting will be held by the next senior officer in the Zone. The unit shall intimate the problems
being faced by them in advance. In the meetings, apart from the promoters, the other concerned agency with which
difficulties are being faced by the unit, may also be called.
Recycling of ferrous and non-ferrous metal proposals will be considered only if the unit has Ingots making
facility and proposes to achieve value addition.
SENSITIVE SECTORS:
Care shall be taken by the Development Commissioner while approving projects in sensitive sectors such
as yarn texturising unit, textile processing, pharmaceuticals/drugs formulations/re-cycling of ferrous and non-
ferrous metal scraps etc. Projects for setting up units in sensitive sectors under EOU scheme shall be approved by
the Development Commissioner after personal verification of the Directors and inspection of the factory site before
signing LUT. Verification could also be carried out through General Manager, District Industries centre or
jurisdictional DY/ Assistant Commissioner of Customs/Excise.
166
APPENDIX-6B
SECTOR SPECIFIC REQUIREMENTS FOR EOUs
(Please see Paras 6.01 (b) and 6.16 of HBP)
(1) COFFEE:
Export of imported coffee shall be subject to approval from Coffee Board under relevant Act.
(2) HIGH GRADE IRON ORE:

Proposals for export of High-Grade Iron Ore i.e. 64% Fe and above, except iron ore of Goa origin and
Redi origin are presently canalized through MMTC and its exports would be subject to approval of the
BOA.
(3) POLYESTER YARN:

(i) No job work with EOU/DTA/SEZ unit shall be permitted. However, this shall not be applicable to
units who intend to send the fabric {made out of Polyester (or) texturised yarn within the unit} for
job work to EOU/DTA/SEZ unit for dyeing of the fabric.
(ii) None of the units making polyester yarn existing or new shall be permitted to do exports
through third party and they have to export directly.
(4) SALE OF SURPLUS POWER:

The following procedure shall apply in regard to sale of surplus power by EOU units:
(i) Henceforth whenever the Development Commissioner receives proposals for sale of surplus
power, it would be examined in consultation with the State Government, including State
Electricity Board. The Development Commissioner will report the norms of raw materials and
consumables required for generation of a unit of power for consideration and approval by the
Board of Approval.
(ii) No duty shall be required to be paid on sale of surplus power from an EOU unit to another
EOU/SEZ unit. Development Commissioner of SEZ concerned would be informed in writing of
such supply and proper account of the consumption of raw material would be maintained by the
supplying unit. The value of imported inputs and consumables shall be taken into account for
NFE calculations of the supplying unit.
(iii) The unit will obtain permission of the Assistant Commissioner of Customs/Central Excise for sale
of surplus power in the DTA, after obtaining permission from the SEBs under the relevant statute.
Duty on sale of power to the DTA shall be as per the Notification of the Department of Revenue
in this regard.
(iv) Due care shall be taken by the Development Commissioner / Board of Approval while approving
the power plants by EOU units vis-a- vis their actual requirement.
(5) GUIDELINES FOR THE EXISTING PLASTIC UNITS:

The following shall be guidelines for the existing plastic units under EOU scheme:
(i) Extension of LOP of the existing units under EOU Scheme may be granted based on the terms &
conditions of earlier LOP.
(ii) No enhancement of the production capacity be allowed to units which are utilizing plastic
waste/scrap.
167
(iii) Relocation of the existing units from one Zone to another will be approved on case to case
basis.
(iv) EOU units be exempted from the purview of Public Notice No. 392 dated 1.1.1997 regarding
restrictions on physical forms & sizes and inspection would be done by Zone. However for any
supply into DTA, all conditions of public notice will apply.
(v) Existing units shall make physical exports as may be stipulated by BOA.
(6) NON ITA-I ITEMS THAT MAY BE SOLD IN DTA:

Following non-ITA-I items may be sold in the DTA in terms of Para 6.09 (g) of the Chapter 6 of the Foreign
Trade Policy:
Supplies of items like tags, labels, printed bags, stickers, belts, buttons or hangers to DTA unit for
export.
(7) TEXTILES:
Activities pertaining to reprocessing of garments/ used clothing /secondary textiles materials / clipping/
rags/ industrial wipers/shoddy wool/ yarn/ blankets/ shawls and other recyclable textile materials will not
be allowed under EOU schemes.
(8) TEA:
In case of Tea, a minimum value addition of 50% shall be insisted upon.
(9) SEGREGATION ACTIVITIES:

Segregation activities are not covered under the definition of manufacture w.e.f. 1.4.2002. This activity will,
however, be allowed to continue in respect of units set up prior to 1.4.2002 for a period of five years from the
date of commencement of commercial production. The necessary inputs would also be allowed with exemption
benefits as per the existing policy. However, the facility of DTA sale under para 6.08 or 6.09 of FTP shall not be
allowed.
(10) SPICES (COVERED BY CHAPTER 9 OF THE ITC(HS) CLASSIFICATIONS OF EXPORT & IMPORT
ITEMS:
(i) Duty free import of spices for export shall be permitted only for value addition purposes like
crushing/grounding/sterilization or for manufacture of oils and oleoresins and not for simple
cleaning, grading, repacking, etc.
(ii) A minimum value addition of 15% shall have to be fulfilled.
(11) GEMS & JEWELLERY PRODUCTS:

The minimum value addition on annual basis shall be in terms of Para 4.61 of the HBP.
168
APPENDIX-6C
BOARD OF APPROVAL NOTIFICATION
(Please see Para 6.01 (c) of HBP)
TO BE PUBLISHED IN THE GAZETTE OF INDIA, EXTRAORDINARY

(PART I SECTION-1)
GOVERNMENT OF INDIA
MINISTRY OF COMMERCE AND INDUSTRY
(DEPARTMENT OF COMMERCE)
New Delhi, dated the 22nd March, 2006
NOTIFICATION
No.14/2/2006-EOU. In supersession of Ministry of Commerce and Industry Notification No. 14/1/2001-EPZ dated
7.8.2001, Government of India hereby constitutes the combined Board of Approvals for EOU Scheme as under:-
1.* Secretary Chairman

2. Joint Secretary Member


Department of Industrial Policy and Promotion
4. Member (Customs) Member

Central Board of Excise and Customs
5. Member Member
Central Board of Direct taxes
6. Director General of Foreign Trade Member

Ministry of Environment and Forests

Ministry of Science and Technology
9. A representative from Ministry of Small Scale Industries Member

and Agro and Rural Industries
10. Development Commissioner of the concerned SEZs Member
11. Director or Deputy Secretary (EOU) Member- Secretary

* As amended vide notification number 14/2/2006-EOU dt. 1.11.2006

169
POWERS AND FUNCTIONS OF THE BOARD
1. The Board shall consider proposal under EOU scheme that fall outside the automatic approval
procedure as notified from time to time.
2. Subject to necessary empowerment under Section 14 of the Industries (Development and Regulation)
Act, 1951, the Board shall also consider applications for grant of industrial licence wherever such
licence is compulsory. Minutes in such cases will be issued after approval of Department of Industrial
Policy and Promotion. Based on the approved minutes the Development Commissioner shall issue
the Letter of Intent and upon fulfillment of conditions therein convert the same into industrial licence.
3. All cases would be submitted before the Board by the Development Commissioner along with his
comments so that the units have a single interface at the level of Development Commissioner.
4. EOU cases involving foreign equity, including investment by NRIs and OCBs that fall outside the
automatic route shall continue to be dealt with by the Foreign Investment Promotion Board (FIPB). In
such cases, the units will apply directly to Secretariat for Industrial Assistance (SIA) for FIPB approval
with a copy to the Development Commissioner concerned.
Those falling under the automatic route shall avail themselves of the dispensation available under the
automatic route.
GENERAL
5. The Board may prescribe any condition, as it may consider necessary while granting approval. The
Board may in its discretion grant or refuse the approval.
6. Chairman of the Board may co-opt any representative of any other Department or agency not already
included in it, if he finds it necessary for any specific purpose.
(Rahul Khullar)
Joint Secretary to the Government of India
170
APPENDIX-6D
FORMAT FOR LETTER OF PERMISSION
(Please see Para 6.01 (g) of HBP)
OFFICE OF DEVELOPMENT COMMISSIONER/
------------------- SPECIAL ECONOMIC ZONE
DEPARTMENT OF COMMERCE, GOVERNMENT OF INDIA
Dated the-----------------------------
To
M/S -----------------------
-----------------------
Subject: Your unit application for permission under the EOU Scheme for
No._________________dated _________________
Dear Sir/Madam,
With reference to the above mentioned application, Govt./Development Commissioner is pleased to

extend to you all the facilities and privileges admissible and subject to the provisions as envisaged in EOU
Scheme 2015-2020 for the establishment of a new undertaking at__________ in the State of
____________________for the following items(s) up to the capacities specified below on the basis of
maximum utilisation of plant and machinery: -
Item(s) of production Annual capacity

---------------------------- ------------------------
---------------------------- ------------------------
You are also permitted to take out for job work abroad the following intermediate products as part of
production process:
Item (s) description Quantity Item code (ITC (HS) code No)
Not required for service unit
-------------------------- ---------------- -------------------------------------------

-------------------------- ---------------- -------------------------------------------
The above permission is subject to the following conditions: -
(i) The unit shall export its entire production/service, excluding rejects and sales in the domestic tariff
area as per provisions of EOU Scheme for a period of 5 years from the date of commencement of
production. For this purpose the unit shall furnish the requisite legal undertaking as prescribed in the
EOU Scheme to the Development Commissioner concerned. Before signing the LUT it should have
its own permanent E-mail address. The unit would have the option to renew its EOU status or opt
out of the scheme as per industrial policy in force at that time in relation to items of production.
171
(ii) The unit would be required to achieve positive Net Foreign Exchange (NFE) as prescribed in the
EOU Scheme for the block period as per Para 6.04 of FTP, failing which it would be liable for penal
action.
(iii) It is noted that you require imported Capital Goods valued at Rs. ---------for the proposed project.
(iv) Import/local purchase of all items except those listed in prohibited list for import/export will be
permitted.
(v) This Letter of Permission is valid for 2 years, as prescribed in Para 6.05 (a) of FTP, from its date of
issue within which the unit should implement the project and commence production and would
automatically lapse if an application for the extension of validity is not made before the end of the
said period. Date of commencement of production shall be intimated to the Development
Commissioner of concerned SEZ.
(vi) The approval is based on the details furnished by you in your project application.
(vii) You shall be required to enter into a Legal Agreement in the prescribed form (APPENDIX-6E) with
DC_______ for fulfilling the terms and conditions mentioned in the LOP.
(viii) You are requested to confirm acceptance of the above terms and conditions to the undersigned
within 45 days.
(ix) If you fail to comply with the conditions stipulated above, this letter of approval is liable for
cancellation/revocation.
(x) All future correspondence for amendments/changes in terms and conditions of the approval letter or
for extension of its validity if required, etc. may be addressed to the undersigned.
(xi) Jurisdictional Commissionerate for the unit is ..
Yours faithfully,
---------------------SEZ
Copy forwarded to :-
1. Deputy Commissioner/Central Excise/Customs/I/C of EOU (for EOUs)

2. Director of Industries, Govt. of (State)
3. Development Commissioner(SSI), Nirman Bhavan, New Delhi.
172
APPENDIX-6E
FORM OF LEGAL AGREEMENT FOR EOU/EHTP/STP/BTP
(Please see Paras 6.02 (a), 6.03 (a) and 6.11 (a) of HBP)
An agreement made this _____________day of ___________201_____between M/s.

_________________________________(indicate legal status i.e. a company or firm) an Export Oriented Unit /
having its registered office at ___________________ and factory/service unit at ___________ (hereinafter referred
to as the unit which expression shall include its successors and assigns) of the one part and the President of India
acting through Development Commissioner (DC) of ..SEZ (hereinafter referred to as Government which
expression shall include his successors in office and assigns) of the other part.
Whereas the Government has communicated vide Letter No. ___________dated _________to the Unit the
terms and conditions for setting up the EOU unit for manufacture/service of __________________and the Unit has
duly accepted the said terms and conditions vide their letter No.__________dated __________.
AND WHEREAS the unit has been permitted to import/purchase indigenously Plant and Machinery, raw
materials, components, spares and consumables free of Import / Central excise duty as per details given at
ANNEXURE-I.
And whereas a license has been granted to the unit by the Government, subject to the achievement of positive NFE
as provided for in EOU Scheme.
NOW THIS AGREEMENT WITNESSETH AS FOLLOWS:
1. The unit shall achieve positive NFE as per Para 6.04 of FTP.
2. Such performance shall be subject to annual monitoring by the Development Commissioner (DC) having
jurisdiction over its activities under the guidelines issued by the Ministry of Commerce, Government of India from
time to time and the unit shall be liable for penalty under the Foreign Trade (D&R) Act, 1992 as amended from time
to time for failure to fulfill such obligation. For the purpose of counting NFE under the EOU scheme, exports to Nepal
or Bhutan shall qualify, if payment is made in Foreign Exchange.
3. The unit shall intimate the date of commencement of the production for export within one month of such
date to the concerned Development Commissioner.
4. The unit shall not dispose of its production in the domestic market except in terms of the provisions of EOU
Scheme and/or when specifically allowed by the competent authority.
5. The unit under implementation shall submit quarterly report to the concerned Development Commissioner in
the prescribed format at ANNEXURE-II.
6. The Unit shall after the commencement of production/operation, submit to the concerned Development
Commissioner, quarterly performance report in the prescribed format at ANNEXURE-III for the period ending
March/June/September and December every year within 30 days of the close of quarter through e-mail giving details
of the imports/exports effected and purchases made from the Domestic Tariff Area by the Unit during the period. An
annual performance report shall also be submitted in the prescribed format given at ANNEXURE-IV within a period
of 90 days following the close of financial year failing which further imports and DTA sale will not be permitted.
Annual Performance Reports shall be certified by a Chartered Accountant/Cost Accountant. In case of wrong
submission of such information or failure to submit such information within the stipulated time, DC may withdraw the
permission granted to the unit for operation.
7. In the event of the Unit failing to fulfill the terms & conditions of Letter of Permission(LOP) / Letter of Intent
(LOI) and NFE as prescribed in the EOU Scheme, except when the fulfillment of such conditions is prevented or
delayed because of any law & order, proclamation, regulation/ordinance of the Government or the shortfall in
fulfillment of NFE is within the permissible norms specified in the monitoring guidelines given at APPENDIX-6F of
173
the EOU Scheme, the unit would be liable for penal action under the provisions of Foreign Trade (Development &
Regulation )Act, 1992, as amended and the Rules & Orders made thereunder.
8. The unit shall also be subject to the conditions stipulated and required for availing exemption from duty of
Customs and Excise under the relevant Customs & Excise Notifications and any customs duties/Excise duties and
interest payable to / leviable by the Government for failure to fulfill such conditions shall also, without prejudice to any
other mode of recovery be recoverable in accordance with the provisions of Section 142 of the Customs Act,
1962/Section II of the Central Excise Act, 1944 and rules made thereunder and/or from any payment due to the Unit
from the Government.
9. Any order issued by the Government in this regard shall be final and binding and the Unit thereby
undertakes to comply unconditionally with such an order.
10. The unit shall be bound by the changes made in the provisions of EOU Scheme from time to time.
11. The unit shall have an operational Web-Site.
12. Any changes in the Board of Directors/Partners, telephone No., E-mail address, Web-Site, Pass port No.,
Bank Address and Factory address shall be duly intimated by the unit within a fortnight.
13. Any Stamp Duties payable on this document or any document executed thereunder shall be borne by the
Unit.
In witness thereof the common seal of _____________has been here into affixed and for and on behalf
of_______________has set and subscribed his hands here into. Common seal of the within named Unit has been
affixed here into in the presence.
Signatureof (i) Shri _______________________

(Residential address)
Director and (ii) Shri _______________Director who have been duly authorized for the purpose by a resolution of the
Board of Directors of the Company passed at the meeting held on ______________and who have signed in the
presence of _________________.
1. ______________(Name, Designation and Address)

(Tel. No.
(E-mail Address & web-site)
2. ______________(Name, Designation and Address)

(Tel. No.
(E-mail Address & web-site)
Signed for and on behalf of the President of India
By Shri _________________________________in the presence of
1. ____________________________(Name, Designation and Address)
2. ____________________________(Name, designation and Address)

174
ANNEXURE-I
EXEMPTION MATERIALS
1. Plant, Machinery and Equipment to be imported.
No. Description of goods
2. Raw Materials, Components and Consumables to be imported.
No. Description of material
3. Plant, Machinery and Equipment and Raw Material, Components and Consumables to be indigenously
produced and purchased without payment of Central Excise Duties.
No. Description of material
175
ANNEXURE-II
PERIOD OF REPORTING: (APRIL-JUNE) (JULY-SEPTEMBER) (OCTOBER-DECEMBER) (JANUARY-

MARCH)
QUARTERLY PROGRESS REPORT FOR THE EOU / UNITS WHICH ARE UNDER IMPLEMENTATION
1. Details of the unit :

(a) Name of the unit :
(b) IEC No. :
2. Location of the Factory & Full Address:
a. Address :
b. Phone No. :
c. Fax No. :
3. Regd.Office
a. Address :
b. Phone No.
c. Fax No. :
d. Permanent E-Mail Address:
e. Web-Site :
4. Approval No. and date :
5. Item of manufacture/service Annual Capacity

(Details of all items to be provided)
a)
b)
6. Green Card No. and date

and the period of validity :
7. Present position in regard to

setting up of the unit (Tick whichever
is applicable)
a. Acquisition of land : Yes No
b. Erection of Building : To Start/ Started Over/Building purchased
c. Electricity : Not applied Applied on Available
d. Water : Not applied Applied on Available
e. Telephone/Fax : Not applied Applied on Available
8. Employment:
a) No. of Men Workers employed in Managerial Skilled Unskilled

the unit
b) No. of Women workers employed Managerial Skilled Unskilled
in the unit
176
c) TOTAL:
9. Imports during the quarter (Rupees in Lakhs) Cumulative During the Quarter
a. Value of Capital Goods imported
b. Value of Raw Materials, Components

etc. imported
c. Value of indigenous Capital Goods

purchased.
d. Value of Industrial Raw Materials

Components etc. purchased.
10. Sanction of bonding facilities: Yes No
a. if "yes" date on which warehousing

licence issued
b. if "no" date on which customs/

excise approached.
11. Date likely to commence production :
12. Any other information :
(Signature with seal of the company)
Place:_____________
Date:______________
177
ANNEXURE-III
FORMAT FOR QUARTERLY REPORT FOR THE WORKING UNITS
PERIOD OF REPORTING: QUARTERLY (APRIL-JUNE)(JULY-SEPTEMBER)(OCTOBER

DECEMBER)(JANUARY-MARCH)
1. Name of the Unit & location

2. (a) Permanent E-mail Address (Compulsory)
(b) Web Site
3. Date of commencement of production :
Details of production figures:
Quantity(MT/pieces) Value(Rs. in lakhs)
EXPORT(INFLOW) (Rs. in Lakhs) $ in Million
4(i). FOB value of exports for the

Quarter
a) GCA exports
b) RPA exports
c) Total:
ii). Deemed export for other categories during the quarter
iii). Cumulative exports/deemed export up to the current

quarter
IMPORT(OUTFLOW) (Rs. in Lakhs)
5(i). Cumulative import of

RM/consumable etc. during
the quarter
ii). Cumulative import of RM/Consumables

etc., consumed up to the quarter
iii). Cumulative import of capital goods including spares

up to the quarter.
6. Net foreign exchange earning Achieved

(NFE)(Column 4 Column 5 {ii}+Column 5 {iii})
DTA SALE
7. DTA sale Quantity Value
178
8. Cases of pending Foreign Exchange
Cases of pending Foreign Exchange realisation outstanding for more than 360 days at the end of last quarter/
financial year
Date of export : Name of Importer: Address : Amount
(SIGNATURE)
With Seal of Co.
Notes :
1. The above information should be given separately for each Letter of Permission.
2. QPRs must be submitted electronically only if the zones have provided online facilities.
3. The signature of the authorised signatory of the unit must be sent to the zone electronically.
179
ANNEXURE-IV
FORMAT FOR ANNUAL PROGRESS REPORT FOR THE WORKING UNITS
PERIOD OF REPORTING: ANNUAL (APRIL-MARCH)
1. Details of the Unit
a) Name of the Unit

b) IEC. No.
2. PERIOD OF REPORTING
3 Approval No. & Date
4. Item of manufacture/service Annual Capacity

(Details of all items to be provided)
a)
b)
5. Factory Location/Address/
Telephone No.
6. Regd.Office Address/Tel/Fax No
7. (a) Permanent E-mail Address (Compulsory)
(b) Web Site
8. Date of commencement of
production
Details of production figures
Quantity(MT/pieces) Value(Rs. in lakhs)
9. Details of Foreign Exchange

Inflow/Outflow
EXPORT(INFLOW) (Rs. in Lakhs) $ in Million
10. FOB value of exports for the

Year
a) GCA exports
b) RPA exports
c) Total:
11. (a) Goods sold in DTA in terms of Para 6.09 (b) of the Chapter 6 of the Foreign Trade Policy for
year
(b) Deemed export for other categories during the year
Total
12. Cumulative exports up to the current year
13. Cumulative exports up to the previous year
14. Country-wise details of exports

180
(Rs. in Lakhs) $ in Million
15. Opening balance of imported

RM, Consumables etc.,
during the year
16. Raw Materials/consumables

/components etc. imported
during the year
17. RM/consumables etc.

transferred to other units
during the year
18. RM/consumables etc.

received under the inter-unit
transfer during the year
19. Cumulative import of

RM/consumable etc. during
the year
20. Imported RM/Consumables/ etc., consumed during the year
20(A) Imported RM/consumables etc. not utilised beyond five years.
21. Closing balance of imported RM/Consumables

etc. at the end of year
22. Opening balance of imported capital goods including spares (Value of capital goods year-wise since
inception to be annexed)
23. Import of capital goods including spares

during the year
24. Capital goods including spares received under

inter-unit transfer
25. Capital goods including spares transferred under inter-unit

transfer
26. Cumulative imports of capital goods including spares

during year.
Sub-Total [Column No. 20 + Column 26]
27. Other FE Outflow (Royalty/

technological know-how/investment
/Dividend payment/Travel/Commission etc.)
during the year
TOTAL OUTFLOW [Column No. 20 + 26 +27]
28. Net foreign exchange earning Achieved
29. Opening balance of indigenous

181
capital goods including spares

during the year
30. Purchase of indigenous

capital goods during the
year
31. Cumulative balance of indigenous

capital goods purchased during
the year
32. Opening balance of indigenous

RM/Consumables etc.,
during the year
33. Purchase of indigenous

RM/Consumables etc
during the year
34. Cumulative balance of indigenous

RM/consumables purchased during the year
34(A) Imported RM/consumables etc. not utilized beyond five years.
DTA SALE
35. (a)Sales of goods effected in DTA if Quantity Value

any
(b)Sales of rejects in DTA if any: Quantity Value
(c)Sale of Waste/Scrap/Remnant Quantity Value
d) Sale of by product
(e)Total Quantity Value
36. DTA sale on full duty Quantity Value
37. Items of manufacture/service

Annual capacity (at the end of financial year)
38. Foreign/NRI/Indian investment Foreign/NRI Indian

(to be submitted annually)
i) Authorised capital
ii) Paid up capital
iii) Foreign Direct Investment - (I) Approved

(II) Actual Inflow
during the year
(III) Cumulative balance
for the year
iv) NRI capital (I) Approved

182
(II) Actual Inflow

during the year
(III) Cumulative balance
for the year
39. Employment:
a) No. of Male Workers employed in Total Managerial Skilled Unskilled

the unit
b) No. of Women workers employed Total Managerial Skilled Unskilled

in the unit
c) TOTAL: (a + b)
40. OTHER INFORMATION :
Overseas investment
a
Overseas investment made by the unit at the end of last year
a) Less than one year Amount in $
Cases of pending Foreign Exchange

b
Cases of pending Foreign Exchange realisation outstanding for more than
180/360 days at the end of financial year
Date of Name & Date and Amount Reasons

export address number pending for non
of of realization realization
importer Shipping
Bills
c External commercial borrowing
External commercial borrowing pending at the end of last year

(a) Less than three years Amount in $
(b) More than three years -do-
d Revenue contribution
Revenue contribution by units

(a) Excise duty on DTA sale during the financial year
(b) Income tax paid, if any, during the financial year
(c) State taxes, cess duties & levies (including CST paid on domestic
procurement).
(d) Tax deducted at source in respect of employees.
183
It is certified that no shipment other than mentioned above are pending realization beyond stipulated
period/period as extended by RBI.
(SIGNATURE)
With Seal of Co.
Notes :
1) The above information should be given separately for each Letter of Permission.
2) The information given in the formats for APRs should be authenticated by the authorized signatory of
the unit and should be certified for its correctness by a Chartered Accountant/Cost Accountant with
reference to the account records and registers maintained by the unit.
3) APRs must be submitted electronically only if the zones have provided online facilities.
4) The signature of the authorised signatory of the unit must be sent to the zone electronically.
184
APPENDIX-6F
GUIDELINES FOR MONITORING THE PERFORMANCE OF EOU/STP/EHTP UNITS
(Please see Para 6.12 of HBP)
1. The annual review of performance of each operational unit and its compliance with the conditions of approval
shall be undertaken by the Development Commissioner before the end of the first quarter of the following
financial year;
2. A summary of annual performance review will be sent by each Development Commissioner to the Ministry of
Commerce for information under the three formats indicated below latest by 30th September every year;
Proforma I: Comparative statement of performance and monitoring as compared to previous year;
Proforma II: Summary of annual performance of the EOU units, sector wise with sectoral sub totals.
Proforma III: Unit-wise statement on NFE showing the result of review.
PART A
3. CRITERIA FOR ANNUAL MONITORING:

The criteria for keeping the unit under watch or initiating penal action in respect of EOU units would be as
follows:
i) Watch If there is shortfall in achieving the NFE as per norms in EOU Scheme at the end of 1st and
IInd year;
ii) For failure to achieve positive NFE, after completion of one year from the date of commencement of
production, a cautionary letter may be issued; at the end of 3rd or subsequent year, Show cause
notice will be issued if positive NFE is not achieved; after completion of block period as per para 6.04
of FTP, Development Commissioner would initiate penal action under the FT(D&R) Act, 1992, as
amended. Final decision may be taken as far as possible within six months and positively within one
year.
iii) No action to be initiated if the Development Commissioner, on the receipt of reply from the unit, is
satisfied that the shortfall has been on account of genuine reasons.
4. METHOD OF MONITORING:
i) In all cases of exit from the Scheme where the unit has imported inputs and failed to fulfill the
conditions of LOP with regard to NFE, appropriate steps are to be taken for penal action after issuing
Show Cause Notice to the units. Steps may also be initiated for cancellation of LOP/LOA of units,
which is not operating for more than a year;
ii) NFE is to be calculated as per Para 6.10 (a) to 6.10 (d) of the Chapter 6 of the HBP. For purpose of
uniformity, guidelines for calculation of NFE is given in ANNEXURE may be followed.
5. MONITORING PERIOD:
Units which have not completed one year, from the date of commencement of commercial production, will not
be monitored. In case a unit has completed less than five years from the date of commencement of
commercial production it will be monitored for the number of completed years. Annual monitoring in the cases
of old units which have completed more than five years will be undertaken for only such number of years
which fall in the second block of five years
185
6. OTHER CONDITIONS:
Development Commissioner will monitor Foreign Exchange realization/remittance of EOU units in
coordination with the concerned General Manager of RBI as per instructions issued on the subject vide RBI
circular No. COEXD. 3109/05.62.05/99-2000 dated 21.2.2000.
PART B
SCHEME SPECIFIC CONDITIONS
7. JOINT MONITORING OF EOU UNITS:

a) The performance of EOUs would be reviewed by the Unit Aapproval Committee on six monthly basis
i.e,. April-September each year to be completed in the following quarter on the basis of QPRs/APR to
be furnished by the EOUs. The formats of QPR/APR have been prescribed in the LUT at
APPENDIX-6E.
b) Review of NFE of EOUs would be conducted by the Unit Approval Committee.
c) For publicizing the scheme, advertisement in the local papers may be arranged before the date of
such meetings. Promotion programmes may be organized in collaboration with local industry,
Association or any other organization, which has good presence in the area. General Manager of
District Industries Center may be associated.
d) For each existing unit, review should be done at length to understand their problems and their possible
resolution. Efforts should be made to identify the reasons for shortfall/poor performance and unit-
wise action plan should be prepared for removal of bottlenecks. It should be ensured that the unit
should have an export promotion strategy as well tentative targets for next few years, so that it has
an idea as to what is to be achieved by them. Effective action should be taken against erring units to
discourage any misuse of the scheme.
e) For units under implementation, separate review be held so that their issues could be resolved.
f) At such places, if any infrastructure gaps are noticed, District Administration may be advised to
prepare projects, which can be routed through State Government to the Ministry for approval under
Scheme for central Assistance for Developing export infrastructure and other allied activities
(ASIDE).
g) Based on the joint review Development commissioner concerned would prepare a report for
information of the Department of Commerce and CBEC and suggest corrective measures to enable
the defaulting units to fulfill their obligation as per EOU Scheme/Customs Notification.
186
PROFORMA-I
(TO BE SUBMITTED BY THE ZONE)
I. APPROVAL AND IMPLEMENTATION OF EOU UNITS:
a) No. of valid approved units :

b) No. of units cancelled :
c) No. of units finally debonded :
d) No. of exporting units :
e) No. of units under implementation :
f) No. of units yet to be implemented :
II. RESULT OF MONITORING :
Previous Year Current Year

( ) ( )
III. EOU UNITS:
a. Units which are operational for more than 1 year.
b. Units with negative NFE at the end of 3rd or subsequent

years.
c. Details of outstanding export proceeds (where the period o

realisation is not extended by the competent authority) beyond
180 days.
d. Revenue contributions by the units

(b) Income tax paid, if any, during the year
(c) State taxes, cess duties & levies(including CST paid

on domestic procurement).

-
187
PROFORMA-II
(TO BE SUBMITTED BY THE ZONE)
SPECIAL ECONOMIC ZONE
SUMMARY OF ANNUAL PERFORMANCE REPORT FOR THE YEAR 201------------- SECTOR WISE
Sl. Name of Date of Item of Value of Value of Other Total Employme

No. Unit with ID Comme Manufac capital RM outflow investm nt
Number in ncement ture goods compon of FE ent Generated
case of of imported ents etc. towards made so far
EOU producti knowho
on w,
Commi
ssion
etc.
1 2 3 4 5 6 7 8 9
Value of NFE achieved Value of Sales Remarks

exports during the made in DTA
period
10 11 12 13
188
(TO BE SUBMITTED BY THE UNIT)
PROFORMA- III
NAME OF THE UNIT

(Rupees in lakhs/
$ in Million):
Month of operation CG Import
1. Item of manufacture:
2. Date of Commencement:
3. Export
4. Inter Unit supply :
5. C. G. debit :
6. Imported RM/inputs used :
7. Other outgo of F. E. :
8. Total Imports :
9. NFE :
10. DTA Sale :
11. Details of outstanding export proceeds (where the period o
realisation is not extended by the competent authority) beyond
180/360 days at the end of financial year.
(180 days for EOUs)
12. Revenue contributions by the unit
(b) Income tax paid, if any, during the year
(c) State taxes, cess duties & levies (including CST paid on domestic
procurement).
13. Remarks :
189
ANNEXURE
CALCULATION OF NFE
1. While calculating NFE achieved, following basic components are to be taken into consideration:
i. Amortised value of capital goods and technical know how fee

ii. Value of import of R. M. (which is consumed during the year and consumables, spares, etc.).
iii. Other outflow of foreign exchange towards royalty, interest on external commercial borrowings etc.
iv. Value of physical exports effected excluding DTA sales but including supplies made under para 6.09 of the
Chapter 6 of the Foreign Trade Policy and HBP.
2. Amortised Value of Capital Goods: For this purpose as much value of CG is taken into account as indicated in
para 6.10 (d) of Chapter 6 of the HBP. The CG imported prior to the 10 years period is not taken into consideration for
the purposes of NFE if the value of said CG is fully amortized. If any capital goods imported duty free is leased from a
leasing company or is taken on loan the CIF value of the capital goods shall be included under the imported inputs.
However, on return of such CG its unamortized portion of value would be excluded from the calculation formula.
3. Import of raw material, consumables and spares etc: Whatever R. M. Consumables and spares are imported
during the year are taken into account. However, it should be noted that whatever R. M. is in balance at the end of the
previous year is added while the RM at the end of the current year is deducted which will give the amount of RM
consumed during the year. RM purchased as inter unit transfer is also included.
4. Other outflow of foreign exchange: All the foreign exchange outflow on account of royalty, dividends,
commission on exports, interest on external commercial borrowing etc., during the particular year has to be accounted
for while calculating value addition. However, outflow on account of know-how fee would be apportioned during a
period of ten years as applicable
5. Value of exports: While calculating value of exports, DTA sale made during the year are not to be accounted
for. However, supplies made in accordance with para 6.09 of the Chapter 6 of the Foreign Trade Policy and HBP will
be taken into consideration for calculation of NFE.
190
APPENDIX-6G
GUIDELINES FOR SALE / ADVANCE SALE OF GOODS IN THE DOMESTIC TARIFF AREA (DTA)
BY EOU/EHTP/STP/BTP UNITS
(Please see Paras 6.08 and 6.09 of FTP)
I. DTA SALE ENTITLEMENT FOR EOU UNITS:
Paragraph 6.08 of the Chapter 6 of the Foreign Trade Policy provides for sale in DTA by EOU/EHTP/STP
units. Such sales in the DTA will be governed by the following guidelines: -
a) The sale of goods in DTA will be subject to the payment of applicable duties as notified from time to time by
the Department of Revenue, Ministry of Finance, Government of India. DTA sale includes clearance to any
other unit within India under para 6.08.
b) DTA sale entitlement will be applicable only to those goods and services, which are permissible as per EOU
Scheme. No DTA sale will be permissible if such sale is specifically prohibited in the EOU Scheme or the
Letter of Permission/Letter of Intent.
c) Units may opt for DTA sales on a quarterly, half-yearly or annual basis by intimation to the concerned
Development Commissioner of SEZ. However, Premier Trading House (PTH) as defined in para 3.21 of
Foreign Trade Policy (FTP) shall have the option to undertake DTA sales on monthly basis, as well.
d) The DTA sales entitlement shall be availed of within three years of the accrual of entitlement.
e) An application for sale of goods in DTA (as per EOU Scheme) by the EOUs shall be submitted to the
Development Commissioner concerned in the application as given in ANF-6C. The application shall be
certified by an independent Chartered Accountant/Cost Accountant and endorsed by the Bond Officer of
Customs/Central Excise having jurisdiction over the unit. The Development Commissioner concerned will
determine the extent of the DTA sale admissible and issue authorization in terms of value. However, EOUs
having status holder certificate can sell finished goods into DTA under para 6.08 (a) of Foreign Trade Policy
under intimation to concerned Development Commissioner and Jurisdictional Central Excise Authority in
terms of Para 6.40 (h) of HBP. DTA sale in terms of para 6.08 (a) of Policy shall be allowed only after
adjustment of advance DTA sale permission is granted.
f) Advance DTA sale permission not exceeding the entitlement accruable on the exports envisaged in the first
year shall be permitted and such sale shall be adjusted against the subsequent entitlements in a maximum
period of two years. However, drugs and pharmaceuticals units can make advance DTA sale of the
production on the exports envisaged in the first two years adjustable against subsequent entitlements within a
maximum period of three years from the date of commencement of production by the unit. The Unit shall be
required to execute a bond with the Assistant Commissioner Customs/Central Excise concerned to cover the
difference between the amount of duties paid on the advance DTA sale and the full duties applicable on such
goods.
g) Advance DTA sales permission would also be admissible in cases of capacity expansion/product
diversification. In such cases, the unit would be entitled to advance DTA sales linked to the exports
envisaged from the expansion or new production streams or through product diversification. However, no
advance DTA sale would be admissible to a DTA unit converted into EOU except in respect of new production
stream as a result of change of technology or on account of its expanded capacity for export.
h) The DTA sale entitlement would accrue only if the unit has achieved positive NFE on cumulative basis. In
case a unit has not achieved positive NFE in a particular year and thus becomes ineligible for DTA sale
permission, the NFE and DTA entitlement in the subsequent year (s) within the block period as per Para 6.04
191
of FTP is to be seen with reference to cumulative value of imports and exports of earlier year(s). This will,
however, not alter the period allowed for adjustment of advance DTA sale.
i) EOUs engaged in the manufacture of perishable items like floriculture, horticulture, pisiculture can also avail
the facility of simultaneous sale in DTA of such perishable items on quarterly basis, while earning DTA
entitlement on exports made during the said quarter. Such permission can be granted in advance by the DC
concerned subject to the condition that the unit has achieved positive NFE cumulatively up to the previous
quarter.
j) Units in the service sector can also avail DTA sale as per procedure mentioned above.
II. SALE OF GEM & JEWELLERY PRODUCTS:
DTA sale of Gem & Jewellery items will be permitted on annual basis by the Development Commissioners up
to 10% of FOB value of exports during the preceding year subject to following conditions:
a) The application by an EOU will be submitted to DC concerned on yearly basis (licensing-year) giving the
details of production and exports made during the preceding licensing year duly certified by a Chartered
Accountant/Cost Accountant and endorsed by the jurisdictional Custom Authority.
b) The DTA sale of plain jewellery shall be permitted on payment of concessional rate of duty in Indian Rupees
as applicable to sale from nominated agencies. In respect of studded jewellery, duty shall be payable in Indian
Rupees as notified by Customs.
c) Advance DTA sale permission not exceeding the entitlement accruable on the exports envisaged in the first
year shall be permitted and such sale shall be adjusted against the subsequent entitlements in a maximum
period of two years. The Unit shall be required to execute a bond with the Assistant Commissioner
Customs/Central Excise concerned to cover the difference between the amount of duties paid on the advance
DTA sale and the full duties applicable on such goods.
III. OTHER SUPPLIES IN DTA:
Sale under para 6.09 of the Chapter 6 of the Foreign Trade Policy
The following guidelines shall apply to the sale of goods in the DTA in respect of supplies specified in
paragraph 6.09 of the EOU Scheme:
a) The unit shall, at the time of application, indicate the quantity and value of goods sought to be supplied in the
DTA. If the sale is effected against an import license held by the DTA purchaser, the Customs/Central Excise
Officer concerned will allow such sales after making a suitable entry on the license of the quantity and value o
such sales. The Import license shall cease to be valid for further imports to the extent of such supplies
effected by units.
b) If, the goods proposed to be sold by the units do not require an import license, the Customs/Central Excise
Officer concerned will allow such supplies from the unit to the DTA.
c) Goods supplied under (a) and (b) above will be taken into account for the purposes of achievement of NFE
The unit will file a quarterly statement to the Development Commissioner giving details of the goods cleared in
the DTA category-wise.
d) For the purpose of sub-para 6.09 (e) of FTP, the relevant Ministry of Finance Notifications are:
192
1. No. 106/58-Cus dated 29.3.58

2. No. 152/94-Cus dated 13.7.94
3. No. 50/96-Cus dated 23.7.96
4. No. 39/96-Cus dated 23.7.96
5. No. 84/97-Cus dated 11.11.97
IV SALE OF REJECTS:
Sale of rejects is also permitted in the DTA, as provided for in para 6.08 (d) of the Chapter 6 of the
Foreign Trade Policy
V. SALE OF BY-PRODUCTS:
The sale of by-products in the DTA is also permitted as per provision of para 6.08 (g) of the Chapter 6
of the Foreign Trade Policy after inclusion of the item in LOP/LOI.
193
APPENDIX-6H
PROCEDURE TO BE FOLLOWED FOR REIMBURSEMENT OF CENTRAL SALES TAX (CST) ON SUPPLIES

MADE TO EXPORT ORIENTED UNITS (EOUS) AND UNITS IN ELECTRONIC HARDWARE TECHNOLOGY
PARK (EHTP) AND SOFTWARE TECHNOLOGY PARK (STP)
(Please see Para 6.11 (c) (i) of FTP)
1. The procedure given hereunder shall be applicable for reimbursement of Central Sales Tax.
2. The Export Oriented Units (EOUs) and units in Electronic Hardware Technology Park (EHTP) and Software
Technology Park (STP) will be entitled to full reimbursement of Central Sales Tax (CST) paid by them on
purchases made from the Domestic Tariff Area (DTA) or Export Oriented Unit (EOU) or Special Economic Zone
(SEZ) or EHTP or STP or BTP, for production of goods and services as per EOU Scheme on the following terms
and conditions:
(a) The supplies from Domestic Tariff Area (DTA) or Export Oriented Unit (EOU) or Special Economic Zone (SEZ)
or EHTP or STP or BTP, to EOU/EHTP/STP units must be utilised by them for production of goods/services and
may include raw material, components, consumables, packing materials, capital goods, spares, material handling
equipment etc. on which CST has been actually paid by the EOU/EHTP/STP.
(b) While dealing with the application for reimbursement of CST, the Development Commissioner or the designated
officer of EHTP/STP shall see, inter alia, that the purchases are essential for the production of goods/services by
the units.
(c) For payment of interest in accordance with para 6.11 (c) (i) of FTP, separate application for claiming interest is
not required and a single cheque for main claim and interest can be issued to the claimant. However, separate
account will be maintained by Development Commissioner of Special Economic Zones for the amount of interest
disbursed by them.
3. The procedure to be followed in this regard is indicated hereinafter and shall be strictly adhered to:
PROCEDURE
(i) The unit shall present its claim for reimbursement of CST in the prescribed form (ANNEXURE-I) to the
Development Commissioner of the SEZ concerned or the designated officer of the EHTP/STP.
(ii) As soon as the goods are received by the EOU/EHTP/STP unit in its premises it will be entered in the material
receipt register kept for the purpose. The register must show the details of goods, quantity, the source of purchase
and the C Form against which purchase is made, etc. which will be subject to periodical check by the authorised
staff of the Zone/Customs administration. A Chartered Accountants certificate / Cost Accountants certificate
regarding the verification of the materials receipt register relevant to the claim as at ANNEXURE-II shall be
submitted alongwith the claim.
(iii) The reimbursement of CST shall be admissible only to those units who get themselves registered with the
Sales Tax authorities in terms of Section 7 of the CST Act, 1956 read with (Registration and Turnover) Rules, 1957
and furnish a Photostat copy of the Registration Certificate issued by the Sales Tax authorities to the Zone office
concerned for keeping it in the relevant file.
(iv) Claims shall be admissible only if payments are made through the bank accounts maintained by
EOU/EHTP/STP unit or DD emanated from its accounts.
(v) The claim shall be submitted along with the following documents:
i. Chartered Accountants Certificate / Cost Accountants Certificate, meeting the following criteria,
194
certifying receipt of the goods as shown in ANNEXURE-II in the bonded premises, scrutiny of original
invoice/bill of the supplier and proof of payment against each invoice/bill and its reconciliation with C
Form. In case of IT enabled services (ITES)/Business Process Outsourcing (BPO) units, reconciliation
with C form will not be necessary as they are not eligible for issue of C form.
ELIGIBILITY CRITERIA FOR CA FIRMS
(i) In case of units located in the States of J&K, Orissa, North-Eastern States, Andaman and Nicobar
islands and Lakshadweep, the Chartered Accountant / Cost Accountant firm should be at least a Sole
Proprietorship firm who should be an FCA / FCMA and engaged full time with the firm.
(ii) In case of partnership Chartered Accountant / Cost Accountant firms located in the regions indicated in
(i) above, should have at least two full time partners, one of whom should be an FCA / FCMA.
(iii) In case of units located in other regions, the partnership Chartered Accountant firms should have at
least one full time partner, who should be an FCA / FCMA.
(iv) For the regions indicated in (i) above, the Chartered Accountant firm be located in the area where the
unit is situated otherwise qualification of (iii) shall apply.
b) Photostat copy of C Form except in case of IT enabled Services (ITES)/Business Process
Outsourcing (BPOs) Units, issued by the EOU/EHTP/STP to the supplier in the DTA / EOU / STP /
EHTP / SEZ with reference to the counterfoil produced by the unit. The counterfoil of C form will be
returned to the unit after making suitable endorsement like cancelled/CST reimbursed duly signed by
the authorised officer of the Zone administration. While making the endorsement only, the items for
which CST has been reimbursed should be indicated as cancelled and the Photostat copy will be
retained by the officer for keeping in respective file. In the event of the same `C form being used
again, the verification could be done at the time of scrutiny from the self-attested photocopies. The
firm must indicate the file No. on which the original stands submitted.
(vi)The reimbursement will be limited to the payment of CST against C Form only except in case of IT
enabled services (ITES)/Business Process Outsourcing (BPO) units.
(vii) The EOU/EHTP/STP shall also intimate the name of the person/persons who are authorised by
them to sign the C Form and furnish three copies of his/their specimen signature(s) which will be kept in
the relevant file of the unit.
(viii) Reimbursement of CST will be made on quarterly basis. The application for claiming
reimbursement should be filed within a period of 6 months from the completion of the quarter in which the
claim has arisen. In case of procurement of goods against payment in installments, the CST
reimbursement claim may be made in the quarter in which the full payment has been effected against the
invoice/bill. Whenever application is received after expiry of last date of submission of such application,
provisions of para 9.02 of the HBP would apply.
(ix) Application for supplementary claim will be considered as per provisions of para 9.03 of HBP.
(x) The claim for CST reimbursement for the amount below Rs. 100/- on any single invoice shall not be
entertained.
(xi) The disbursing authority for the claim of reimbursement of CST will be Development
Commissioner/designated officer of EHTP/STP who will make payment to the units. All claims shall be
subjected to post audit.
(xii) The unit shall preserve for three years all the original documents viz. Original invoice/bill, money
receipt/bank statement for random/sample checking and produce the same as and when called for by the
195
office of the Development Commissioner. Random checking of 5% of the claims of a particular quarter
should be done in the next quarter through generation of computer statements on the basis of serial
numbers. The random list will be generated by the Development Commissioner personally.
(xiii) In case some glaring error or irregularity is detected against any unit in claiming CST reimbursement,
action to recover the amount paid and levy penalty would be taken under FTDR Act against such unit.
(xiv) Any dues of the Government viz. arrears of Lease rent, amount on account of a Courts decree or
Income tax recovery note, etc. will also be deductible from the claim amount or it can be set off from the
subsequent payment.
ANNEXURE I
Application for claiming reimbursement of Central Sales Tax against C Form and in case of IT enabled Services
(ITES)/Business Process Outsourcing (BPOs) Units without C form for the goods brought into the bonded
Premises of the EOU/EHTP/STP for the quarter ending on -----
1. Name of the applicant :
2. Full postal address :
3. (a) No. and date of letter of Approval issued under EOU/ EHTP/ :
STP Scheme
(b) Whether the Letter of Approval is still valid on the date of :
this application.
4. Registration No:(With date or issue) issued by S.T. Authorities :

under CST Act 1956
5. Details of the goods brought into units :

(a) Name and address of the supplier (including the name of the
state where the supplier is located)
(b) Description of Goods
(c) Quantity
(d) Value
(e) Date of purchases of goods
(f) Date of receipt of goods in the Customs Bonded Premises of the
EOU unit
(g) Total amount of CST paid against C Form
(h) Total amount of CST paid (Without C form) by ITES/BPO Unit
(i) Sales Tax Registration No. & date of the supplier under Section
(j) of the Central Sales Tax Act, 1956.
6. Amount of CST claimed :
196
UNDERTAKING AND DECLARATION
I/We hereby solemnly undertake/declare that the particulars stated above are true and correct to the best of
my/our knowledge and belief.
No other application for claiming CST has been made or will be made in future against purchase covered by the
application.
(a) The goods for which the claim has been made are meant for utilization/production of goods/services of the
EOU/EHTP/STP unit and will be utilised only in our factory and we shall not divert or dispose off the material
procured without obtaining prior permission of the concerned Development Commissioner.
(b) The goods for which the claim has been made have been entered into the stock register maintained by the unit.
(c) Any information, if found to be incorrect, wrong or misleading, will render/us liable to rejection of our claim
without prejudice to any other action that may be taken against us in this behalf. If as a result of scrutiny any
excess payment is found to have been made to me/us, the same may be adjusted against any of the subsequent
claims to be made by my/our firm or in the event no claim is preferred, the amount overpaid will be refunded by
me/us to the extent of the excess amount paid.
Signature :
Name in Block Letters :
Designation :
Name of the Applicant :
Firm :
ANNEXURE-II
CHARTERED ACCOUNTANT CERTIFICATE / COST ACCOUNTANT CERTIFICATE
I/We hereby confirm that I/We have examined the prescribed material receipt registers, books of account and the
bank statement in respect of the goods mentioned in the table appended, and each entry of the application of M/s
for the period-------------------------------------------- and hereby certify that:
(i) The following documents/records have been furnished by the applicant and have been examined and verified by
me/us, namely material handling registers certified by the zone administration/Bonding Officer, original invoice/bill,
books of accounts and l Bank statement,
(ii) Relevant registers have been authenticated under my/our seal, signatures. It has been ensured that the
information furnished is true and correct in all respects, no part is false or misleading and no relevant information
has been concealed or withheld.
(iii) The Payment has been made by the said M/s. to the DTA suppliers in
respect
of goods received against the original invoice bill(s) as indicated in the table annexed hereto.
(iv) The payments have been made through normal banking channel and have been credited to the accounts of the
197
DTA suppliers.
(v) Such payment includes the amount of CST indicated in the respective invoices.
(vi) All the items shown in the table are admissible for reimbursement of CST under provisions of EOU Scheme
Neither I/We nor any of our partners is a partner/Director or an employee of the above named entity or its
associated concerns.
I fully understand that any submission made in this certificate if proved incorrect or false, will render me/us liable to
face any penal action or other consequences as may be prescribed in the law or otherwise warranted.
Signature & Stamp/seal of the Signatory

Name
Membership No.
Full address
Name and address of the Institution where registered.
Date:
Place:
TABLE
DETAILS OF GOODS BROUGHT INTO UNIT AND CENTRAL SALES TAX PAID DURING THE QUARTER
(i) S.No
(ii) Name and address of the supplier
(iii) Nature and description of goods
(iv) Quantity received and accepted
(v) Invoice value accepted
(vi) Invoice/Bill No. and date
(vii) Date of Receipt of the goods and S. No. of entry in material receipt Register
(viii) CST Amount paid
(ix) C Form No.
(x) Cheque/DD No. date and amount
(xi) Name of Bank and Branch
(xii) CST Registration No. of the supplier:
Note: Table shall show supplier-wise sub-total and grand total of column (v), (vii) and (x) Cheque/DD amount.
198
Signature & Stamp/seal of the Signatory Name

Membership No. Full address
Name and address of the Institution where registered.

Date:
Place:
ANNEXURE III
MINISTRY OF COMMERCE & INDUSTRY

(O/o DEVELOPMENT COMMISSIONER, SEZ)
File No Dated
To
.
.
(Name & Address of the firm)
Subjec
t: Application for payment of CST/Intimation letter (Approval Letter) for admitted claims (Ripe
cases).
Sir,
I am to refer to your application dated for payment of Central Sales Tax in respect of
supplies made to EOUs.
2. Your application has been processed after removal of deficiencies and the case has been admitted for payment
of Rs.. on (Date of approval) during the month of .for refund of CST (strike out the Scheme
not applicable). The case is ripe for payment and cheque will be issued towards settlement of the claim upon
receipt of funds from the Department of Commerce, Govt. of India.
Yours faithfully,
Assistant Development Commissioner

For Development Commissioner
199
APPENDIX-6I
ITEMS PERMITTED FOR IMPORT/DOMESTIC PROCUREMENT BY EOU UNITS
ENGAGED IN AGRICULTURE/HORTICULTURE WITHOUT PAYMENT OF DUTY FOR
SUPPLY TO CONTRACT FARMERS IN THE DTA.
INPUTS:
A. Seeds
B. Fertilizers and chemicals for pre and post harvest treatment such as micro nutrients, plant and growth
regulators and other organic and inorganic substances used for plant nutrition, insecticides,
fungicides, weedicides, herbicides and the like.
EQUIPMENTS:
1. Filters
2. Dripliers, Driplines and Drip-fittings
3. Micro sprinklers and misters
4. Agriculture sprinklers
5. Fertilizer Tanks
6. Valves
7. Fertilizer pumps and chemical injections
8. Crates, drums and preservation media (Such as acetic acid and vinegar)
9. Grading Tables
10. Green House equipment, accessories, heated rooting tables, propagation trays, seeding machines.
11. Plants or parts there of, seeds, saplings, tubers, bulbs, Rhizomes, root cuttings, all types of grafts,
tissue culture material and other vegetatively propagated material utilized for sowing or planting.
12. Growing media such as Peat Moss (including peat litres) whether or not agglomerated), Pearlite/
Verniculate, Rockwool, Coca peat, Hydrocorn, Foam based medium and other cultivation medium.
200
APPENDIX-6J
JURISDICTION OF SPECIAL ECONOMIC ZONES
S. Designation Address/Phone/Fax/E-mail/Website Territorial Jurisdiction

N
o
1 Development SEEPZ-SEZ,Andheri (East), Mumbai Units situated in Santa
Commissioner/ Joint 400096, Maharashtra Cruz SEZ and approved
Development Fax 022-8291385/ 02228291385 EOU/SEZs located in
Commissioner/ Deputy E-mail : [email protected] Maharashtra, Goa,
Development Ph-022-28290856/28294746 Daman and Diu, Dadra
Commissioner/ Asstt. Website-www.seepz.gov.in and Nagar Haveli
Development
Commissioner
2 Development KASEZ, Gandhidham,Kutch-370230, Units situated in Kandla
Commissioner/ Joint Gujarat. and Surat SEZs and
Development FAX : 02836-252194 approved EOU/SEZs
Commissioner/ Deputy E-mail : [email protected] located in Gujarat
Development Ph.-02836-252475
Commissioner/ Asstt. Websitewww.kasez.com
Development
Commissioner
3 Development MSEZ, Administrative Office Building, Units situated in Madras
Commissioner/ Joint National Highway 45, Tambaram, Special Economic Zone
Development Chennai- 600045, Tamil Nadu and approved EOU/SEZs
Commissioner/ Deputy FAX : 04422628218 located in Tamil Nadu,
Development E-mail : [email protected] Andaman & Nicobar
Commissioner/ Asstt. Ph.-044-22628220/30 Islands, Union Territory of
Development Website-www.mepz.gov.in Pondicherry, excluding
Commissioner Mahe and Yanam
4 Development CSEZ, Kakkanad, Cochin 682030, Units situated in Cochin
Commissioner/ Joint Kerala SEZ and approved
Development FAX : 04842413111/222 EOU/SEZs located in
Commissioner/ Deputy Email : [email protected]/ Kerala, Karnataka,
Development [email protected] Lakshadweep and Mahe
Commissioner/ Asstt. Ph.-0484-2413074
Development Website-www.csez.com
Commissioner
5 Development VSEZ, Admn. Office Bldg., Duvvada Units situated in
Commissioner/ Joint Visakhapatnam 530046 Visakhapatnam Special
Development Andhra Pradesh Economic Zone and
Commissioner/ Deputy Fax : 0891-2708255 approved EOU/SEZs
Development E-mail : [email protected] located in Andhra
Commissioner/ Asstt. Ph.-0891-2587555 Pradesh, Telangana,
Development Website-www.vsez.gov.in Chattisgarh and Yanam.
201
Commissioner
6 Development NSEZ, Noida Dadri Road, Phase II, Noida Units situated in Noida
Commissioner/ Joint Distt., Gautam Budh Nagar 201305 Special Economic Zone
Development (UP) and EOU/SEZs situated
Commissioner/ Deputy Fax : 0120-2567276/2562314 in Delhi, Uttar Pradesh,
Development E-mail : [email protected] Uttarakhand, Punjab,
Commissioner/ Asstt. Ph.-0120-256270/3021444-46 Haryana, Himachal
Development Website-www.nsez.gov.in Pradesh, Jammu &
Commissioner Kashmir, Rajasthan,
Madhya Pradesh, and
Chandigarh
7 Development FSEZ, 2nd MSO Building, 4th Floor, Nizam Units situated in Falta
Commissioner/ Joint Place, 234/4, AJC Bose Road, Kolkata- Special Economic Zone
Development 700020 and EOU/SEZs situated
Commissioner/ Deputy FAX : 033-22873362 in West Bengal, Orissa,
Development E-mail : l : [email protected] Bihar, Jharkhand, Assam,
Commissioner/ Asstt. Ph.-033-22872263/22874092 Tripura, Manipur,
Development Website-www.fsez.gov.in Meghalaya, Nagaland,
Commissioner Mizoram, Sikkim and
Arunachal Pradesh.
202
APPENDIX-6K
GUIDELINES FOR EXIT OF EOU/EHTP/STP UNITS
(Please see Para 6.18 (d) of FTP)
a) Applicable customs and excise duties would be paid, on the imported and indigenous capital goods, raw
materials, components, consumables, spares and finished goods in stock. The unit may be allowed to
dispose off raw material, components, consumables etc. against duty free licenses. The unit may also be
permitted to export the CG, raw material/components etc.
b) The penalty imposed by the appropriate authority, under the Foreign Trade (Development and
Regulation)Act, 1992, as amended, for non-fulfillment of the conditions of approval, would be paid. In
case an appeal against an order imposing penalty is pending, exit from the Scheme would be considered
if the unit has obtained a stay order from Competent Authority and has furnished a Bank Guarantee for
the penalty adjudicated by the appropriate authority unless the appellate authority makes a specific order
exempting the unit from this requirement.
c) In case the unit has failed to fulfill the terms and conditions of LOA and penal proceedings are to be taken
up/are in process, a legal undertaking for payment of penalties, that may be imposed, would be executed
with the concerned Development Commissioner as per enclosed proforma at ANNEXURE.
d) EOUs wishing to continue operations in the DTA would need to comply with industrial, locational,
environment or other laws, rules and regulations in force for DTA units.
Note:
i) The unit would fulfill the above mentioned standard conditions in a period of six months from the
date of issue of in principle exit letter and obtain final exit permission from the Development
Commissioner/SIA (in case manufacturing of item requires Industrial Licence) failing which the
approval granted would lapse automatically. DC may however allow a further extension for
fulfillment of the standard conditions in deserving cases.
ii) Further, the unit would continue to be treated as EOU/EHTP/STP unit till the date of final exit
order or issue of fresh LOP under the new scheme in cases of conversion from one scheme to
the other and subject to monitoring of the stipulated obligations under the relevant scheme.
203
ANNEXURE
FORM OF LEGAL UNDERTAKING FOR EXIT OF THE UNIT
M/s ___________________________ _____________________ were granted LOA/LOP

No.______________________________________ dated ________________ for setting up a EOU Unit
__________________________ at ________ for the manufacture and export of
____________________________________________ subject inter-alia to the condition that they would achieve
positive NFE on cumulative basis as per provisions of EOU Scheme.
The unit filed a legal undertaking as per APPENDIX-6E of EOU Scheme on _______________________
with the President of India through the Development Commissioner,_____ SEZ for achieving the above mentioned
commitments.
As against the above commitments, the units actual performance has been as under: -
Year Import Export

CG RM
The unit applied for exit from the EOU Scheme which was approved vide letter No._________________________
dated _______________ subject to, inter-alia, the condition that penalty imposed by appropriate Authority under
the F.T.(D&R) Act, 1992, as amended, for non fulfilment of the conditions of approvals would be paid.
In view of the approval for exit, I/We ___________________________________________________________

hereby undertake as under:
(i) That I/We _______________________________________________________ shall pay whatever

penalties are imposed by the Development Commissioner under FT(DR) Act for non-fulfilment of the terms
and conditions of LOA/LOP.
(ii) That I/We____________________________________________________ shall adhere to the mode of

payment of penalties, if any, and time frame in which penalties are required to be paid to the Director
General of Foreign Trade without any demur or protest.
Full and expanded description

of the unit with full address.
IN WITNESS WHEREOF the unit hereto has duly executed this agreement on
______________________________ this ______________________________ day of
___________________________201__ signed, sealed and delivered by the unit in the presence of :
1. Name ___________________________
Address ___________________________
2. Name ___________________________
204
Address ___________________________
___________________________
(To be authenticated/affirmed by Ist class Magistrate/ Notary Public)

Dy./Jt. Development Commissioner, ___SEZ
205
APPENDIX-6L
GUIDELINES FOR REVIVAL / EXIT OF SICK EOU UNITS
To revive units which may have become sick and to provide an exit route to those units, who may want to
move out of the EOU Scheme, the following guidelines are prescribed :-
1. REVIVAL OF OPERATIONS
i) A unit which has been declared sick by the appropriate authority shall submit a revival package
through the Development Commissioner concerned to the Board of Approval for consideration and
approval.
The Board shall consider the following:
a) Extension in the period for fulfillment of NFE for a further period up to a maximum of 5 years at
the prevalent norms of the EOU Scheme.
b) On extension of the period, unutilized raw material and imported/domestically procured capital
goods shall be allowed to be carried forward at their original value.
ii) On grant of extension, the LUT executed by the unit shall be suitably revised.
2. TRANSFER OF SICK UNIT
i) In case an entity is willing to takeover all the assets and liabilities of a sick unit, transfer of such
assets and liabilities as per the dispensation indicated in Para 1 above shall be considered by the
Board of Approvals. An application for such takeover may be submitted through the Development
Commissioner concerned to the BOA for approval.
ii) The sick unit could also transfer the imported/domestically procured capital goods and raw material to
another EOU units. For the buying units, it shall be treated as a domestically sourced goods for the
purpose of NFE.
3. UTILISATION OF SPACE
i) In event of the units exit from the Scheme as indicated at Para 2 (i) and (ii), the unit shall be liable to
pay all the rental dues as decided by the Development Commissioner. However, if the unit is being
taken over by another unit, the liability shall pass on to the unit, which is taking over the sick unit,
subject to an undertaking being given by the later. However, no penal interest on rental dues shall be
charged for the closure period before take-over.
ii) All adjudication proceeding under FTDR Act shall remain in abeyance in case of revival/take over of
sick unit and approval of it by the Board of Approval.
206
APPENDIX-6M
GUIDELINES FOR CONVERSION OF DOMESTIC TARIFF AREA (DTA) UNIT INTO EXPORT ORIENTED UNIT
(EOU)/ ELECTRONIC HARDWARE TECHNOLOGY PARK (EHTP)/ SOFTWARE TECHNOLOGY PARK (STP)/
BIO-TECHNOLOGY PARK (BTP) UNIT
(Please see Para 6.38 (a) of HBP)
DTA units intending to get converted into EOU/EHTP/STP/BTP unit will follow the procedure as below for such
conversion:-
(1) Apply to concerned Development Commissioner (DC) in a
manner as applicable to new units.
(2) After getting approval of the project and obtaining Letter of Permission (LOP) from DC, execute Legal
Undertaking (LUT) in prescribed format with DC.
(3) Thereafter, apply for private bonded licence to concerned Customs/ Central Excise authority with
execution of B-17 Bond.
WHERE ADVANCE AUTHORISATION IS PENDING REDEMPTION

(3.1) If the unit is having outstanding export commitment under advance authorization scheme, following
procedure before execution of Bond with customs and Central Excise Authority need to be adopted :
(i) Approach concerned Customs & Central Excise Authority and obtain certificate showing physical
verification of unutilized material held in stock against all advance authorizations (not yet redeemed) and such raw
material as intended to be carried forward to EOU;
(ii) Approach Regional Authority along with a copy of the following documents:
(a) LOP/LUT executed with DC,
(b)Certificate of stock verification obtained from Customs/Central Excise
(c) LUT with RA as annexed.
(d) Details of imports/exports against all advance authorizations and utilized/ balance materials as per
prescribed consumption register.
The firm must submit original authorizations and connected documents of exports to concerned R.A.
(iii) RA, will calculate unfulfilled export obligation, as per prevailing norms. In case norms are not fixed, R.A.
will take up with Norms Committee for its fixation. Such export performance would only be taken into account, as
within valid export obligation period of Advance Authorization ;
(iv) R.A. will thereafter communicate No objection to DC and Central Excise Authority with endorsement to
applicant unit.
(v) The unit will approach the Customs/Central Excise Authority for execution of B-17 bond:
(vi) Raw material obtained under Advance Authorization, which is having valid export
obligation period can only be carried over;
(vii) Where export obligation period has expired, only course available is payment of duties, interest and penalty
as applicable, proportionate to unfulfilled export obligation ;
207
(viii) RA would accordingly process case for discharge of obligation and redemption of bond LUT executed
against all the advance authorizations issued already.
EPCG AUTHORIZATION
(4) In case there is an outstanding export commitment under EPCG Scheme, it will be added to future export
obligation by adding value of capital goods to the imported capital goods value of the EOU and all previous
obligations under EPCG would cease to exist on such inclusion.
208
ANNEXURE
FORM OF LEGAL UNDERTAKING FOR CONVERSION OF DTA UNIT INTO EOU
M/s ___________________________ _____________________ were granted Advance/ EPCG

Authorization Nos._______________________________ dated ________________ for manufacture and export of
_____________________________________ subject, inter-alia, to condition that they would achieve required
export obligation as per provisions of Duty exemption/EPCG Scheme.
The unit filed a Bond with Bank Guarantee/ legal undertaking with President of India through
Commissioner of Customs --------------------for achieving the above mentioned commitments.
As against above commitments, the units actual performance has been as under: -
Year Import Export

CG
RM
The unit applied for conversion from Duty Exemption /EPCG scheme to EOU Scheme which was
approved vide letter No._________________________ dated _______________ subject inter-alia to the
condition that penalty imposed by appropriate Authority under the F.T.(D&R) Act, 1992, as amended, for non
fulfilment of the conditions of approvals would be paid.
In view of the approval for conversion from DTA to EOU Scheme, I/We _______________
_____________________________________ hereby undertake as under:
(i) That I/We-----------------------shall continue to be under obligation to fulfill the conditions of above
authorization even after getting converted into EOU
(ii) That I/We _______________________________________________________ shall pay whatever

penalties are imposed by the Development Commissioner under FT(DR) Act, 1992, as amended, for non-
fulfilment of the terms and conditions of Authorization
(iii) That I/We____________________________________________________ shall adhere to the mode of

payment of penalties, if any, and time frame in which penalties are required to be paid to the Director
General of Foreign Trade without any demur or protest.
Full and expanded description

of the unit with full address.
IN WITNESS WHEREOF the unit hereto has duly executed this agreement on
______________________________ this ______________________________ day of
___________________________201__ signed, sealed and delivered by the unit in the presence of :
1 Name __________________________
209
Address___________________________
2. Name ___________________________
Address__________________________
__________________________
(To be authenticated/affirmed by 1st class Magistrate/ Notary Public)

Dy./Jt.DGFT
210
APPENDIX-7A
List of Agencies / Funds notified by the Department of Economic Affairs, Ministry of Finance
(Please see Para 7.02 (e) of FTP)
A list of Agencies / Funds notified by the Department of Economic Affairs, Ministry of Finance vide Public Notice No.
1(FT)/DEA/2010 dated 05.05.2010 and which are entitled for Deemed Export Benefits under FTP.
1. International Bank for Reconstruction and Development (IBRD) and the International Development
Association (IDA).
2. Asian Development Bank (ADB)
PPENDIX-7B
(Pleasesee Para 7.02 (g) of FTP)
A list of Agencies notified under Notification No. 108/95 Central Excise, dated 28.08.1995, where supplies are
made to UN Organization / International Organisation and entitled for Deemed Export Benefits under FTP.
1. United Nations Development Programme

2. United Nations International Children's Fund
3. Food and Agricultural Organisation
4. International Labour Organisation
5. World Health Organisation
6. United Nations Population Fund
7. United Nations World Food Programme
8. United Nations Industrial Development Organisation
APPENDIX-7C
FORMAT OF PROJECT AUTHORITY CERTIFICATE
(Please see Para 4.1.3 of FTP, 7.02(d) of HBP & ANF-7A)
I ................................... (Name and Designation) am duly authorized to issue the Project Authority
Certificate. I hereby certify that M/s. ...................................... have been awarded a contract for supply of goods of
value, quantity and description mentioned below for total value of Rs.................. (in words ............................ )
against purchase order No. ........................ dated ...................
It is certified :-
211
(a) That supplies under contract No...... Dated........ are to be made in India to a project financed by multilateral
or bilateral Agencies/ Funds namely ............ which has been notified by the Department of Economic
Affairs, Ministry of Finance vide their Reference No...... Dated ........ and the same is under the procedure of
International Competitive Bidding in accordance with the procedure of the above mentioned Agency/Fund,
legal agreement of which provides for tender evaluation without including the customs duty in accordance
with the provision in Para 7.02(e) of the FTP, read with APPENDIX-7A, and that the import content of the
order is Rs.(figure and words .....................).
Supply and installation of goods and equipment (single responsibility of turnkey contracts) to projects
financed by multilateral or bilateral agencies/funds as notified by Deptt. of Economic Affairs, Ministry of
Finance under International Competitive Bidding in accordance with the procedures of those
agencies/funds, which the bids may have been invited and evaluated on the basis of Delivered Duty Paid
(DDP) prices for the goods manufactured abroad.
(b) That supplies under the contract are to be made to a project/purpose namely ...................., import to which
is permitted at zero customs duty, by the Ministry of Finance vide Notification Nodt ,
and the same is under the procedure of International Competitive Bidding, but if procured domestically, then
the benefit of Deemed Exports has been prescribed in accordance with the Para 7.02(f) of the FTP, and that
the import content of the order is Rs. (figure and words.........................................).
(c) That supply of goods under the contract made to mega power project in India, at S. No. .................. of List
32 A of Notification No. 49/2012-Customs dated 10.09.2012, as amended, is under the procedure of ICB or
requisite quantum of power has been tied up through tariff based competitive bidding or project has been
awarded through tariff based competitive bidding in accordance with the provisions of Para 7.02(f) of FTP,
and the import content of the order is Rs(Figures and words).
(d) That supply of the goods to projects funded by UN agencies in accordance with the provisions of Para
7.02(g) of the FTP, read with APPENDIX-7B, and that the import content of the order is Rs.(Figures and
words ......................).
(e) That supply of goods to specified nuclear power projects under the procedure of Competitive Bidding is
made in accordance with the provisions of Para 7.02(h) of FTP, and the import content of the order is Rs.
(Figures and words ........................)
2. It is further certified that the contract No ........... Dated................. in respect of ..................... (Name of the
project) has been awarded to M/s.................. as the Indian/ Foreign main contractor and M/s.............. are
the sub-contractor, whose name is also included in the main contract before the date of supply. The
description, quantity of the goods as described below to be supplied to us directly by the sub-contractor or
to be supplied by the sub contractor to the main contractor is shown in the main contract and is in
accordance with the relevant Policy/Procedure applicable to such contracts. It is further certified that the
212
payment in respect of the goods to be supplied by the sub-contractor will be made directly by us/ main
contractor in Indian Rupees.
(Relevant only for contract at Para 1(a), (b), (c), (d) and (e) for which ANNEXURE to APPENDIX-7C be furnished.)
PARTICULARS OF SUPPLIES TO BE MADE
a) By the main contractor
S.No. Description of item to be supplied Quantity
(1) (2) (3)
a) By the Sub-contractor
S.No. Description of item to be supplied Quantity
(1) (2) (3)
3. It is also certified that no other similar certificate to any other party has been granted for the same supplies
detailed above, under the same contract referred to above.
Signature ...............................
Name and Designation......................................
Name of the project ...................................
Seal ..
Telephone Number ..
E-mail ....................
Place Address .........
Date Fax No. . ......
213
Note:
(1) Delete whichever is not applicable.
(2) Each Project Authority Certificate should bear a serial number.
(3) This certificate is to be signed by the Chief Executive of the project concerned or by a senior officer
specifically authorised by him for this purpose whose name, designation are circulated to the Regional
Licensing Authority concerned. The responsibility for sending timely advice of changes in the names of the
nominated officers will solely rest with the project authority concerned.
(4) In the case of supplies to be made by a sub-contractor whose name is included in the main contract, his
name should also compulsorily be indicated in Para 2 with details of supplies to be made by him, alongwith
the name of the main contractor.
(5) In cases, where licences are to be obtained from more than one Regional Licensing Authority in respect of
supplies covered by the same Project Authority Certificate, a self certified copy of the Project Authority
Certificate ( PAC ) in place of the original PAC may be accepted by the Regional Licensing Authority. This
will be certified by an officer who is authorized to file an application for licences on behalf of the company.
While submitting the self certified PAC, the officer concerned will also intimate where the original PAC has
been submitted so that the Regional Licensing Authority may correspond with the other Regional Licensing
Authority.
(6) In case of supplies under Lease financing agreement, the Project Authority certificate shall be jointly signed
by the Project Authority and Lease financing.
ANNEXURE
CERTIFICATE BY THE MAIN CONTRACTOR TO THE SUB CONTRACTOR
It is certified that the contract No. ............ dated ........... in respect of ...................... (Name of the project) has been
awarded to M/s ............................. as the Indian/Foreign main contractor and M/s ......... ............ as the sub-
contractor, whose name is certified in the main contract, before the date of supply. The description and quantity of
the goods as described below to be supplied directly by the sub-contractor to the project authority or to us is shown
in the main contract and is in accordance with the relevant Policy/procedure applicable to such contracts. It is further
certified that the payment in respect of the goods to be supplied by the sub-contractor will be made directly by the
Project Authority/ us.
PARTICULARS OF SUPPLIES TO BE MADE
(a) By the main contractor
S.No. Description of item(s) to be supplied Quantity Value CIF Content
214
(b) By the sub-contractor
S.No. Description of item(s) to be supplied Quantity Value CIF Content
Signature: ..
Name of Authorised Signatory: .
Designation: .
Name of Main Contractor
Telephone Number .
E-mail .
Place Address .....
Date Fax No. ..
APPENDIX-7D
FORMAT OF CERTIFICATE OF PAYMENTS
(Please see Para 7.03 (g) of HBP & ANF-7A)
FORM-I
Certificate of Payment to be Issued for supply of goods falling under categories (e), (f), (g) and (h) of Para 7.02 of
The FTP by The Project Authority to Main Contractor/sub-contractor(s).
or
By Main Contractor to Sub-Contractor(S)
This is to certify that:
(i) I ................................... (Name and Designation) am duly authorised to issue the payment certificate by
company/firm.
215
(ii) The goods of quantity and value as described in contract No..datedand supply Invoices have
been supplied to us against purchase order No.......................dated ............ the details of suppliers are
given below.
(iii) The supplies have been made in accordance with the conditions mentioned in the Project Authority
certificate issued to the supplier on
(iv) Such supplies are covered under Para 7.02 (e), (f), (g), (h) of FTP (mention whichever is applicable).
(v) The name of the sub- contractor has been included in the main contract itself, before the date of
supply, and the description, quantity and value of the goods which has now been supplied to us or to
the main contractor, has already been indicated in the main contract. These supplies conforms to the
specifications laid down in the main contract.
(vi) We have accepted the supplies at the Project site/factory at the price stated in the invoice.
(vii) We have paid to the suppliers, namely, M/s............................ the sum of Rs.(figures and
words.................................) on............. (date) being ............................ per cent of the value of the
goods/ equipments/ capital goods supplied as per terms and conditions of the contract No................
dated............ entered into with the suppliers.
Signature ...................................................
Name ...................................................
Designation ...................................................
Name of the Project .............................................
Telephone Number .
E-mail ......
Address ..
Fax No. .
Place
Date
Note: This certificate should be signed by the Chief Executive In charge of the Project concerned or by a senior officer
specially authorized by him for this purpose.
S.NO. DESCRIPTION OF Qty INVOICE NO DATE FOR VALU DATE OF

GOODS PAYMENT
216
FORM-II
(UNDERTAKING TO BE GIVEN BY THE APPLICANT)
1. We, M/s.............................. undertake in respect of our application dated ........ against................ (description of goods)
supplied to/received from ..................... (name of buyer/supplier), that :-
(a) particulars stated in the application dated ............................ are correct;
(b) the goods as mentioned in application have been supplied to/received from ..................................... in terms of
the contracts referred.
(c) the payment against these supplies have been received/made; and
(d) supplies have been made/received at the prices indicated in Contract No........ dated .............
(2.) If at any future date we, the supplier, are required to refund any amount to the buyer, namely ....................... on
account of non-satisfactory performance of the equipment during the guarantee period or on account of replacement of
defective parts as per contractual agreement, we shall send an intimation to the Regional Authority concerned within 30
days giving full particulars of such refund.
Or
If at any future date we, the recipient, are required to return any goods to the supplier, namely. ....................... on account
of non-satisfactory performance of the equipment during the guarantee period or on account of replacement of defective
parts as per contractual agreement, we shall send an intimation to the Regional Authority concerned within 30 days
giving full particulars of such return.
(3.) We, the applicant, shall refund to the Regional Authority proportionate amount in respect of the amount refunded to
the Project Authority/goods returned back.
Signature ...................................................
Name (In Block Letter)...........................................
Designation .................................................
Telephone Number .
E-mail
Address ...
Fax No. ..
Place
Date
217
APPENDIX -7E
Format for Fixation of Drawback Rate
DBK - I -STATEMENT
Description of the Product supplied ----------------------------------------as per Invoice consist of raw

materials/components used in manufacturing of the resultant product.
S. Name of the Quality Whether Unit Gross qty. Wastage Qty

/Technical
No. material/ imported or required
characteristics
component indigenous Irrecoverable Recoverable
1 2 3 4 5 6 7 8
Sale Price of waste By Product/ co-product Net wt. of the Remarks

per material
unit of Qty
Qty. Sale value per unit
9 10 11 12 13
Give convenient units by which goods are invoiced for supply (e.g. per ton, per dozen/Pcs., per Sq. meter etc).
Notes:-
1. The Units of quantity to be furnished in Col.5 should be given in such a manner that it could be related to
Statements II and III respectively.
2. Maintenance stores/materials such as lubricating oil, greases, fuel etc. which are employed to run the machinery
and plant should be excluded.
3. The data for packing materials should be for the same unit quantity for which data for export product for raw
materials and components have been given.
4. Only those raw materials/components etc. to be indicated for which proof of payment of Customs/Central Excise
duties is shown in DBK-II/III. Details of such inputs need not be given where no benefit of duty paid is claimed
because of MODVAT or absence of proof of duty. Only a brief mention of such inputs being used would be sufficient.
218
Certificate Required For DBK -I Statement
I. On behalf of the applicant, I hereby certify that the materials as mentioned above are actually required and being
used for production of export product.
Signature _________________
(Name & Designation of the Chief
Executive/Production incharge (with seal.)
Station _____________
Date:---------------------
II. It is certified that (To be given by an independent Chartered Engineer/cost Accountant):
a) The consumption of various materials shown in DBK-I has been examined by us and these are actually
required and being consumed in the factory of production for manufacture of export product supplied as
checked by us on verification of the production process and relevant technical and related documents;
b) The imported materials above shown in DBK-I are being actually used in the manufacture of the export
product supplied and are not being substituted by indigenous materials;
c) The wastage /co-product/by-product claimed are as per production process in the factory. There is no
suppression of co-product/by-products. The wastages claimed in our views are reasonable and are
comparable to the general norms for the industry. Where wastages are considered high, an indication
of the normal wastage in the industry has been indicated by us, under 'Remarks' column.
Signature___________________________
_
Name______________________________
_
Designation__________________________
Address_____________________________
Place___________ Branch of Engg.

Date____________ in which qualified:_____________________
Name & Address of the institution under which registered ------------------------------

-
Ref.No.and date of membership. _____________________________________
219
DBK- II Statement
Direct import of materials/components made by the manufacturer and foreign materials obtained locally by the
manufacturer during the period commencing three months prior to the date of supply /first supply upto the date of
application, for manufacture of ______________________ (Name of export product supplied).
S.N Description Technical S.No. in B/E No. & Name of Unit Qty. Assess
o the imported able
characteristics DBK 1 date under
Customs originally value
statement which
House
imported
1 2 3 4 5 6 7 8 9
Heading Rate of Country from Is Basic duty Name and full Remarks
No. in duty which assessment + address of the
Customs imported and final Additional supplier in case
Tariff Act, name of Customs the foreign
1975 supplier Duty material/
Components
obtained locally
10 11 12 13 14 15 16
Notes:
1. If any of the materials mentioned above have also been procured from indigenous sources, this must be
specifically stated in remarks column and full details of the procurement along with proof of payment of duty should
be furnished in DBK-III statement, even if it is claimed that they are not used in the products exported.
2. Minor items which do not contribute to any significant proportion to the expected drawback rates may be ignored,
at the discretion of the applicant.
3. If the assessment against any B/E is not final the nature of dispute may be clearly indicated supported by
appropriate letter from concerned customs authorities. Normally no DBK is admitted for provisionally assessed B/Es.
4. Refund application made against any B/E, with details must be indicated.
5. Stock position of the above materials/Components also to be given separately (in linked statement II-A).
220
CERTIFICATE REQUIRED FOR DBK II STATEMENT
Certified that the particulars mentioned in this statement are correct to the best of my knowledge and belief and no
claims for refund of duty in respect of any of the above mentioned bills of entries (other than whose details are
furnished) has been or will be lodged with the Customs Authorities.
Signature and Stamp of independent Signature ___________________

Chartered Accountant/Cost Accountant
(Name & Designation of the Chief Executive/
Production in-charge (with seal)
Place:
Date:
DBK- IIA - Statement
Details of procurements relating to stock of imported materials as on commencement *date (*the date three months
prior to the date of supply/first supply required for the manufacture of ____________________________(Name of
export product supplied).
S.No. Description Technical S.No. in B/E No. and Name of the Unit Qty. Assessable
imported
characteristics DBK 1 date Customs value
originally
statement covering the House
imported
stock
1 2 3 4 5 6 7 8 9
Heading Rate of Country Is Basic duty Name and full Stock Remarks
no. from
duty assessment + Addl. address of the as on
in Customs where
final customs supplier in case ___
Tariff Act, imported &
duty the foreign
1975 name of
materials/
supplier
components
obtained locally
10 11 12 13 14 15 16 17
221
Note:-
1. In this statement furnish details of stock of all the imported inputs mentioned in statements II which were in stock
3 months prior to the date of supplies of the final product and how these were imported/procured. (Actual stock to be
given under Col.16, with procurement details in other Columns).
2. If the assessment for any of the inputs in stock as shown is not final, the nature and current status of dispute may
be clearly indicated. (Normally no DBK for provisionally assessed B/E are admitted).
3. Refund applications made if any for procurement shown in stock with details to be indicated.
4. Photocopies of all Bills of Entries mentioned above must be enclosed.
CERTIFICATE REQUIRED FOR DBK II A STATEMENT
claims for refund of duty in respect of any of the above mentioned bills of entries has been or will be lodged with the
Customs Authorities.

Chartered Accountant/Cost Accountant (Name & Designation of the Chief Executive/ Production
Incharge (with seal)
Place:
Date:
DBK -III Statement
Materials/Components of Indian Origin obtained by the manufacturer during the period commencing three months
prior to the date of supply /first supply upto the date of application for the manufacture of ____________________
(Name of export product supplied).
Sl. Description Technical S.No. in Unit Qty Assessable Central

excise
No Characteristics DBK-I purchased value
Tariff
statement Heading
no.
1 2 3 4 5 6 7 8
222
Effective rate of Amount of duty Name and Invoice No. Is assessment Remarks
duty paid paid address of and date on duty final
supplier
9 10 11 12 13 14
Notes:-
1. In this statement details of only those items which are chargeable to the excise duty to be given for which proof of
Central Excise duty can be established by Invoices.
2. Materials/Components specified in Drawback II Statement if these are also of indigenous origin and procured
locally should be included in this statement, whether dutiable or not. This is irrespective of the fact whether the said
materials/components are used for export production or not. Where the said materials/components are claimed to be
only for manufacture of goods for local sales and not for exports, this should be specifically indicated in the
Remarks column, against the respective serial number of the said material/component.
3. The particulars of Invoice numbers and date where the applicant is the consignee should be furnished under
col.12. Photocopies of all Invoices for inputs which are subject to Central Excise Duties of 20% or higher and some
representative copies for other Invoices must be enclosed.
4. If the assessment which is not final or duty is paid under protest the extent of dispute may please be clearly
indicated (copy of S V B Order to be attached).
5. Refund applications made if any against any Invoice with Details, to be indicated.
Certificate Required For DBK- III Statement
claims for refund of duty in respect of any of the above mentioned materials/components procured against Invoices/
subsidiary Invoices has been or will be lodged with the Central Excise Authorities.
Signature and Stamp of independent Signature_________

Chartered Accountant/Cost Accountant (Name & Designation of the Chief Executive/
Production incharge) (with seal)
Place:
Date:
223
Statement DBK III A
Details of procurements relating to stocks of indigenous materials as on commencement to (the date three months
prior to the date of supply/first supply)
S. Description Technical S.No. in Unit Qty Assessable Central Excise
No Characteristics DBK-I purchased value Tariff heading
statement originally no.
1 2 3 4 5 6 7 8
Effective rate Amount of Name and Invoice Is assessment Stocks as Remarks
of interest duty paid address of No. and of duty final on _____
supplier date
9 10 11 12 13 14 15
Notes:-
1. In this statement furnish details of stock of all the indigenous materials mentioned in statements I & III which were
in stock three months prior to date of first supplies of the product and how these were procured (including Invoices
Nos.etc.).
2. In this statement details of only those items which are chargeable to the Excise Duty may be given for which proof
of payment of Central Excise duty can be established.
3. The particular of Invoice number, date etc. should be furnished in Column 12.
4. If the assessment which is not final or duty is paid under protest the extent of dispute may please be clearly
indicated.
5. Refund applications made, if any with details to be indicated.
Certificate Required For DBK- III A -Statement
claims for refund of duty in respect of any of the above mentioned materials/components has been or will be lodged
with the Central Excise Authorities.

Chartered Accountant/Cost Accountant
(Name & Designation of the Chief Executive/
Production incharge) (with seal)
Place:
Date:
224
APPENDIX-7F
FORMAT FOR MONTHLY STATEMENT OF DISBURSEMENT OF TED / DBK / INTEREST
(Please see Para 7.10 (c) of HBP)
Name of the RA ___________________

Report for the month_______________
1 2 3 4 5 6 7
S.No. Name of the Category Date of Date of Payment Amount of Payment Reason(s)
applicant of Claim approval for payment
letter of interest
Principal Interest Principal Interest
TED
DBK
Name of officer:
Designation:
Tel No:
E-mail:
Date:
225
Appendix-8A
APPLICATION FOR CERTIFICATION OF EXPORT PERFORMANCE OF UNITS IN THE
PHARMACEUTICAL AND BIOTECHNOLOGY SECTORS BY THE REGIONAL OFFICES OF THE
DGFT AS PER CUSTOMS NOTIFICATION NO 12/2012 DATED 17.03.2012 (erstwhile Notification
No. 21/2002 Dated 01.03.2002)
1 Name and Address of the

. Applicant
2 IEC Number
.
3 Details of exports and import
. entitlement:
Precedi Entitlem Cumulative Balance CIF Balanc

ng ent @ imports import Value of e
licensin 25 % of already entitlem Import entitle
g years the FOB undertaken ent to be ment of
physical value of under (in Rs. underta imports
exports physical Customs crores) ken
(in exports Not 21/2002 under
Rscrore (in Rs. (2) (3) this (4)
s) crores) applicati (5)
on (In
Rs.
crores)
(1) (2) (3) (4) (5) (6)
Declaration/Undertaking by the Proprietor/Partner/Director
a. We/I hereby declare that the said goods are imported for use in pharmaceutical and biotechnology
sector and shall be used in the manufacture of commodities only.
b. We/ I hereby undertake that the total value of goods imported during 2005-2006 under Customs
Notification No 21/2002 will not exceed 25% of the FOB value of exports in the financial year 2004-
2005.
c. We/I hereby undertake that the imported goods would be installed in the factory of the importer within
6 months of the date of importation. These goods would not be transferred or sold for a period of 7
years from the date of installation.
226
d. We/I hereby declare that the Research and Development wing of the unit which has undertaken
these imports is registered with the Department of Science and Industrial Research in the Ministry of
Science and Technology of the Government of India.
e. We/I hereby declare that the above statements are true and correct and nothing has been concealed
or held there from. We/I fully understand that any information furnished if proved incorrect or false will
render us/me liable for penal action and other consequences as may be prescribed in the FTDR Act
1992, Foreign Trade Regulation Rules, 1993 and Orders framed thereunder, and any other law in
force.
Date: Name of the Proprietor/ Director (s)/ Partner (s)

Place
Signature of the Proprietor/Director(s)/Partner(s)
Designation:
Email id:
Phone no.:
Residential Address:
CHARTERED ACCOUNTANTS CERTIFICATE/COST ACCOUNTANTS CERTIFICATE
This is to certify that I have verified the details furnished by the unit as at S.Nos 1 to 3 along with the
Declaration/ Undertaking given by the Proprietor/ Partner/ Director of the unit(s) and find them to be true and
correct.
Chartered
Accountants
Name/Cost
Accountants Name
Membership Number& Seal
Address
Name and address
of the Institute with
whom registered
227
VERIFICATION BY THE REGIONAL OFFICE OF THE DIRECTORATE GENERAL OF FOREIGN

TRADE
This is to verify that the details supplied by the firm in the said Appendix have been verified by the Chartered
Accountant/Cost Accountant and are correct as per the records submitted by the Unit to this office. The
certificate is issued for allowing duty free import of listed equipment given in List 27A of the Customs
Notification 10/2002 dtd 21.02.2002 for a value of Rs ............... words and figures ....................subject to
conditions mentioned in the aforesaid Customs Notification.
Date:
Place:
(Signing Authority)
For the Office of the Additional/Joint Director General of Foreign Trade, ...........
228
APPENDIX -8B
APPLICATION PERFORMA FOR CERTIFICATION OF EXPORT PERFORMANCE OF UNITS IN
AGRO CHEMICALS SECTORS BY THE REGIONAL OFFICES OF THE DGFT AS PER CUSTOMS
NOTIFICATION NO 12/2012 dated 17.3.2012
1. Name and Address of the Applicant
2. IEC Number
3. Details of exports and import entitlement
Preceding Entitleme Cumulativ Balance CIF Value of Balance

licensing nt @ 1% e imports import Import to be entitlement
years of the already entitleme undertaken of imports
physical FOB undertake nt (in Rs. under this (4) (5)
exports (in value of n under crores) application
Rscrores) physical Customs (2) (3) (In Rs.
exports Not crores)
21/2002
(in Rs.
Crores)
(1) (2) (3) (4) (5) (6)
Declaration/Undertaking by the Proprietor/Partner/Director
a. We/I hereby declare that the said goods are to be imported for Research and Development purpose
only
b. We/ I hereby undertake that the total value of goods imported during . under Customs Notification
No 12/2012 dated 17.3.2012 (erstwhile Notification no. 21/2002 dated 1.3.2002. ) will not exceed
1% of the FOB value of exports in the financial year
c. We/I hereby undertake that the imported goods would be installed in the factory of the importer within
6 months of the date of importation. These goods would not be transferred or sold for a period of 7
years from the date of installation.
d. We/I hereby declare that the imports by the unit are for Research and Development in the agro
chemical sectors.
e. We/I hereby declare that the Research and Development wing of the unit which has undertaken these
imports is registered with the Department of Scientific and Industrial Research in the Ministry of
Science and Technology of the Government of India
f. We/I hereby declare that the above statements are true and correct and nothing has been concealed or held
229

therefrom. We/I fully understand that any information furnished if proved incorrect or false will render us/me
liable for penal action and other consequences as may be prescribed in the FTDR Act 1992, Foreign Trade
Regulation Rules, 1993 and Orders framed thereunder, and any other law in force
Name of the Proprietor/ Director (s)/ Partner (s)
Signature of the Proprietor/Director(s)/ Partner(s)
Designation
E-mail id:-
Phone No.:-
Residential Adress:-
Date:
Place:
CHARTERED ACCOUNTANTS CERTIFICATE/COST ACCOUNTANTS CERTIFICATE
This is to certify that I have verified the details furnished by the unit as at S.Nos 1 to 3 along with the
Declaration/ Undertaking given by the Proprietor/ Partner/ Director of the unit(s) and find them to be true and
correct.
Chartered Accountants
Name/Cost
Accountants Name
Membership Number& Seal
Address
Name and address of
the Institute with whom
registered
230
VERIFICATION BY THE REGIONAL OFFICE OF THE DIRECTORATE GENERAL OF FOREIGN TRADE
This is to verify that the details supplied by the firm in the said Appendix have been verified by the Chartered
Accountant/Cost Accountant and are correct as per the records submitted by the Unit to this office. The
certificate is issued for allowing duty free import of listed equipment given in List 27-A of the Customs
Notification 10/2002 dtd 21.02.2002 for a value of Rs ............... words and figures ....................subject to
conditions mentioned in the aforesaid Customs Notification.
Date:
Place:
(Signing Authority)
For the Office of the Additional/Joint Director General of Foreign Trade, ..........
231
AAYAT NIRYAT
FORMS
(ANFs)
ANF- 1
PROFILE OF EXPORTER AND IMPORTER
Note: Please state Not Applicable wherever the information/data is not applicable to you.
1. IEC details:
i. IEC Number:
ii. Date of Issue and Issuing Authority:
2. Applicant firms details :

i. Name of the entity:
ii. Address (Registered Office in case of Companies and Head Office in case of Others):
iii. Landline no. if any:
iv. Mobile number:
v. e-mail id/ website address:
vi. Nature of the Concern: Proprietorship/Partnership /Limited Liability Partnership/Private limited/ Public
Limited/Govt. undertaking/Section 25 Company/Registered Society/Trust/HUF
vii. Preferred Activities: Merchant Exporter/Manufacturer Exporter/Service Provider/ Others
viii. Bank Account details of the applicants entity:
ix. PAN Details of the Entity:
x. LLPIN/CIN/Registration no. (if applicable):
Part B: Branch details
i Number of Branches:
Ii Address of Branches , Divisions, units, factories :
3. Details of Proprietor/Partners/Directors/Karta/Trustee of the applicant firm:

i. Name as in PAN (Mr/Mrs):
ii. Fathers Name:
iii Date of Birth (DD/MM/YYYY):
iv Residential Address:
v. Mobile Number:
vi. PAN :
vii.DIN(if applicable):
viii. Aadhar Card Number:
4. Industrial Manufacturing Registration Details:

i. SSI/EM/LOI or IL Registration No./any other document to prove a manufacturer status:
ii. Date of Issue and validity/ Issuing Authority:
iii. Products for which Registered:
5. Service Tax Registration Details (in case of Service providers):

i. Service Tax Registration No/ Issuing Authority :
ii. Services for which registered:
6. RCMC details:
i. RCMC no. / Issuing Authority :
ii. Date of Issue and validity:
1

iii. Products for which registered:
7. Status House Details (Please tick) One Star/Two Star/Three Star/Four Star/Five Star:
i. Certificate number/ Issuing Authority:
Ii Date of issue and validity
8.Central Excise Registration No./ Issuing Authority:
9. VAT Registration No./ Issuing Authority:
10. Turnover Details for the preceding three financial years:

Financial Year Annual Domestic Turnover (Rs. Lakhs) Annual Export Turnover (Rs. Lakhs)
DECLARATION:
1 I/We hereby certify that :

A. the entity for whom the application has been made have not been penalized under any of the following
Acts (as amended from time to time):
(i) The Customs Act, 1962,
. (ii) The Central Excise Act 1944,
(iii) Foreign Trade (Development & Regulation) Act 1992, and
(iv) The Foreign Exchange Management Act,1999;
(v) The Conservation of Foreign Exchange, Prevention of Smuggling Activities Act, 1974
B. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust, (as the
case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other Company/ firm /
entity which is on the Denied Entity List (DEL) of DGFT;
C. neither the Registered Office of the company / Head Office of the firm / nor any of its Branch Office(s)/
Unit(s)/ Division(s) has been declared a defaulter and has otherwise been made ineligible for undertaking
import / export under any of the provisions of the Policy;
D. we have not obtained nor applied for issuance of an Importer Exporter Code Number in the name of our
Registered / Head Office to any other Licensing Authority
I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, as
2 amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook
of Procedures and the ITC (HS) Classification of Export & Import Items.
I/We fully understand that if any information furnished in the application is found incorrect or false will render
3.
4. I/We hereby declare that the particulars and the statements made in this application are true and correct to the
best of my/our knowledge and belief and nothing has been concealed or withheld therefrom.
5 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign
Trade Policy.
Place Signature
Date Name & Designation
Official address & Tele No
Residential Address
Email Address
ANF -2A
APPLICATION FORM FOR ISSUE/MODIFICATION IN IMPORTER EXPORTER CODE(IEC) NUMBER
Part A
Please read the detailed guidelines before filling up this form. Digital
Click here to read the guidelines. Photograph
Click here for information about requisite documents to be uploaded. of the
The documents should be uploaded in digital formatGIF, JPEG size Applicant
not exceeding 5MB. (3x3cm)
Ensure that the requisite documents are legible before uploading.
Applicant Details
i. Name of entity in whose name IEC is required
ii. Address: (Registered Flat/Plot/Block No.:

Office Address is required
in case of Companies/ Street/Area/Locality:
Head Office Address is State: District:
required for all other
categories) City: PIN Code:
iii Landline telephone no., if any (with area code)

iv Mobile No. Primary Mobile No.
Other Mobile No, if any
v Email ID / Primary Email ID Alternate Email ID, if any:
Website (for correspondence with DGFT):
Address:
Website (if any): FAX No.(if any, with area code)
o Proprietorship
o Partnership
o Limited Liability Partnership
vi Nature of o Private limited
concern / entity o Public Limited
(Please tick o Govt. undertaking
relevant category): o Section 25 Company
o Registered Society
o Trust
o HUF
vii:(a) Preferred Activities : Merchant Exporter
(Please tick the relevant category) Manufacturer Exporter
Service Provider
vii.(b) Others (please specify):
viii Bank Account Details of the Applicants entity:

1. Name of the account holder
2. Account Number:
3. Name of the Bank:
4. Branch address of the Bank:
5. IFS Code :
SUBMIT HERE TO PROCEED FURTHER
Enter Registration Code: (As received on mobile/ email provided as above) and continue:
3

Part B : Branch
B Detailss
i Enter number
n of Braanches/ Divisions/Units/Facctories locatedd in India and abroad:
ii Addresss of Flat/Plot/Block
F No.:
Branch hes, Street/Area/Loc
S cality:
Divisio
ons, Units,
State:
S District:
Factoriies located
in Indiaa and City: PIN Codee:
abroadd
Part C : Please
P fill in thhe following details:
d
Part C 1 In case thhe entity is a Proprietor

P firm
m:
1.a) Name of Proprietorr
b) Residen
ntial Flat/Ploot/Block No.:
Address
Street/A
Area/Locality:
State: District:
City: PIN
Code:
c) Aadhaaar Card Numbeer, if availablee:
Part C 2: In case the entity

e is Partnnership firm
1.PAN dettails of the Name
N as in PA
AN
entity D of Incorporation (DD/MM
Date M/YYYY)
P
PAN
2. Enter thhe number of partners in thhe Partnershipp Firm :
3. Fill in the
t following details for eacch partner:
a. Name ass in PAN
b Fatherss name
c. Date of Birth (DD/MM/YYYY)
d. Resideential Flat/Plot/Block No.:
N
Address of o the
Partner: Sttreet/Area/ Loccality:
Sttate: District:
C
City: PIN Code:
e. Mobile No.
N
f.
PA
N:
g. Aadhaaar Card Numbeer, if availablee
Part C 3: In case the entity

e is a Lim
mited Liability Partnership/ Private/
P Publicc/Govt. Underrtaking / Sectioon
25 Compaany:
1.PAN dettails Namme as in PAN
of the firm
m: Datte of Incorporation
PAAN
2. LLPIN /CCIN (whicheveer is applicablle)
3. Registraation Certificaation No.
4. Enter th
he number of Partners/Direectors in the FFirm/Companyy :
4
5. Fill in the following details for each Partner/Director:
a. Name
b PAN
c. Director Identity Number
d. Aadhaar Card Number, if
available
Part C 4: In case the entity is a Registered Society/Trust**

**( Individuals /Charitable institutions/ Registered NGOs importing goods, which have been exempted from
Customs duty under Notification issued by the Ministry of Finance for bonafide use by victims affected by natural
calamity may refer to the para 2.07 of Handbook of Procedure and use Permanent IEC No 0100000126)
1. PAN details Name as in PAN
of the Date of Incorporation
Society/Trust: PAN
2. Registration Number:
3. Details of the Secretary/ Chief Executive of the Society; or Managing Trustee of the Trust
a. Name as in PAN
b. Residential Address Flat/Plot/Block No.:
Street/Area/ Locality:
State: District
City PIN
c. Aadhar Card No. if available
Part C 5: In case the entity is a HUF

Name as in PAN
1. PAN details Date of Incorporation
of the Entity: PAN
2.Details of the Karta
a. Name as in PAN
b. Residential Address Flat/Plot/Block No.:
Street/Area/ Locality:
State: District
City PIN
3. Aadhar Card Details, if available
Part D: DECLARATION/UNDERTAKING
case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other Company/ firm
/ entity which is on the Denied Entity List (DEL) of DGFT;
Unit(s)/ Division(s) has been declared a defaulter and has otherwise been made ineligible for
undertaking import / export under any of the provisions of the Policy;
Registered / Head Office to any other Licensing Authority
2 amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the
Handbook of Procedures and the ITC (HS) Classification of Export & Import Items.
3. me/us liable for any penal action or other consequences as may be prescribed in law or otherwise
warranted.
4. I/We hereby declare that the particulars and the statements made in this application are true and correct to
the best of my/our knowledge and belief and nothing has been concealed or withheld there from.
Trade Policy.
Tick the box as acceptance of declaration/ undertaking and fill in the details below.
Place:
Date:
Name of the applicant*:
Designation:
Official Address:
Telephone/Mobile No:
Email of the applicant:
PAN of the signatory applicant*:
CLICK HERE TO UPLOAD DOCUMENTS AND THE APPLICATION FORM
Part E:
1. Click HERE to review the information submitted and check the documents uploaded. Ensure that all
requisite columns are filled in and legible copies of requisite documents have been uploaded.
2. Click HERE to pay the fees.
3. Select the Jurisdictional RA to submit the IEC application :
4. Click HERE to digitally sign* and submit the application form online to Jurisdictional RA.
OR
Click HERE to print the filled up application form.
The print out of the application form duly signed and uploaded* may then be submitted either, through
post or handed over physically in the office of the concerned Jurisdictional RAs office.
Note* Application has to be signed by Proprietor/ Managing Partner/ Designated Partner /Director/
Secretary or Chief Executive of the Society/ Managing Trustee / Karta as the case may be.
DETAILED GUIDELINES FOR ISSUE / MODIFICATION OF IMPORT EXPORT CODE NUMBER (IEC)
I Who needs to apply: All who intend to import/export, are required to have an IEC. However certain
categories of Importer/ Exporter are exempted from those obtaining IEC. The list of such categories of such
categories is at paragraph 2.07 of Handbook of Procedure.
Click Here to see the exempted categories
II Application Process:
Step 1 : Click on the link Online IEC application on DGFT website http://dgft.gov.in.
Step 2 : Fill up Applicant Details in Part A and submit.
Step 3 : Registration Code will be sent at the email and / mobile number provided by the applicant. It will
enable the applicant to fill further details in the Application form. Remember or write down the
Registration Code at any safe place. This may be required in case of deficiency note requiring
refilling of information/documents.
Step 4 : Fill in relevant columns in Part B and C.
Step 5 : The Declaration/Undertaking as in Part D may be read carefully and the box underneath it may
be ticked as token of having read and accepted the Declaration/ Undertaking. The details of the
signatory applicant may also be filled thereafter.
Step 6 : The digital photograph, requisite documents (as detailed below) and the application form may
then be uploaded.
Step 7 : In Part E, review the information submitted and check to ensure that documents uploaded are
legible and then pay the application/modification fee.
Step 8 : Select the concerned Jurisdictional Regional Authority. Details of appropriate Regional Authority
are also available at http://dgft.gov.in/ exim/2000 /map. html.
Step 9 : Filing application along with the requisite documents online is mandatory. Those with
digital signatures can sign the application form digitally and submit it to Jurisdictional RA.
OTHERS
Take a print out of the complete form. The Declaration /Undertaking is to be signed and uploaded
alongwith other requisite documents. Thereafter the signed application form is required to be
submitted through post or handed over in the office of the concerned Jurisdictional Regional
Authority. No documents are required to be attached.
Step 10 : On submission of the form, a confirmatory message/sms of receipt would be sent on the
registered email/ mobile number.
Step 11 : After processing of documents/details an email would be sent at the email address of the
applicant informing that an e-IEC has been approved and a digitally signed e-IEC (no.
........) has been generated . The e-IEC can be viewed and printed by clicking on Online
IEC application on the DGFT website (http://dgft.gov.in/) and submitting the requisite
details therein.
Or a rejection letter would be sent on e-mail, conveying the grounds of rejection.
Step:12 Deficiency can be removed by re-login onto the Online IEC application on DGFT website and
filling the form afresh with requisite application processing fee.
Applicants seeking modification in IEC, please check instructions in Para (VI) of the
NOTE detailed guidelines.
III. IEC application fee is Rs. 500/-. For Modification the Fee is Rs 200/-
IV Mode of Payment of application fee:
For payment of fee the applicant can use the Electronic Fund Transfer (EFT from the bank account of the
applicant) mode.
For Electronic Fund Transfer (EFT), the Applicant should have a Net Banking Account with one of the
following designated banks:
i. HDFC Bank ii. ICICI Bank

iii. Bank of India iv. State Bank of India
v. Central Bank of India vi. Punjab National Bank
vii. IDBI viii. Axis Bank
ix. Union Bank of India x. Oriental Bank of Commerce
V: Tick and upload the requisite documents as detailed below:

Proprietorship Digital Photograph (3x3cms) of the Proprietor.
A Copy of PAN card of the Proprietor.
Copy of Passport (first & last page)/Voters I-Card/ Driving Licence/UID (Aadhar card)
(any one of these).
Sale deed in case business premise is self-owned; or Rental/Lease Agreement, in case
office is rented/ leased; or latest electricity /telephone bill.
Bank Certificate as per ANF 2A(I)/ Cancelled Cheque bearing pre-printed name of
applicant and A/C No.
Digital Photograph (3x3cms) of the Managing Partner.

B Partnership firm Copy of PAN card of the applicant entity.
Copy of Passport (first & last page)/Voters I-Card /UID (Aadhar Card) /Driving
Licence/PAN (any one of these) of the Managing Partner signing the application.
Copy of Partnership Deed.
Bank Certificate as per ANF 2A (I)/Cancelled Cheque bearing pre-printed name of the
applicant entity and A/C No.
LLP firm Digital Photograph (3x3cms) of the Designated Partner/Director of the Company
C Government signing the application.
Undertaking Copy of PAN card of the applicant entity.
Public Limited Copy of Passport (first & last page)/Voters I-Card /UID (Aadhar Card) /Driving Licence/
Company PAN (any one of these) of the Managing Partner/Director signing the application.
Private Limited Certificate of incorporation as issued by the RoC
Company Sale deed in case business premise is self-owned; or Rental/Lease Agreement, in case
Section 25 office is rented/ leased; or latest electricity /telephone bill.
Company Bank Certificate as per ANF 2 A(I)/Cancelled Cheque bearing pre-printed name of the
company and A/C No .
Registered Digital Photograph (3x3cms) of the signatory applicant/Secretary or Chief Executive.

Society Copy of PAN card of the applicant entity.
D
Trust Copy of Passport (first & last page)/Voters I-Card /UID (Aadhar Card) /Driving Licence/
PAN (any one of these) of the Secretary or Chief Executive/ Managing Trustee signing
the application.
Registration Certificate of the Society / Copy of the Trust Deed
Bank Certificate as per ANF 2A(I)/Cancelled Cheque bearing pre-printed name of the
Registered Society or Trust and A/C No.
E HUF Digital Photograph (3x3cms) of the Karta.

Copy of PAN card of the Karta.
Copy of Passport (first & last page)/Voters I-Card/ UID (Aadhar card)/ Driving Licence
(any one of these) of the Karta.
Sale deed in case business premise is self-owned or Rental/Lease Agreement, in case
office is rented/ leased or latest electricity /telephone bill.
Bank Certificate as per ANF 2A(I)/ Cancelled Cheque bearing pre-printed name of
applicant and A/C No.
VI Modification in Import Export Code (IEC) number*
(*Before seeking modification in IEC, kindly carry out necessary modifications in other requisite/supporting
documents, and these documents may be uploaded as requisite proof of changes made.)
1. For Modification, enter the IEC Number :
2. Click here, to modify and update the existing details as in Part A,B and C
3. Declaration /Undertaking as in Part D may be accepted and details there under may be filled.
Thereafter, the requisite documents and the application form may be uploaded.
4. In Part E,
(i) Review the information submitted and check the documents uploaded.
(ii) Pay application fee of Rs 200/- for modification in the IEC number.
(iii)Select the Jurisdictional RA to submit the form.
(iv)Digitally sign and submit the application form online to Jurisdictional RA
OR
Print the filled up application form.The duly signed printed version of the filled up application
form may then be submitted either, through post or handed over physically in the office of
the concerned Jurisdictional RAs office.
ANF 2A(I)
FORMAT OF BANK CERTIFICATE FOR ISSUANCE OF IEC
(To be issued on the official letter head of the Bank)
Ref No. ...........................
To
..........................................
(Name and address of the issuing authority)
Sir/ Madam
....................................................................................... (Name of the bank/branch) certify that

M/s...................................................................... (Name and Address of the account holder) is/ are maintaining a
Savings Bank Account / Current Account (tick whichever is applicable) No. ........................ with us, since
.................. ...
Affix
Passport
Size
Photograph
of the
applicant
Note: The photograph as affixed and attested is of the account holder.
(Signature of the issuing authority)

(Not below the rank of Manager)
Name...............................
Designation
IFS Code of the issuing bank:
Date: ...................
Place: ................... (Banks
Stamp)
10
ANF 2(A) (II)
FORMAT OF ELECTRONIC IMPORTER - EXPORTER CODE (e-IEC)
GOVERNMENT OF INDIA
MINISTRY OF COMMERCE & INDUSTRY
OFFICE OF _______ DIRECTOR GENERAL OF FOREIGN TRADE
--------------------------------
--------------------------------
(Full Address)
CERTIFICATE OF ELECTRONIC IMPORTER - EXPORTER CODE (e-IEC)
[This is a computer generated certificate. The authenticity of this certificate may be verified by clicking on
the link View your IEC on the DGFTs website (http://dgft.gov.in) and filling in the e-IEC number and
minimum three letters of the name of the e-IEC holder.]
1. Name
2. Address
3. Name and Designation of

the signatory applicant whose
photograph has been uploaded digital photograph
4. Address of the
Branch/Div./Unit, if any:
5. IEC number:
6. Date of issue:
7. PAN:
Place:
Date:
Name and Designation of the Issuing Authority
ANF- 2B
11
ANF- 2B
APPLICATION FORM FOR IDENTITY CARD
(The Importers / Exporters can avail the facility of collection of Authorization & documents from the counters of the
concerned RA through an authorized person holding identity card issued by the RA or submit a self addressed
envelope affixed with postal stamp of Rs.40/- for delivery of aforesaid documents by post) .
Photograph duly
attested by
Proprietor/
Partner/
1) Name of the person :.............................
(in whose favour Identity Card is to be issued) Director/Power of
Attorney Holder
2) Designation of the person :.............................
3) IEC Number of the firm: :.............................
4) Details of Fee :
a) TR Challan No:
Name of the Bank /Branch of issue
b) EFT (Electronic Fund Transfer) Transaction No
c) Credit/Debit Card Payment Transaction No:
DECLARATION
i) I / We Shri ................................. , Proprietor/Partner/Director of the firm/company hereby declare

that the person in whose favour identity card is to be issued is the authorised employee of the firm.
ii) I / We further undertake that the document(s) /Licence(s) may be handed over to the Identity Card
holder at the sole risk and responsibility of the firm.
Signature of the proprietor/ partner/

Director/Power of Attorney Holder
Place
Date Name
Designation
Documents to be enclosed with the application form
1. Copy of TR Challan/ EFT/Credit/Debit Card payment receipt evidencing payment of fee

2. Two passport size photographs of the person in whose favour identity card is to be issued.
12
ANF -2C
APPLICATION FORM FOR REGISTRATION CUM MEMBERSHIP CERTIFICATE (RCMC)
To
The _______________________________
_______________________________
_______________________________
(Name and Address of the Council)
Dear Sir,
Kindly register us as Merchant exporter /Manufacturer exporter/Merchant cum Manufacturer exporter of the export
product(s) mentioned below.
1. Name of the applicant : ______________________________
2. (i) Address of the applicant. : ___________________________________________

(Registered Office in case of limited
_________________________________________
companies, and the head office for
others)
(ii) Name address of the branches, if any : ___________________________________________
(iii) Name and address of the factory. : ___________________________________________
3. (i) IEC number : _____________________________________

(ii) Date of issue
_____________________________________
(iii) Issuing authority
4. ________
Payment details :
____________________________________
5a If registration is required as a manufacturer : No. ________________________
exporter Date _______________________
(SSI Registration/ Industrial Licence/IEM ) Issuing Authority: _____________
b. Others (specify) : ___________________________

c EH/TH/STH/SSTH/SHE/ISEH/ISSEH : Valid upto __________________
/ISSEH certificate number
6. If Status Holder : (category) : certificate number: ____________________
Valid upto __________________
7. (a) Name of export product(s) or its : ____________________________
category for which registration is
required
(b) Main line of business of applicant :
8. I hereby solemnly declare that the above stated information is true and correct and I undertake to
abide by the FT (D&R) Act, 1992 and the provisions under FTP.
9. I/We hereby solemnly declare that the above stated information is true and correct. I/We undertake,
without any reservation, to:
(a) abide by the terms of the registration certificate granted to us on all our exports;
(b) agree to abide by any code of conduct that may be prescribed;
(c) agree to abide by export floor price condition that may be stipulated by the Registering
Authority;
(d) Furnish without fail monthly returns of exports including NIL returns to the Registering
authority by 15th day of the months following the quarter.
10. We further understand that our registration is liable to be cancelled in the event of breach of any of
the undertakings mentioned above.
11. I solemnly declare that I have applied to the Export Promotion Council which pertains to our main line
of business. In case I have applied to any other council, the application has been made within the
purview of the provisions of Para 2.94 of the Handbook of Procedures.
13
Place _______________
Date _______________ Yours
faithfully,
(Signature)
Name ___________________________
Address ___________________________
Designation ___________________________
Email
Mobile no.
Documents to be enclosed with the application form:

1. A self certified copy of the IEC issued by the licensing authority concerned.
14
ANF-2D
App
plication forrmat for see
eking Policy
y/Procedure
e Relaxation
n in terms of
o Para 2.58
8 of FTP
A
Application forr:
Extension of EOP
Revalidatio
on of Authorissation/Scrip/Certificate
Clubbing of
o Authorisatioons
Waiver of PC-18
P conditio
on/other conddition of Authoorisation
Waiver of Procedural
P reqquirement as per HBP
Other requ
uest
Frresh Application Review off Earlier decission
1
1. IEC Noo
2
2. Amounnt of Fee paid Mode of
o payment
3
3.. Name and
a address off the applicant firm/company
4
4. Authoriisation(s)/scrip No and date
5
5. Originaal/extended validity of the Authorisation/scripp for import
6
6. Originaal/extended Export
E obligaation period in the
Authoriisation
7
7. Date off First Import coonsignment
8
8. Date off last import consignment
9
9. Date off first export shhipment
1
10. Date off last export shipment
1
11. Actual imports made, items wise (in %)
1
12. Exportss made withinn original /exttended export obligation
period (in %)
1
13. Exportss made outsside the origginal/ extended export
obligatiion period (in %)
%
1
14. Time period
p for whicch Extension inn EOP or revaalidation for
import is sought
1
15. Reasonn/justification (nnot more than 2200 words)
1
16. Supporrting documentts, if any, to be attached duly scanned
15
17. If request is for clubbing:
(i) Description of Import items and actual quantity

imported (in %) for each items
(ii) Description of export Items and actual quantity
exported (in %)
(iii) E.O. status on clubbing
(iv) V.A. achieved on clubbing (in %)
18. If request is for waiver of PC -18 condition:
(i) Total quantity of input(s) imported from un-

registered sources
(ii) Actual quantity consumed and exported
(iii) Balance quantity, if any
19. If request is for EOP Extension:
(i) Total quantity for all items imported-(in Kgs)

(ii) Actual quantity consumed and exported-(in
Kgs)
(iii) Balance quantity available physically
(certificate/declaration to the effect shall be
submitted on firm/ companys letter head)
20. If request is for other category:
(i) Documents/provisions for which relaxation is

being sought
(ii) Relevant Para of FTP/HBP for which relaxation
is being sought
Undertaking/Declaration

A. the entity for whom the application has been made have not been penalized under any of
. the following Acts (as amended from time to time):
B. none of the Proprietor / Partner(s) / Director(s) / Karta / Trustee of the firm / company, as the
case may be, is/are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm /
Company which is on the Denied Entity List (DEL) of DGFT;
C. neither the Registered Office / Head Office of the firm / company nor any of its Branch
Office(s)/ Unit(s)/ Division(s) has been declared as defaulter and has otherwise been made
ineligible for undertaking import / export under any of the provisions of the Policy;
2 I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation)
Act, 1992, as amended from time to time, the Rules and Orders framed there under, the Foreign
Trade Policy, the Handbook of Procedures and the ITC (HS) Classification of Export & Import
Items.
3. I/We fully understand that any information furnished in the application if found incorrect or false
16
will render me/us liable for any penal action or other consequences as may be prescribed in law
or otherwise warranted. And, decision taken by PRC shall stand withdrawn.
4. I/We hereby declare that the particulars and the statements made in this application are true and
correct to the best of my/our knowledge and belief and nothing has been concealed or held
there from.
5 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of
the Policy.
6. I/We hereby declare and certify that goods inmorted against Advance Authorisation is available
with me/us and has not been sold/transferred.
Documents to be enclosed:
In case request for EOP extension:

1. Certificate from the concerned Excise Authority certifying that goods imported against the
Authorisation is available with the applicant in proportion of shortfall and have residual life of
.months. (in case applicant is not registered with excise, a certificate from Chartered
Accountant will be submitted)
2. A certificate from the Authority/Agency Regulating the product, in case request is for
Authorisation issued with restricted obligation as per Appendix 30A(old) / 4J (new), that the
unutilized goods available with the applicant has residual life of .months.
Note: One set of documents along with fee shall be submitted to the RA concerned and another set of
documents along with proof of payment of fee shall be submitted to Chairman PRC, Udyog Bhawan, New
Delhi. On receipt of application, RA shall supply their comments to PRC within 5 working days.
Name:
Designation:
E-mail Address:
Contact No:
17
ANF-2E
Application for seeking personal hearing for redressal of grievance
(Reference Para 2.59 of FTP)
1. Name of the applicant and

Importer and Exporter Code(IEC) number
2. E-mail address of the applicant
3. Mobile No, office land line no of the applicant
4. Name of the person with designation who will appear for PH
5. Subject matter on which relaxation /intervention is required
6. Reasons for seeking such relaxation/intervention with Justification for

reconsideration of request
7. Date, File No & gist of decision against which PH is being sought
8. The date when this decision was reviewed by PRC/ competent Authority
9. Reason of rejection by PRC/Authority/officer
10. Preferable date for PH(2nd Tuesday of every month is earmarked for PH)
11. How many pages of documents are being enclosed?

(Documents enclosed must be duly indexed & pages are numbered)
12. Amount of Fee.Mode of payment.
Declaration/Undertaking
1. I/we hereby declare that the information submitted here above is correct and true to best of my knowledge.
2. I/we shall abide by the order/decision of DG taken after affording personal hearing to me/us.
Name of the Applicant
Designation.
Date:
Place:
18
ANF -2F
APPLICATION FORM FOR SEEKING CLARIFICATIONS ON FOREIGN TRADE POLICY
1. Name and address of the applicant seeking : ..............................................................

clarification.
2. Brief subject of clarification : ..............................................................
3. Source (whichever is applicable)
a) Foreign Trade Policy: paragraph(s) : .............................................................

b) Handbook (Vol.1): paragraph(s)
c) ITC(HS)-Import ITC Code: ..........................................
Product : ............................................
d) ITC(HS)-Export ITC Code: ..........................................
Product : ............................................
e) Others ...........................................
4. Clarification required
Signature of the Applicant
Name : ..................................................
Place: Mobile/Tel. No. : ..................................................
Date: E-mail Address : ..................................................
19
ANF -2G
Application Form for seeking Refund of Application Fee
(Please see guidelines at the end before filing the application
1. IEC Number
2. Applicant Details
i. Name
ii. Address
3. Application Fee Details
Amount (Rs)
Demand Draft/Bank Receipt/Electronic Fund Transfer No
Date of Issue
Name of the Bank on which drawn
Bank Branch on which drawn
4. Regional Authority with whom the application has been filed/was proposed to be filed:
5. Category under which refund is being claimed (please tick)

( )
i. Deposited in excess of the specified scale
ii. Deposited in error but applicant is exempt from fee
payment
iii. Deposited but no application has been made
6. In case refund is claimed for Category 2 (i) above, please furnish
i. File Number
ii. CIF Value of Authorisation / Duty credit value of the Certificate / scrips applied for (Rs)
iii. Fee payable at the prescribed scale (Rs)
iv. Excess fee paid for which refund is claimed (Rs)
7. In case refund is claimed for Category 2 (ii) above, please furnish
i. File Number
ii. Amount of fee paid (Rs)
iii. Category of Clause 5(3) of Foreign trade (Regulation) Rules, 1992
under which exemption is being claimed
8. In case refund is claimed for Category 2 (iii) above,

please state the reasons for not making an application after depositing the fee:
20
9. In case refund is being claimed after one year of deposit of the fee,
please state the reasons for not making the refund application earlier:
DECLARATION/UNDERTAKING

A. the entity for whom the application has been made have not been penalized under any of the
following Acts (as amended from time to time):
a. The Customs Act, 1962,
. b. The Central Excise Act 1944,
c. Foreign Trade (Development & Regulation) Act 1992, and
d. The Foreign Exchange Management Act,1999;
e. The Conservation of Foreign Exchange, Prevention of Smuggling Activities Act, 1974
B. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust, (as
the case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other
Company/ firm / entity which is on the Denied Entity List (DEL) of DGFT;
C. neither the Registered Office of the company / Head Office of the firm / nor any of its Branch
Office(s)/ Unit(s)/ Division(s) has been declared a defaulter and has otherwise been made ineligible
for undertaking import / export under any of the provisions of the Policy;
D. we have not obtained nor applied for issuance of an Importer Exporter Code Number in the name of
our Registered / Head Office to any other Licensing Authority
3.
best of my/our knowledge and belief and nothing has been concealed or withheld there from.
Trade Policy.
Place Signature of the Applicant

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address
GUIDELINES FOR APPLICANTS
1. Two copies of the application must be submitted unless otherwise mentioned.
2. Each individual page of the application has to be signed by the applicant.
3. a. ANF 1 has to be filed in by all applicants. In case of applications submitted electronically, hard copy of ANF1 is
not required. However, in case where applications are submitted otherwise, hard copy of ANF1 has to be
submitted.
b. Only relevant portions of Application need to be filled in.
4. Application must be accompanied by documents as below:
For Refund of Application Fee, copy of Bank Receipt/Demand Draft/Electronic Transaction Slip against which the
refund is being claimed may be submitted.
21
ANF- 2H
APPLICATION FOR FREE SALE & COMMERCE CERTIFICATE
1. Name of the firm / Company :

:
2. Address of Registered Office /Branch
(i) Tel No :
(ii) Fax No :
(iii) e.mail ID
:
3. Importer Exporter Code No
(i) Code No.
(ii) Name & Address of issuing authority
4. Registration cum-Membership Certificate

(RCMC) details
(i) Name of the Council
(ii) Registration No and date
(iii) Validity

(i) Amount in Rs.
(ii) Demand Draft /Bank Receipt/Electronic Fund Transfer No.
(iii) Date of Issue/Transfer
(iv) Name& Branch of Bank on which drawn
:
6. Brief Description of exports
(i) Details of foreign buyer with complete address,
e.mail ID etc.
(ii) Brief description of items to be exported under
the certificate
7. Whether the items of export fall under the Drugs :
& Cosmetics Act. 1940. If so, indicate the same.
8. Details of items for which Free Sale & Commerce

Certificate is sought to be obtained (Annexure A
to be attached duly self-certified)
Signature)
Name & Designation of the Authorized Signatory

Seal of the Company
22
DECLARATION / UNDERTAKING
1. I/We hereby declare that items listed in Annexure A,
(i) are not prohibited or restricted for export under Schedule 2 of ITC (HS) and are free for export;
(ii) all the items listed in Annexure A have usage in hospitals, nursing homes and clinics, for medical and
surgical purposes;
(iii) all the items listed above are not covered under Drugs & Cosmetics Act, 1940.
best of my / our knowledge and belief and nothing has been concealed or held there from.
3. I/We fully understand that any information furnished in the application if found incorrect or false will render me /
us liable for any penal action or other consequences as may be prescribed in law or otherwise warranted.
4. I/We undertake to abide by the provisions of the FT (D & R) Act, 1992, as amended, the Rules and Orders
framed there under, FTP, HBP, Appendices and Aayat Niryat Forms and ITC (HS).
5. I/We hereby certify that:
A. the entity for whom the application has been made have not been penalized under any of the following Acts
(as amended from time to time):
b. The Central Excise Act 1944,
c. Foreign Trade (Development & Regulation) Act 1992, as amended, and
f. Weapons of Mass Destruction & their Delivery Systems (Prohibition of Unlawful Activities) Act,
2005
Registered / Head Office to any other Licensing Authority.
6. I / We hereby declare that I / We have not obtained nor applied for such benefits (including issuance of an
Importer Exporter Code Number) in the name of our Registered / Head Office or any of our Branch(s) /
Unit(s) / Division(s) to any other Regional Authority.
7. I / We hereby declare that I/we have perused the list of SCOMET items as contained in the Appendix 3 to
the Schedule 2 of the ITC (HS) and that the item(s) exported / proposed to be exported does not fall within
this list and that I / We agree to abide by the provisions of FTP for export of SCOMET items contained in
the FTP, Schedule 2 of ITC (HS) and the HBP, irrespective of the scheme under which the item is exported
/ proposed to be exported.
8. I / We solemnly declare that I / We have applied for / obtained a RCMC to the EPC which pertains to our
main line of business. In case we have applied to any other council, the application has been made within
the purview of the provisions of Para 2.94 of the HBP.
23
9. I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.6 of the Policy.

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address
Note:
1. This form with Annexure -A may be submitted without other parts of the Aayat Niryat Form.
2 .For items falling under the Drug & Cosmetics Act, 1940, application for issue of Free Sale & Commerce
Certificate may be made to the Drug Controller General (I), Directorate General of Health Services, Ministry of
Health & Family Welfare, FDA Bhawan, Kotla Rod, Near Mata Sundari Collage, ITO, New Delhi 110002.
Annexure - A
Proforma for Submission of list of Products

(May be clearly typed)
S. Name of ITC Manufacturers/Exporters Is the product licensed Description of the

No. Product (HS) name and address under the Drugs and product including use
Code Cosmetics Act for (attach literature, if
manufacture and sale. required.)
24
Annexure B
Government of India
Ministry of Commerce & Industry
Directorate General of Foreign Trade
FREE SALE AND COMMERCE CERTIFICATE
The Medical Devices/Instruments as per Annexure (Total items) manufactured by M/s. (Name of the firm &
full address) are freely permitted for sale in India as well as freely exportable.
This certificate is valid for a period of two years from the date of issue.
Encl: As above.
Place:
Date: (Signing Authority)

For Additional / Joint Director General of Foreign Trade
Note: This certificate is based on declaration by the above firm that items of export shown in Annexure have
usage in Hospital, Nursing Homes and Clinics for Medical Surgical Purpose and also that items of export shown in
Annexure are neither banned nor prohibited for export. The items appearing in this certificate are also not covered
under Drug & Cosmetics Act, 1940 as per declaration of the aforesaid firm.
25
ANF-2 I
APPLICATION FOR FREE SALE & COMMERCE CERTIFICATE FOR ITEMS OTHER THAN
MEDICAL DEVICES/INSTRUMENTS
1. Name of the firm / Company :

2. Address of Registered Office / Branch :
(i) Tel No :
(ii) Fax No :
(iii) e.mail ID
3. Importer Exporter Code No :

(i) Code No.
(ii) Name & Address of issuing authority
4. Registrationcum-Membership Certificate (RCMC) details:
(i) Name of the Council

(ii) Registration No and date
(iii) Validity

(i) Amount in Rs.
(ii) Demand Draft /Bank Receipt/Electronic Fund Transfer No.
(iii) Date of Issue/Transfer
(iv) Name& Branch of Bank on which drawn
6. Brief Description of exports :

(i) Details of foreign buyer with complete address,
e.mail ID etc.
(ii) Brief description of items to be exported under
the certificate
7. Details of items for which Free Sale & Commerce :
Certificate is sought to be obtained (Annexure A to
be attached duly self-certified)
Signature)
Name & Designation of the Authorized Signatory
Seal of the Company
1. I hereby declare that items listed in Annexure A,
(iii) are not prohibited or restricted for export under Schedule 2 of ITC (HS) and are free for export;
(iv) the export of the items does not violate any of the provisions of the laws/Acts established by any of the
Ministries/Departments/Offices of the Central/State Governments; and
26
We further undertake to abide by any of the provisions under FTP, FT(D&R) Act, 1992, as amended, or
any
other law established by any of the Ministries/Departments/Offices of the Central/State Governments
relating to export of these items.
2005
Importer Exporter Code Number) in the name of our Registered / Head Office or any of our Branch(s) /
27

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address
Note: This form with Annexure-A may be submitted without other parts of the Aayat Niryat Form.
Annexure A
Proforma for Submission of list of Products

(May be clearly typed)
S. No. Name of ITC (HS) Manufacturers / Is the product licensed under the Description of the
Product Code Exporters name and provisions of the laws / Acts product including use
address established by any of the (attach literature, if
Ministries / Departments / Offices required.)
of the Central / State
Governments for manufacture
and sale, and if so please specify
28
Annexure B
Government of India
Ministry of Commerce & Industry
Directorate General of Foreign Trade
FREE SALE AND COMMERCE CERTIFICATE
The items as per Annexure (Total items) manufactured by M/s. (Name of the firm & full address) are freely
sold in India and are freely exportable.
This certificate is valid for a period of two year from the date of issue.
Encl: As above.
Place:
Date:
(Signing Authority)
For Additional / Joint Director General of Foreign Trade
Note: This certificate is based on declaration by the above firm that items of export shown in Annexure are
neither restricted nor prohibited for export.
29
ANF- 2J
Application Form for End User Certificate under Para 2.38 of the HBP
(Please see guidelines at the end before filling the application)
1. IEC Number:
2. Applicant Details :
i. Name
ii. Address
3. Application Submission Details (in case of electronically submitted applications):

i. ECOM Reference Number
ii. Date of Submission on Server
iii. Submitted to which Regional Authority
iv. File Number
v. Date of Issue
4. Application Fee Details:

Amount (Rs)
Date of Issue
Name of the Bank and its Branch on which DD drawn
5. Exporter Details:
i. Name
ii. Address
6. Items of Import for which end user Certificate is required

S No Item details ITC(HS) Code Quantity CIF Value (Rs) Whether capital good or
raw material
7. Purpose of Import:
a. If required for Manufacture please furnish:
i. IL / SIA / DGTD / SSI registration number
ii. End Product as given in registration certificate
iii. Actual items of manufacture
b. If required for Research & Development, please furnish:
i. Registration details with Department of Science & technology
ii. Validity of Registration
iii. Specific project for which items required
c. If required for Other Actual Users (Non Industrial), please furnish:
i. Registration Certificate details
ii. Permission details of local/municipal body
8. i. Whether the items of import are under Restricted List of ITC(HS) Yes/No
30

ii. File number of application submitted to Regional authority for Import Licence
9. Address of the factory / premises where the items to be imported are proposed to be used
the case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other Company/
firm / entity which is on the Denied Entity List (DEL) of DGFT;
2 amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook
3.
Importer Exporter Code Number) in the name of our Registered / Head Office or any of our Branch(s) / Unit(s)
/ Division(s) to any other Regional Authority.
6. I / We hereby declare that I/we have perused the list of SCOMET items as contained in the Appendix 3 to the
Schedule 2 of the ITC (HS) and that the item(s) exported / proposed to be exported does not fall within this list
and that I / We agree to abide by the provisions of FTP for export of SCOMET items contained in the FTP,
Schedule 2 of ITC (HS) and the HBP v1, irrespective of the scheme under which the item is exported /
proposed to be exported.
7. I / We solemnly declare that I / We have applied for / obtained a RCMC to the EPC which pertains to our main
line of business. In case we have applied to any other council, the application has been made within the
purview of the provisions of Para 2.94 of the HBP.
8. I _________________ (Name of the Organization), a Government entity/Government controlled entity/ private
sector entity (Delete whichever is not applicable) hereby undertake
(i) To import the item into India and not to redirect it or any part of it, to another destination before its
arrival in India;
(ii) To provide, if asked, verification that possession of item was taken;
(iii) Not to re-export the item without any written approval of Certificate Issuing Authority;
(iv) Not to retransfer within India the item(s) specified in this certificate without the written approval of
the Certificate Issuing Authority;
(v) To obtain permission in writing from the Certificate Issuing Authority prior to any change in end-
user which shall be preceded by the new end-user notifying the Certificate Issuing Authority that
he/she agrees to the conditions contained in this document;
(vi) The items being imported will/will not be integrated into Indian end-products to be exported.
Trade Policy.
31

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address

Please see paragraph 2.38 of HBP
1. Two copies of the application must be submitted unless otherwise mentioned.
3. a.) ANF 1 has to be filed in by all applicants. In case of applications submitted electronically, hard copy of
ANF1 is not required. However, in case where applications are submitted otherwise, hard copy of ANF 1 has to
be submitted.
b.) Only relevant portions of Application need to be filled in.
4. Application must be accompanied by documents as per details given below:
a) Bank Receipt (in duplicate)/Demand Draft/EFT details evidencing payment of application fee in terms of
Appendix 2K.
b) Self certified copy of letter from foreign supplier in support of request for end user Certificate.
c) Requisite certificate from a Chartered Engineer certifying that goods proposed to be imported are required
by the manufacturing unit for its own use.
32
ANF- 2 K (i)
Application Form for Import Certificate under Indo US Memorandum
1. IEC Number:
i. Name
ii. Address
Amount (Rs)
Date of Issue
Name of the Bank and Branch on which DD drawn, if any
4 US Exporter Details:
i. Name
ii. Address
5. Name of the Sponsoring Directorate in ICIA:
6. Items of Import for which Import Certificate is required
S No Item details ITC(HS) Code/ ECCN Quantity CIF Value (Rs)
Code* if applicable

Regulations (ECCN)
7. Purpose of Import:
a. If required for Manufacture please furnish:
i. IL / SIA / DGTD / SSI registration number
ii. End Product as given in registration certificate
iii. Actual items of manufacture
b. If required for Research & Development, please furnish:
i. Registration details with Department of Science & technology
ii. Validity of Registration
iii. Specific project for which items required
c. If required for Other Actual Users (Non Industrial), please furnish:
i. Registration Certificate details
ii. Permission details of local/municipal body
8. i. Whether the items of import are under Restricted List of ITC (HS) Yes/No
ii. File number of application submitted to Regional authority for Import License:
9. Reference Number, of the Controlled commodity / munitions list of US Export Administration Regulations, :
OR
Reference Number of the Crime Control (CC) Items as listed in Appendix 2P(iia) and Regional Security (RS)
items as listed in Appendix 2P(iib)
33
10. Address of the factory / premises where the items to be imported are proposed to be used
the case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other
3.
best of my/our knowledge and belief and nothing has been concealed or withheld there from.
5. I _________________ (Name of the Organization), a Government entity/Government controlled entity/ private
sector entity (Delete whichever is not applicable) hereby undertake
(i) To import the item into India and not to redirect it or any part of it, to another destination before its arrival
in India;
(ii) To provide, if asked, verification that possession of item was taken;
(iii) Not to export the item without any written approval of Certificate Issuing Authority;
(iv) Not to transfer within India the item(s) specified in this certificate without the written approval of the
Certificate Issuing Authority;
(v) To obtain permission in writing from the Certificate Issuing Authority prior to any change in end-user
which shall be preceded by the new end-user notifying the Certificate Issuing Authority that he/she agrees
to the conditions contained in this document;
(vi) The items being imported will/will not be integrated into Indian end-products to be exported.
6. I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign
Trade Policy.

Date Name & Designation
Official Address
Telephone
Residential Address
Email Address
34

1) Two copies of the application must be submitted unless otherwise mentioned.
2) Each individual page of the application has to be signed by the applicant.
3) a). ANF 1 has to be filed in by all applicants. In case of applications submitted electronically, hard
copy of ANF1 is not required. However, in case where applications are submitted otherwise, hard copy of
ANF1 has to be submitted.
b). Only relevant portions of Application need to be filled in.
4) Application must be accompanied by documents as per details given below:
a) Bank Receipt (in duplicate)/Demand Draft/EFT details evidencing payment of application fee in terms of
Appendix 2K.
b) Self certified copy of letter from US supplier in support of request for Import Certificate
5) Items listed at both Appendix 2P (iia) and Appendix 2P(iib) will be allowed by DGFT for import from USA
provided the importer submits the following documents in Appendix 2P(i)
I. documentary proof of Bill of Lading indicating Port of USA,

II. legal undertaking that goods shall not be exported/ alienated; and
III. Import is with Actual User condition.
*****
35
ANF- 2 K (ii)
Application Form for Export Certificate under Indo US Memorandum
1. IEC Number:
i. Name
ii. Address

Amount (Rs)
Date of Issue
Name of the Bank and Branch on which DD drawn, if any:
4 Details of the Importer in the foreign country:

i. Name
ii. Address
5. Items of export for which Export Certificate is required

S No Item details ITC(HS) Code/ Quantity CIF Value (Rs)
ECCN Code* if
applicable
*Export Control Classification Number of the item under US Department of Commerce

Regulations (ECCN)
6. i. Whether authorisation for export of Imported Items listed at Appendix 2P (iia) or/and Appendix 2P(iib) has
been obtained : Yes/No
ii. File number of application submitted to Regional authority for Import License:
7. i. Reference Number, of the Controlled commodity / munitions list of US Export Administration Regulations :
OR
ii Reference Number of the item listed in Appendix 2P (iia) or/ and Appendix 2P(iib):
A.the entity for whom the application has been made have not been penalized under any of the following
case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other Company/ firm
/ entity which is on the Denied Entity List (DEL) of DGFT;
36
2 I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992,
as amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the
I/We fully understand that if any information furnished in the application is found incorrect or false will
3. render me/us liable for any penal action or other consequences as may be prescribed in law or otherwise
warranted.
the best of my/our knowledge and belief and nothing has been concealed or withheld there from.
the FTP, Schedule 2 of ITC (HS) and the HBP v1, irrespective of the scheme under which the item is
exported / proposed to be exported.
6. I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign
Trade Policy.

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address

1) Two copies of the application must be submitted unless otherwise mentioned.
2) Each individual page of the application has to be signed by the applicant.
3) A). ANF 1 has to be filed in by all applicants. In case of applications submitted electronically, hard copy of
ANF1 is not required. However, in case where applications are submitted otherwise, hard copy of ANF1 has to
be submitted.
B). Only relevant portions of Application need to be filled in.
4) Application must be accompanied by documents as per details given below:
a. Bank Receipt (in duplicate)/Demand Draft/EFT details evidencing payment of application fee in terms of
Appendix 2K.
37
ANF- 2L
APPLICATION FOR RECOGNITION AS PRE-SHIPMENT INSPECTION AGENCY FOR METAL
SCRAP
(Refer Para 2.55 of HBP )
1.1 Name of the Agency
1.2 Address of Head Office*
1.3 Details of application fee paid D.D./Bank Receipt No.________ Date _________
Amount ___________
Name of Bank and its Branch on which drawn
*Proof of the address must be submitted along with the application form
2. Mandatory Testing equipments/Machinery for testing metal scrap:
Table 2.1
S.No Description of Equipment Make and Model No. Unique No.
i Hand held Radiation Survey

Meters
ii Radio Nuclear Identifier
iii Explosives Detection System

having ability to detect Liquid /
Plastic / Powder / Particles /
Solid / Metallic and Non-Metallic
Scrap / Waste
Attach additional information, if required, on separate paper
The photographs of the instruments must be attached, showing the Unique No., which may be uploaded on DGFT website
The Purchase Invoice of the instruments must be attached
2.2 List out any other equipment(s) available including laboratory facilities
Table 2.2
S No Equipment / Laboratory Facility Capability Unique No.
i Hand held Radiation Survey

Meters
ii Radio Nuclear Identifier
iii Explosives Detection System

having ability to detect Liquid /
Plastic / Powder / Particles /
Solid / Metallic and Non-Metallic
Scrap / Waste
38
The photographs of the instruments must be attached, showing the Unique No., which may be uploaded on DGFT
website
The Purchase Invoice of the instruments must be attached.
3. Membership:
S No Name of the Organisation Member since
i International Federation of
Inspection Agencies (IFIA),
London
ii Institute of Scrap Recycling

Industries (ISRI) Washington DC
iii Bureau of International

Recycling, Belgium
iv Metal Recycling Association of
India
Please attach a copy of such document to show membership.
4 Experience in metal inspection:
Quantity of metal scrap inspected (in MTs) in the last five years/ destination countrywise
Table 4.1 For Ferrous scrap

S No Exporting Destination Quantity of Ferrous Scrap inspected in preceding
Country country Years
Year Year Year Year Year Total

5 4 3 2 1
ii
iii
iv
Grand Total
Table 4.2 For Non Ferrous scrap
S No Exporting Destination Quantity of Ferrous Scrap inspected in preceding

Country country Years
Year Year Year Year Year Total

5 4 3 2 1
ii
39
iii
iv
Grand Total
5. Attach copy of last Annual Report / balance sheet of the Company.
6 Intended Area of Operations for issuance of certificate
7. Address of Head Office. __________________________________
7.1. Address(es) of Branch Offices __________________________________

(from where the Inspection
would be carried out) __________________________________
(a) The area of operation of PSIA would be as per the territory notified for the Agency and the Agency
is required to declare all its office addresses coming in the area of its operation.
(b) The Agency shall be authorized to issue the certificate for the country (ies) within its area of operations. For
inspections to be carried out in other countries where it does not have an equipped branch office, PSIA will be
required to give prior intimation to DGFT by sending email (at [email protected] ) and also provide evidence/ details
of visit by the inspector and the inspection carried out, along with PSIC.
8. Manpower: Details of Inspecting persons / inspectors who would carry out inspection:
The minimum qualification of the Inspecting officer should not be less than 10 + 2 / Senior High School with
Science (physics and Chemistry).
S No Names of Address Nationality Phone E Mail Qualification Experience

Technical No. Address in
person(s) inspection
of metal
scrap
The Certificate of Qualification of the staff and scanned copy of their passport must be attached.
8.1 Whether you have been debarred /de-listed by Indian Government or other Governments for carrying out
inspection activities. If yes, details thereof.
--------------------------------------------------------------------------------------------------------------------- ------------------------------
8.2 Whether any judicial / quasi judicial proceedings are pending against you in any country / legal authority. If yes,
details thereof.
--------------------------------------------------------------------------------------------------------------------- -------------------
9. Details of the bank guarantee of Rs. 10 lakh or US$25 deposited by the Agency
D.D./Bank Receipt No.________ Date _________ Amount ___________
Name of Bank and its Branch on which drawn
Declaration
(1) I / We hereby declare that the particulars and the statements made in this application are true and correct to the
40
(2) I / We fully understand that any information furnished in the application if found incorrect or false will render me /
us liable for forfeiture of Bank Guarantee and any penal action or other consequences as may be prescribed in law
(3) I / We hereby undertake that the in case it is found that the consignment is not scrap or prohibited items are
present in it, I would be liable to pay a penalty of Rs.10 lakhs, (if based in India) or US$20,000 (if based in foreign
country) and forfeiture of the bank guarantee deposited, in addition to suspension / cancellation of recognition
certificate.
(4) I / We undertake to abide by the provisions of the FT (D & R) Act, 1992, the Rules and Orders framed there
under, FTP, HBP and Aayat and Niryat Forms and ITC (HS).
(5) I / We hereby certify that none of the Proprietor / Partner(s) / Director(s) / Karta / Trustee of firm / company, as
the case may be, is / are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / Company which
has come to adverse notice of DGFT.
(6) I / We hereby certify that the Proprietor / Partner(s) / Director(s) / Karta / Trustee, as the case may be, of the
firm/company is / are not associated as Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm /
company which is in the caution list of Reserve Bank of India.
(7) I/We hereby declare that all the radiation testing equipment/machinery for testing metal scrap as per para 2 are
calibrated periodically as per the specifications of manufacturer. In case of failure to ensure the same, I/We shall be
liable for appropriate action by DGFT as deemed fit.
(8) I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.6 of the Foreign Trade
Policy.
Signature of the Applicant Place
Name
Designation Date
Official Address
Telephone
Residential Address
Email Address
SEAL
Annexure-1 to ANF2L
Details of instruments
Hand held survey meter
Model Make (name Serial Last date Whether Whether *Response Provision for alarm (audio
& of No. of the monitor the time of the & visual ) setting
manufacturer) calibration is suitable monitor is monitor (in
in the suitable to seconds)
energy measure
range 60 dose rate
keV to 1.33 from 1
MeV (flat urem/hour
energy
response)
Yes/No Yes/No Yes/No
41
Portable Spectrometer
M Make Seri Provisio Wheth Whether Real Storage Time Automa Provision for alarm
o (Name & al n of self er the the monitor Time and taken to tic (audio & visual ) setting
d address No. calibrati equip is suitable Spectr transfer identify a identific
el of on ment to measure um of Cs-137 ation of
manufact is dose rate display spectra source in normall
urer) suitabl from 1 to a pc the y
e in rem/hour radiation encount
the level of I ered
energy rem/hou radionu
range r(in clides
40 keV seconds) like
40 to Co60,C
3.0 s-
MeV 137,Ir1
92,NOR
M etc.
Yes/No Yes/N Yes/No Yes/N Yes/No Yes/No Yes/No
o o
*Response time: It is the time taken by a radiation monitor to stabilize the meter reading (typically it should be of the
order of 2-3 seconds for field instruments at the natural background radiation levels).
Note: For practical purpose (for gamma radiation with whole body exposure): 1R=1rem=0.01 Gy=0.01
Sv=10nSv
42

ANF -2M
PART-A
Application Form for Import of Restricted Items (Para 2.50 of HBP)
1 IEC Number
2 Applicant details
(i) Name
(ii) Address
3 Application submission details (in case of electronically submitted applications)
(i) ECOM Reference Number & date
(ii) Name of Regional Authority to which submitted
(iii) File Number (iv) Date of issue
4 Application fee Amount (Rs) DD/Bank Receipt / EFT No.

details
Date of issue Name of Bank & Branch
5 Total CIF Value

applied for
Rs._____________________ In Foreign Currency _________________
6 Port of Registration
7 Detail of item(s) applied for import
S .No Description ITC (HS) Code Quantity CIF Value Country of

(Rs) Origin
8 Purpose of Import (strike whichever is not Actual user OR Trading (i.e. Stock & Sale)
applicable)
8A In case of AU, address of factory / unit / farm
where item so import shall be used
9 Detailed justification for import:
PART-B
10. Details of the imports made during preceding 3 licensing years for the item(s) applied for in the application.
S.No Year Import License Details Qty. Imported Balance quantity
No. Date Qty Value (US $)
11. In case of import of Ammunition, please furnish details:

i. Fire Arm Dealers License No and date
43

ii. Issuing Authority of Fire Arm Dealers License
iii. Sales turnover of indigenous & imported ammunition in the preceding 3 licensing years (Rs)
S.No. Year Item description Quantity Value
12. In case of import of Aircraft / Helicopters, please furnish details:

Year of manufacture Whether New / Second hand Seating Capacity
Residual Life No. of flying hours already Whether Private or
completed Passenger category
Model No.
13. In case of import of Machinery, please furnish details:

Year of Manufacture Residual Life
14. In case of import of Machinery, please furnish details:

Year of Manufacture Residual Life
15. In case of import of Plastic Waste / Scrap, relevant information / documents as per Policy Circular No.20 dated
12.3.2003 and Public Notice No. 392 dated 1.1.1997, to be furnished:-
(i)_______________________________________________________________________
(ii)______________________________________________________________________
16. In case of end product being a bulk drug or formulation, please furnish details:
(i) Copy of relevant Drug Manufacturing Licence granted by the competent authority.
(ii) Production of the relevant end product in terms of quantity and value during last 3 years duly certified by CA.
(iii) Actual consumption of the restricted items applied for import during 3 years in terms of quantity and value duly
certified by a CA.
(iv) In case of import of chemicals for usage in manufacture of Drug Intermediate, the name of the drug for which the
relevant drug intermediate is predominantly used may be indicated.
17. In case of import of refurbished computer parts, brief description of the import product and its usage, please
furnish details:
(i) Whether the party is a manufacturer / authorised agent of manufacturer.
(ii) Installed base of the manufacturer in the last two years for import of spares of that product.
18. In case of canalised item, please furnish details:

Name of designated STE Whether NoC from STEs obtained YES / NO
Concerned Ministry / Department Recommendations issued / received YES / NO
19. In case of supplies to the Govt. Department (including Police / Defence organisation). Please enclose copy of
recommendation and End User Certificate.
Name of Organisation Recommendations issued / received YES / NO
44


firm / entity which is on the Denied Entity List (DEL) of DGFT;
2 I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, as
amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook
3.
Trade Policy.
.

Name
Designation
Official Address Flat/Plot/Block No
Street/Area/Locality
City State
PIN Code
Telephone No. Country Code _ Area Code _____ Phone number_
-- --
Fax No. -- --
Email
Place:
Date:
Note: Each page of application has to be signed and stamped.
45
Please see Paragraph 2.50 of HBP
1. Original application in ANF 2M along with prescribed documents and Treasury Receipt (TR) / Demand Draft
shall be submitted to RA concerned. Self attested copy of the application in duplicate shall be submitted to
DGFT(Hqrs) (Udyog Bhawan, New Delhi) along with proof of submission of application to RA concerned.
3. ANF 1 has to be filed in by all applicants. In case of applications submitted electronically, hard copy of ANF1 is
not required. However, in case where applications are submitted otherwise, hard copy of ANF1 has to be
submitted.
4. Fill up the para whichever is relevant from Para No. 11 to 19 in Part B.
5. In case of import of Ammunition, a certificate from Chartered Accountant / Cost Accountant / Company
Secretary showing sales turnover of ammunition (indigenous and imported during preceding three licensing
years).
46
ANF- 2 N
Application Form for Export Licence for Restricted Items
[Please see guidelines (at the end) before filling the application]
1. IEC Number
i. Name
ii. Address
3. Application Submission Details (in case of electronically submitted applications)

iii. Submitted to which Regional Authority
iv. File Number
v. Date of Issue

i. Amount (in Rupees)
ii. Demand Draft/Bank Receipt/Electronic Fund Transfer No.
iii. Date of issue/transfer
iv. Name of Bank on which drawn
v. Bank Branch on which drawn
5. Details of items applied for export

S No Description ITC(HS) Code Quantity in MT FOB Value
In Rupees In US$
6. Details of exports made of the item applied for in the preceding 3 licensing years
S No Year Export Licence Details Quantity FOB Value of Export

No Date Qty Value Exported Exports (US $) Destination
(US $)
7. Purpose of Export (Please tick)

i. Trade
ii. Personal
iii. Sample
8. Foreign Buyer Details

i. Name
ii. Address
9. Shipment Details
47
i. Port of Loading
ii. Port of Discharge
iii. Country of Export
10. In case of export of samples/ exhibits/ gifts/, please furnish

i. Ceiling Limit
ii. How much in excess of Ceiling Limit
iii. Justification for Excess
11. In case of export by post, please furnish details of postal authorities where the parcel will be placed
12. In case of export of seeds, please furnish

i. Details of seed/planting material proposed for export
ii. Whether seed/planting material proposed to be exported is of notified variety : Yes/No
iii. Whether seed/planting material proposed to be exported has been produced under custom production
arrangement ? if yes, enclose details /agreement entered into with buyer
iv. Whether variety of Seed/planting material proposed to be exported is used in India: Yes/ No.
v. Places where the variety proposed to be exported is grown
13. Any other relevant information
---------------------------------------------------------------------------------------------------------------------
(ii) The Central Excise Act 1944,
(iii) Foreign Trade (Development & Regulation) Act 1992, as amended, and
(vi) Weapons of Mass Destruction & their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005
entity which is on the Denied Entity List (DEL) of DGFT or is in the caution list of RBI;
48
D. we have neither obtained nor applied for issuance of an Importer Exporter Code Number in the name of our
5. I / We hereby declare that I / We have neither obtained nor applied for such benefits (including issuance of
an Importer Exporter Code Number) in the name of our Registered / Head Office or any of our Branch(s) /
Signature of the Applicant Place
Name Date
Designation
Official Address
Telephone
Residential Address
Email Address

Please see paragraph 2.72 of HBP
1. Two hard copies of the application (ANF 2 N) must be submitted.
2. In case application is submitted electronically, no hard copy of ANF1 is required to be submitted. Where
applications are not submitted electronically, hard copy of ANF1 needs to be submitted along with ANF 2 N.
3. Proof of submission of application fee must be submitted.
4. Each page of the application has to be signed by the applicant with seal.
5. Hard copies of Applications (ANF 1 and ANF 2 N) may be submitted to Export Cell, Directorate General of
Foreign Trade (HQ), H-wing, Udyog Bhawan, Maulana Azad Road, New Delhi-110011.
49
ANF- 2 O
APPLICATION FORM FOR EXPORT OF SCOMET ITEMS LISTED IN APPENDIX 3 TO SCHEDULE
2 OF ITC (HS) CLASSIFICATION OF EXPORT AND IMPORT ITEMS
[Please see guidelines at the end before filling the application]
1. Applicant Details:
i IEC
ii. Name
Flat/Plot/Block No.
iii.
Address
City
PIN
State Code
Country
Code Area Code Tel.No.
iv.TeleNo.
(1)
(2)
Country
Code Area Code Fax No.
v. Fax No.
E-mail (1) E-mail (2)

vi. E-mail address where
authorisation to be sent
2. Details of SCOMET items in Appendix 3 to Schedule 2 of ITC (HS) Classifications of Export & Import
Items applied for export: ( If required, attach extra sheet (A4 size) in the same format)
Sl. SCOMET SCOMET Description ITC (HS) Quanti Total FOB Value
No. Category Item No of Code No. (if ty
In In Rupees In US$
i.e. 1B, export item/s available)
relevant
1C, 2, 3, 4, including
Foreign
5 and 7 technical
Currency
specification
3. Details of exports of SCOMET items in the preceding 3 licensing years. ( Details of the export last made, if
no export was made during the preceding licencing year): ( If required, attach extra sheet (A4 size) in the same
format)
Sl. No. Export Licence Details of items exported Qty Country to DGFTs (HQs)
No. & Date and Category Description exporte which File Number
Issuing Regional d exported
Authority
50

4. Shipment Details:
i. Port of Loading/Shipment
ii. Port of Discharge
iii. Country to which item to be exported
iv. Ultimate Destination Country
5. Purpose of Export (please tick and give clarification if any):

i. Trade
ii. Sample
iii. Display/Exhibition
6A. Foreign Buyer Details:
i. Name
Flat/Plot /Block No.
ii. Address Street/Area/Locality
City
Postal
Country Code
Country Code Area Code Tel.No.

iii. Telephone
No. (1)
(2)
Country Code Area Code Fax No.
iv. Fax No.
v. E-mail
vi. Export Order No. and date
6B. Consignee Details: (If same as Foreign Buyer write SAME As in 6A)
51

i. Name
Flat/Plot/Block No.
ii.
Address
City
Country Postal Code

iii.
Tele
phon
(1)
e
No.
(2)
iv. Fax No.
v. E-mail
6C. End User Details: (If same as Foreign Buyer and/or Consignee write SAME As in 6A and/or 6B as the case
may be)
i. Name
ii. Street/Area/Locality
Address
City
Country Postal Code

Iii Tele
No. (1)
(2)
iv. Fax No.
v. E-mail
vi. End product for which the item

of export will be used by the
end user
52

vii. Purpose for which the end
product will be utilized
viii. Is end user an entity of
Government of destination
country?
ix. Manufacturing/Business/other
activity of the end user
7. Details of Banks through which financial transactions relating to this export will be executed:
a. In Destination Country
i. Name of the Bank
ii. Address
City
of the
Posta
Bank
l
Country Code
iii. SWIFT Code:
iv. I BANK
b. In India
i. Name of the Bank

of the
Bank City
PIN
State Code
iii. IFSC Code
8. If applied for export on repeat basis in the same licensing year for same product , same end use and to the
same end user, please furnish:
i. Reference Number and date vide
which earlier permission was
granted
ii. Export Licence number and date
iii. Quantity allowed for export
53

iv. Quantity exported on the date of
this application
9. Details of Producer/Manufacturer of the item to be exported:
i. Name
City
State PIN Code
10. Period during which the item is

proposed to be exported from
India
For Use in DGFT office only (To be filled by the applicant).
11A. Application Submission Details (if submitted electronically):
iii. Submitted to which Regional

Authority
iv. File Number & Date of Issue

v. Application Fee submission
details viz. Amount in Rupees,
Demand Draft No./Electronic
Fund Transfer No. and Date
and the name & branch of the
bank on which drawn
11B. Jurisdictional Regional

Authority:
1. I / We hereby certify that:
(i) I/We hereby declare that the particulars and the statements made in this application are true and correct
to the best of my / our knowledge and belief and nothing has been concealed or held there from.
(ii) I/We fully understand that any information furnished in the application if found incorrect or false will
render me / us liable for any penal action or other consequences as may be prescribed in law or
54

(iii) I/We undertake to abide by the provisions of the FT (D & R) Act, 1992, as amended, the Rules and
Orders framed there under, FTP, HBP, Appendices and Aayat Niryat Forms and ITC (HS).
(iv) I/We hereby certify that:
D. the entity for whom the application has been made have not been penalized under any of the following Acts
(iii) Foreign Trade (Development & Regulation) Act 1992, as amended, and
(vi) Weapons of Mass Destruction & their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005
E. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust, (as the
F. neither the Registered Office of the company / Head Office of the firm / nor any of its Branch Office(s)/
(v) I / We hereby declare that I / We have neither obtained nor applied for such benefits (including issuance
of an Importer Exporter Code Number) in the name of our Registered / Head Office or any of our
Branch(s) / Unit(s) / Division(s) to any other Regional Authority.
(vi) we have complied with the conditions of all previous licences / authorisations issued to us for export of
SCOMET items and wherever required have duly intimated the o/o DGFT, New Delhi along with documentary
evidence regarding receipt of the items of export by the end-user within the stipulated time.
(vii) I / We undertake to abide by the provisions of the FT (D & R) Act, 1992, as amended, the Rules and Orders
framed there under, FTP, HBP and ITC (HS) and submit all requisite documents to the o/o DGFT (SCOMET
Section), failing which I/We shall be liable to action under FT (D & R) Act, 1992 as amended or rules and
orders made there under, and the Customs Act, 1962.
(viii) I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.6 of the Policy.
Name
Designation
Flat/Plot/Block No.
Official
Address
City
55

State PIN Code
Country Area Code Tel.No.
Code
Telephone
Place:
Date:

(Please also see paragraph 2.73 of HBP)
1. IEC must not be in DEL.
2. One original application in the prescribed format ANF 2O and ANF 1 and six copies thereof along with self-
certified copies of the documents as in Para 3 below must be submitted to DGFT (HQ), Udyog Bhavan, New Delhi.
Each page of the original application has to be signed by the applicant with stamp of the company.
3. Application must be accompanied by self-certified copies of the following documents:

(i) Purchase Order from the Foreign Buyer, Consignee and End User in respect of items mentioned
in Col.2 of ANF2O
(ii) End User Certificate(s) (Also see Para 4 below).
(iii) Technical Specifications (not exceeding one page for each item) for the items to be exported.
(iv) (a) Bills of Entry(BEs) into the destination country for items exported during the last one year
as per information in column No. 3 of the application. In Col. 3 details of exports are to be given
for last 3 years. However, BEs for the last 1 year only are to be submitted.
(b) BEs as above are to be submitted with the 1st application of the financial year only. From
the 2nd application onwards, the exporter shall make a reference in the forwarding letter that the
BEs have been submitted with the 1st application giving DGFTs File No. of 1st application. Copy
of the forwarding letter of 1st application to be attached with every subsequent application.
(v) If a third party or contractor is involved, details of Contract or Agreement between the Foreign
Buyer and End User with third party must be submitted, along with copy of contract or
agreement.
4. End User Certificate :- Original End User certificate (in the prescribed format Appendix 2 R on Letter
Head of all entities in the chain of supply viz. the foreign buyer, the end user and intermediaries/consignee (if they
are different from the foreign buyer and end user) indicating complete details of the export product, end product, end
purpose for which the item of export will be used by end user and complete address and telephone No. of end user
must be furnished along with original application. End User Certificate from the following must also be submitted:
(i) The Foreign Buyer, if different from the End User.

(ii) The Consignee, if different from the Foreign Buyer & End User.
(iii) Other intermediary/ies, if any.
56

(iv) End User Certificates from Foreign Buyer, Consignee and End User must reflect the logical flow
of items.
(v) Each EUC must mention details of items (including technical specifications) as in Col. 2 of the
application (ANF 2O), duly matching with the same as in Purchase Order.
(vi) 1(one) original End Use-cum-End User Certificate covering the entire item(s) applied for, only
from each of the entities in supply chain i.e., Foreign Buyer, Consignee/intermediary(ies) and
End User is to be filed.
5. Details of the item(s) given in ANF 2O, End User Certificate(s) and Purchase Order(s) must match
completely.
6. While filling ANF 2O, care should be taken to ensure the following:-
(i) Category of the items proposed to be exported as per Appendix 3 of ITC (HS) Classifications of Export
and Import Items should be clearly mentioned.
(ii) Port of discharge and route must be clearly defined. Route/mode of transport cannot be changed after
export licence has been issued.
(iii) Against column 6A, 6B & 6C, complete address should be given. P.O. Box No. will not be accepted.
(iv) All columns must be filled correctly and completely.
************
57
ANF- 2P
APPLICATION FORM FOR REQUEST FOR ENTERING INTO AN ARRANGEMENT OR
UNDERSTANDING THAT INVOLVES SITE VISIT, ON-SITE VERIFICATION OR ACCESS TO
RECORDS / DOCUMENTATION AS MENTIONED IN APPENDIX 3 TO SCHEDULE 2 OF ITC (HS)
CLASSIFICATION OF EXPORT AND IMPORT ITEMS
[Please see guidelines (at the end) before filling the application]
1. IEC Number*
*IEC should not be under DEL on the date of application.
i. Name
ii. Address
3. Applicant Fee Details:

i. Amount in Rupees
ii. Demand Draft/Bank Receipt/Electronic Fund Transfer Number
iii. Date of issue/Transfer
iv. Name of Bank on which drawn
v. Bank Branch on which drawn
4. Jurisdictional Regional Authority:
5. Detail of activities and operations:
6. Details of the provisions of the arrangement or understanding involving site visits / on-site verification /
access to records / documentation (e.g. nature of documentation, mode of verification, nature and
frequency of site visits etc.) Please include all details and attach the draft of relevant declaration /
arrangement / MOU etc. *
* Enclose additional sheet if required

7. Purpose of arrangement/understanding involving site-visit / on-site verification / access to record /
documentation (please tick and give clarification, if any):
i. Export of SCOMET Items
ii. Import of SCOMET Items
8. In case purpose is export / import of SCOMET Items, following details may be provided :
(a). Details of SCOMET items in Appendix 3 of Schedule 2 of ITC(HS) Classification of Export & Import
Items:
Sl. Description of export / import SCOMET Category SCOMET Item ITC (HS) Code No. Quantity
No. items including technical i.e. 1B, 1C, 2,3,4,5 No. (if available)
specification and 7
(b) End user Details :

i. Name
ii. Address
iii. Telephone No. iv. Fax No.
58
v. Location (Country) of end user

vi. End product for which the item of export will be used by the end user
vii. Purpose for which the end product will be utilized
viii. Is end user an entity of Government of destination country?
ix. Manufacturing / Business / other activity of the end user
9. Details of export / import of SCOMET items in the preceding 3 licensing years:

Sl. Export / Import Category & Qty. Date of FOB Value Countr Name
No. Licence/Authorization Details Description of exported Shipment of Exports / y to/ of the
No. Date Qty Value items / Imports (US from End
(US $) Exported / imported $) which User
Imported export
ed /
import
ed
10. Details of the Foreign Government / Foreign Third Party**

i. Name
ii. Address
v. Is the party, an entity of Govt. of that country?
** Detailed profile to be enclosed.
11. If the visit / verification / access to records will be through an Indian Party, details of the Indian Party :
i. Name
ii. Address
v. Address of Corporate Office.
12. (a) Period of arrangement or understanding that involves site visit, on-site verification or access to
records / documentation:
(b). Proposed number of visits (indicate the number date/period of such visit):
13. Detail of sites and activities which will be covered by the arrangement / understanding #
(I)
i. Address
ii. Telephone No. iii. Fax No.
iv. Nature of Unit: Corporate Office / Registered Office / Branch Office /Manufacturing unit / Laboratory.
(v) Activity.
(II)
i. Address
ii. Telephone No. iii. Fax No.
iv. Nature of Unit: Corporate Office / Registered Office / Branch Office /Manufacturing unit / Laboratory.
59
v. Activity.
# Enclose additional sheet, if required.
14. Details of persons / individuals who shall visit during site visit / on-site verification etc. ##
(I)
i. Name
ii. Address
iii. Nationality
iv. Position / Designation
in the foreign government /
foreign third party / Indian Party
v. Telephone No. vi. Fax No.
(II)
i. Name
ii. Address
iii. Nationality
iv. Position / Designation
in the foreign government /
foreign third party / Indian Party
v. Telephone No. vi. Fax No.
## Enclose additional sheet, if required.
15. If applied for permission for entering into arrangement / understanding that involves site visit, on-site
verification or access to records / documentation on repeat basis during last five (5) licensing years for the
same purpose, please furnish:
Reference Number and date vide which earlier permission granted
16. Foreign Collaborator Details

(As registered with GOI/RBI)
(If No foreign collaboration exists, please state None)
i. Name
ii. Address
60

f. Weapons of Mass Destruction & their Delivery Systems (Prohibition of Unlawful Activities)
Act, 2005
firm / entity which is on the Denied Entity List (DEL) of DGFT or in the caution list of RBI;
2 amended, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook of Procedures
and the ITC (HS) Classification of Export & Import Items.
3.
Importer Exporter Code Number) in the name of our Registered / Head Office or any of our Branch(s) / Unit(s)
/ Division(s) to any other Regional Authority.
6. I / We solemnly declare that I / We have applied for / obtained a RCMC to the EPC which pertains to our main
line of business. In case we have applied to any other council, the application has been made within the
purview of the provisions of Para 2.94 of the HBP .
7. (i) I/We further undertake to maintain record of the site visit, on-site verification or access to
records/documentation and produce the same as and when asked to do so by the Government of India.
(ii) I/We also hereby inform that we have complied with the conditions of all previous permissions issued to us
for entering into an arrangement or understanding that involves site visit, on-site verification or access to
records/documentation.
Trade Policy.
Place: Signature of the
Applicant
Name
Designation
Date: Official Address
Telephone
E-mail Address
61
(Please also see paragraph 2.78of HBP)
1. One original application in the prescribed format ANF 2P and ANF 1 and six copies thereof along with
self-certified copies of the documents as in para 2 below must be submitted to DGFT (HQ), SCOMET
Section, Udyog Bhavan, New Delhi. Each page of the original application has to be signed by the
applicant with stamp of the company.
2. Application must be accompanied by self-certified copies of the documents as per details given below:
(i) Copy of draft Declaration / draft Agreement / draft MOU proposed to be signed for entering into
an Arrangement or Understanding that involves site visit etc.
(ii) Technical Specifications (not exceeding one page for each item) for the items to be exported /
imported.
(iii) Profile of the foreign government / foreign third party / Indian party.
3. In case purpose of site visit / on-site verification is export / import, Original End User certificate (in the
prescribed format Appendix 2R on Letter Head of the End User) indicating complete details of the
export / import product, end product, end purpose for which the item of export / import will be used by
end user alongwith complete address and telephone No. of end user must be furnished alongwith
original application. End User Certificate from the following must also be submitted:
(i) By the final end user if the import is by a third party / contractor.
(ii) By the third party /contractor, if any, who is supplying goods to the end user.
4. Complete address(s) should be stated in relevant columns. P.O. Box number will not be accepted.
62
ANF-2Q
APPLICATION FOR EXPORT OF SAMPLES OR EXHIBITS/GIFTS /SPARES /REPLACEMENT
GOODS OTHER THAN SCOMET ITEMS
1. IEC Number
2. Applicants Name and Address
3. Description of item
Item ITC(HS) Code Quantity in MT FOB Value in INR
4. Destination of export (please specify the name

of the recipient and destination)
5. Purpose of export
6. Details of RCMC, if any
7. Any other relevant information
2. I / We hereby certify that:
(ix) I/We hereby declare that the particulars and the statements made in this application are true and correct
to the best of my / our knowledge and belief and nothing has been concealed or held there from.
(x) I/We fully understand that any information furnished in the application if found incorrect or false will
render me / us liable for any penal action or other consequences as may be prescribed in law or
(xi) I/We undertake to abide by the provisions of the FT (D & R) Act, 1992, as amended, the Rules and
Orders framed there under, FTP, HBP, Appendices and Aayat Niryat Forms and ITC (HS).
(xii) I/We hereby certify that:
A. The entity for whom the application has been made has not been penalized under any of the following Acts
2005
63

(xiii) I / We hereby declare that I / We have neither obtained nor applied for such benefits (including issuance
of an Importer Exporter Code Number) in the name of our Registered / Head Office or any of our
Branch(s) / Unit(s) / Division(s) to any other Regional Authority.
(xiv) we have complied with the conditions of all previous licences / authorisations issued to us for export of
SCOMET items and wherever required have duly intimated the o/o DGFT, New Delhi along with documentary
evidence regarding receipt of the items of export by the end-user within the stipulated time.
(xv) I / We undertake to abide by the provisions of the FT (D & R) Act, 1992, as amended, the Rules and Orders
framed there under, FTP, HBP and ITC (HS) and submit all requisite documents to the o/o DGFT (SCOMET
Section), failing which I/We shall be liable to action under FT (D & R) Act, 1992 as amended or rules and
orders made there under, and the Customs Act, 1962.
(xvi) I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.6 of the Policy.
Name
Designation
Flat/Plot/Block No.
Official
Address
City
State PIN Code

Country Area Code Tel.No.
Code
Telephone
Place:
Date:
64

ANF -3A
Application Form for Merchandise Exports from India Scheme (MEIS)
(Kindly read Paras 3.03 to 3.06 of FTP and Para 3.01 to 3.03 of HBP and other common procedural features
applicable to MEIS before filing application)
(Please note that separate applications are required to be filed for separate years (AM15, AM16 etc.) based on Let
Export date. Shipments from EDI Ports and Non-EDI Ports cannot be clubbed in one application. Application shall be
filed for each EDI port and each Non EDI port separately.
Part A
i IEC No.
ii Name
iii Address
iv Telephone No
v Email ID
Part B
2. Application Details:
(i) Export Licensing Year (pl. specify the year in which export has been made, based on Let export date (Para
9.12 of HBP):
(ii) Date of filing of Application:
(iii) Port of Export for this Application:
Note: Applicant to select/feed the details of one shipping bill at a time .A maximum of 50 shipping bills can be filed in
one application
3.Details of Export :
Shipping Bill Details and Other details
Sl Date Port Let ITC Prod Country Produ Realized FOB Date of
No Ship of Cod expo (HS) uct Name and ct Sl value of Exports realization
ping Ship e rt code Des Relevant Sl No. of or FOB value as
Bill/A ping date cripti No. of Appen given in S/B,
irway Bill/A on Appendix dix 3B whichever is
Bill irway as 3B( Part 1) (Part less (in free
Num Bill per 2) foreign
ber Sipp exchange)
ing
Bill
Value Curren
cy
Code
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12)
65

Exchange Rate FOB in Rate of Entitlement Late Cut % if Late cut Entitlement
Rs.ie Entitlemen Amount any Amount(in Rs.) after Late
10x13 t as per (in Rs.) Cut
Appendix (in Rs.)
3B (Part
2) (%)
(13) (14) (15) (16) (17) 18 19

(16) = (14) 18=(16X17 19=16-18
X(15)
4. Number of Split Certificates required (in multiples of Rs 5 lakhs each):
5. Port of Registration for the purpose of imports.(The port of registration shall be the port from which exports
have taken place)
6. DECLARATION / UNDERTAKING

A.the entity for whom the application has been made have not been penalized under any of the following Acts (as
amended from time to time):
(iii) Foreign Trade (Development & Regulation) Act 1992,
(iv) The Foreign Exchange Management Act,1999; and
B.none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust, (as the case
may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other Company/ firm / entity
which is on the Denied Entity List (DEL) of DGFT;
C.neither the Registered Office of the company / Head Office of the firm / nor any of its Branch Office(s)/ Unit(s)/
Division(s) has been declared a defaulter and has otherwise been made ineligible for undertaking import /
export under any of the provisions of the Policy;
2 amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook of
Procedures
I/We hereby certify that that particulars and statements made in this application are true and correct and nothing
has been concealed or held there from. I/We fully understand that any information furnished in the application if
3. found incorrect or false will render me/us liable for any penal action or other consequences as may be prescribed
in law or otherwise warranted.
4 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign Trade
Policy.
5 I hereby declare that no benefit under MEIS, was availed (or applied for) previously against Shipping Bills
currently included in this application.
6 I hereby declare that in terms of Para 3.17 of FTP, this application does not contain any exports in
contravention to this provision. I further declare that these goods have actually been exported out of India
7 I hereby declare that the Exported Product/goods and markets are covered under Appendix 3B and the exports,
for which this application is being filed, are made on or after the respective admissible date of export, as indicated
in relevant Appendix
66

8 I hereby declare that export product for which the duty credit scrip reward is being claimed does not contain
any product which is listed as ineligible export categories / sectors in per Para 3.06 of FTP.
9 I fully understand that RA or any other agency, at any time, may ask me to provide documents on the basis of
whichrewards was granted and which are not submitted in original .I undertake to provide any such
details/documents without any delay on my part. In case I am not able to provide such documentary evidence, I
undertake to refund the amount of scrip in cash with interest at the rate prescribed under section 28AA of
Customs Act, 1962, from the date of such scrip as prescribed in FTP and HBP and shall also be liable for penal
action as per FTDR act.
1. Tick the box as acceptance of declaration/ undertaking and fill in the details below.
Name
Designation
Official Flat/Plot/Block No
Address Street/Area/Locality
City
State
PIN Code
Telephone No. Country
Code ----- Area Code ------ Phone number
-- --
Fax No. -- --
Email
Place:
Date:
67

ANF -3 B
Application Form for Service Exports From India Scheme(SEIS)
(Kindly read para 3.07 to 3.12 of FTP and Para 3.04 of HBP and other common procedural features applicable
to SEIS before filing application)
i IEC No.
ii Name
iii Address
iv Telephone No
v Email ID
2. RCMC Details :
i. RCMC Number
ii. Valid upto [dd-mm-yyyy] -- --
iii. Issuing Authority
iv. Products / Services for which registered in terms of main line

of business
3 Frequency of Application Annual
Supply of eligible Gross Foreign Exchange earned in Total expenses/ payment/ Net Foreign Exchange
4 Service by Service US$ remittances of Foreign earned in US $
Provider Exchange in US $
1 2 3 =(1-2)
i. Supply of a service (As per Total of col. 6 of

from India to any other Annexure- A)
country under Para
9.51 (i) of FTP.
ii. Supply of a service (As per Total of col. 6 of

from India to service Annexure- B)
consumer(s) of any
other country in India
under Para 9.51(ii) of
FTP.
Supply of a notified (As per Total of col. 6 of

service, appearing in Annexure- C)
iii Appendix 3E , in India
relating to services
where value is realised
in Indian Rupees
68
which are otherwise

considered as having
been paid for in free
foreign exchange by
RBI, (As per Total of
col. 6 of Annexure- C)
iv Total (As per Total of col. 6 of

Annexure D)
5 Sector wise details of Net Foreign Exchange earnedfor eligible services:

Sl Descripti Sl No. of Rate of Gross Foreign Total expenses/ Net Foreign Entitlement in US$ #
No on of Service as entitlement as Exchange payment/ Exchange
service per Appendix per Appendix earned in US$ remittances of earned in US $
rendered 3D 3D (in %) Foreign
Exchange in US
$
1 2 3 4 5 6 7=(5-6) 8= (4X7)
Total This will match This will match This will match
with amount as with amount as with amount as
at Colmn 1ofSr at Colmn2 of Sr at Colmn 3 of
No 4(iv) No 4(iv ) Sr No 4(iv )
6 Exchange rate of US$ to INR as on 1st April of the next financial year
7 Gross Entitlement=Total of Column No.8 of Sr No.5xExchange rate at Sr No 6
8 Late Cut (if any)
9 Net Entitlement (7-8)
10 Port of Registration (for purpose of imports):
11 Number of Split Certificates required, if any ,(in multiples of Rs.5.00 lakhs each)
69
#-If the amount in Col. No. 7 of Serial Number 5 exceeds the minimum earnings criteria prescribed at para
3.08 (b) of FTP, the RA will issue scrip. In case amount in Col. No. 7 of Serial Number 5 is negative, No
scrip shall be issued
B. the entity for whom the application has been made have not been penalized under any of the following
C. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust, (as the
D. neither the Registered Office of the company / Head Office of the firm / nor any of its Branch Office(s)/
Handbook of Procedures
I/We hereby certify that that particulars and statements made in this application are true and correct and
nothing has been concealed or held therefrom. I/We fully understand that any information furnished in the
3. application if found incorrect or false will render me/us liable for any penal action or other consequences as
may be prescribed in law or otherwise warranted.
Trade Policy.
5 I hereby certify that foreign exchange earned on account of services rendered from India alone in terms of
Para 9.51 (i) and Para 9.51 (ii) of FTP has been taken into account for this application under SEIS as per
Para 3.08(a) of FTP 2015-20 and these do not fall under any category or service which are not eligible as per
Para 3.08 and 3.09 of FTP 2015-20.
Name
Designation
City
State
PIN Code
70
-- --
Fax No. -- --
Email
Place:
Date:
71
Enclosure to ANF 3B
CERTIFICATE OF CHARTERED ACCOUNTANT (CA) / COST AND WORKS ACCOUNTANT (ICWA)/ COMPANY
SECRETARY (CS)
I have examined prescribed registers and also relevant records of M/s..........................

havingIEC Number... for period .. and certify that:
1. Bills, Invoices, Forward Inward Remittance Certificates (FIRCs), Bank Realization Certificates, Certificate from
international credit card companies, and evidences of foreign exchange earnings have been examined and
verified by me.
2 Relevant records relating to Total expenses /payment/remittances of Foreign Exchange, by the IEC holder,
relating to service sector in the Financial yearhave been examined and verified by me.
3. Services for which benefit is claimed does not include ineligible services and remittances as listed under Para
3.09 of FTP 2015-20.
4. Neither I, nor any of my / our partners is a partner, director, or an employee of above-named entity, its Group
companies or its associated concerns.
5. Details of Foreign Exchange Earned for Supply of Service From India to outside India or in India, (as certified in
Annexure A to C) and Total expenses /payment/remittances of Foreign Exchange by the IEC holder, relating to
service sector in the Financial year (as certified in Annexure D of this Certificate) for the period
.. is as under:
6. Category of Service Provider Sl. No. of Gross Foreign Total expenses/ Net Foreign Exchange
Appendix Exchange earned payment/remitta earned
3D (in US$) nces of Foreign
Exchange (in US$)
(in US$)
1 2 3=(1-2)
a. Para 9.51 (i) of FTP As per Total of

col. 6 of Annexure
A
b. Para 9.51 (ii) of FTP As per Total of col.

6 of Annexure B
c. Supply of anotified - As per Total of col As per Total of

service, and also 6 of Annexure C col 6 of
appearing in Appendix 3E Annexure D
, in India relating to
services where value is
realised in Indian Rupees
which are otherwise
considered as having
been paid for in free
72

foreign exchange by RBI.
Total
7. Sector wise details of Net Foreign Exchange earned for eligible services
Sl Description of Sl No. of Rate of Gross Foreign Total expenses/ Net Foreign
No service rendered Service as entitlement as Exchange payment/ remittances Exchange earned
per Appendix per Appendix earned in US$ of Foreign Exchange in US $
3D 3D (in %) in US $
1 2 3 4 5 6 7
Total This will This will match with This will match with
match with amount as at Column amount as at
amount as at 2 of Sr No 6 Column 3 of Sr No
Column 1of Sr 6
No 6
8 Exchange rate of US$ to INR as on 1st April of the next financial year
9 Equivalent Net foreign exchange earning in INR (Net Foreign Exchange earned in US $ X exchange
rate)
I fully understand that any statement made in this certificate, if proved incorrect or false, will render me liable to face any penal
action or other consequences as may be prescribed in law or otherwise warranted.
Signature of CA/ICWA/CS
Name of the Signatory
Designation
Membership No.
City
73
State
PIN Code
Code ----- Area Code --------- Phone Number
-- --
Fax No. -- --
Email :
Place:
Date:
. ---
74
Annexure-A
Calculation of Foreign Exchange Earnings for services covered under per Para 9.51(i) of FTP
Sl No. Particulars Date of Earning in Free Exchange rate on Equivalent in US

Transaction foreign Exchange the date of $ (i.e. 4X5)
(Amount in transaction to
Currency of convert in US $
transaction)
1 2 3 4 5 6
Total
Annexure-B
Calculation of Foreign Exchange Earnings for services covered under Para 9.51(ii) of FTP
Sl No. Particulars Date of Earning in Free Exchange rate on Equivalent in US

Transaction foreign Exchange the date of $
(Amount in transaction to
Currency of convert in US $ (i.e. 4X5)
transaction)
1 2 3 4 5 6
Total
Annexure-C
Calculation of Supply of an eligible service, and also appearing in Appendix 3E , in India relating to services where
value is realized exports paid in Indian Rupees which are otherwise considered as having been paid for in free
foreign exchange by RBI.
Sl Particulars if Date of Earning in Indian Exchange rate on Equivalent in US $

No. any Transaction Rupees which are the date of
otherwise considered as transaction to (i.e. 4X5)
having been paid for in convert in US $
free foreign exchange by
RBI(Amount in Rs )
1 2 3 4 5 6
Total
75
Annexure-D
Calculation of Total expenses /payment/remittancesinthe financial year:
Sl No Particulars Date of transaction of Amount of Exchange rate on Equivalent in
expenses/payment expenses in currency Date of Transaction US $
/remittances of transaction to convert in US $
(please see (i.e. 4X5)
instruction 3 below)
1 2 3 4 5 6
Total
Instruction for filling up Annexure A to D.

1. It is mandatory to fill all column in Annexure A to D even if the amount is NIL.
2. Exchange rate for conversion shall be the rate as notified by Customs.
3. Expenses for the purpose of Annexure D shall mean Total expenses / payment / remittances of Foreign
Exchange by the IEC holder, relating to service sector in the Financial year.
4. If the IEC holder is a manufacturer of goods as well as service provider, then the foreign exchange earning
and Total expenses/payment /remittances shall be taken into account for service sector only.
---
76

ANF- 3C
Application for on line filing of Grant of Status Certificate
(Kindly read Para3.20 to 3.24 of FTP and Para 3.18 to3.23 of HBP )
Part A
1. Applicant Detail
IEC Number Branch Code
Name
Address
Telephone No
Email ID
2. Application Details
Application For
Submission Date
Submitted To
Part B
3. Category of Status applied for: please tick) ( )

a) One Star Export House
b) Two Star Export House
c) Three Star Export House
d) Four Star Export House
e) Five Star Export House
4. Details of Exports/Deemed Exports/Foreign Exchange earned for supply of Service from India during preceding two
licensing years and current year (i.e. year in which application is filed).
Statement of Exports / Deemed Exports / Foreign Exchange Earned by

Supply of Service
Type of Exports in US $ Current Year Previous Year 1 Previous Year 2

in US $(Specify in US $ in US $
(FOB / FOR value / Foreign Period)
Exchange Earned)
1. Exports of goods without

Weightage
2. Exports with Double

Weightage
3 . Exports of services without
Weightage
4. FOR value converted in US
$ for Deemed Exports
77

5. Exports of SEZs / EOUs /
EHTPs / STPs / BTPs, if
clubbing is sought
6. Total (in US$)
Note1 A shipment can be included only once in one of the categories eligible for double weightage.
Note 2: In case application is filed on basis of current years exports, please specify the period (say e.g. Apr
July of Current Year if exports of 4 months are counted, or Apr Nov of Current Year if exports of 8 months
are counted)
Note 3 If the exports are in any other currency other than US$ like Euro etc, these shall be converted to US$ as
per rate notified by customs for particular month for export purposes.
5. This is to certify that I have uploaded the following documents after scanning which is part of this application.
a. Copy of earlier Status Certificate, if any.
6. DECLARATION/UNDERTAKING

B. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust,
(as the case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other
Office(s)/ Unit(s)/ Division(s) has been declared a defaulter and has otherwise been made
I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act,
2 1992, as amended from time to time, the Rules and Orders framed there under, the Foreign Trade
Policy, the Handbook of Procedures
I/We hereby certify that that particulars and statements made in this application are true and correct
and nothing has been concealed or held therefrom. I/We fully understand that any information
3. furnished in the application if found incorrect or false will render me/us liable for any penal action or
other consequences as may be prescribed in law or otherwise warranted.
4 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the
Foreign Trade Policy.
5 I hereby declare that a shipment has been included only once in one of the categories eligible for
double weightage.
78

6 I hereby declare that exports made on re-export basis have not been included.
7 I hereby declare that export / supplies do not include any performance based on disclaimer .
8 I hereby declare that only such exports has been taken into account for seeking recognition,
which has been realized by me in our bank account directly from overseas.
9 I undertake to abide by provisions of Para 9.51 of FTP relating to supply of service from India.
Name
Designation
City
State
PIN Code
-- --
Fax No. -- --
Email
Place:
Date:
79

Annexure to ANF 3C
CERTIFICATE OF CHARTERED ACCOUNTANT (CA)
COST AND WORKS ACCOUNTANT (ICWA)/ COMPANY SECRETARY (CS)
I / We hereby confirm that I / We have examined prescribed registers and also relevant records of M/s .......
.............having IEC Number ... for licensing period (s)
1 Following documents / records have been furnished by applicant firm / company and have been
examined and verified by me / us namely: -
a) Statutory documentations under Customs Act 1962 and Excise Act 1848, Service Tax Act,
Foreign Trade (Development & Regulation) Act 1992 as amended;
b) Export Order / Contract, Shipping Bills, Bill of Lading (and / or Airways Bills / PP Receipts),
Customs / Bank attested Invoices, Forward Inward Remittance Certificates (FIRCs) and e- BRC
realization, GR declaration and connected books of accounts;
c) FIRCs, Certificate from international credit card companies.
2 Information given by applicant firm / company in ANF 3C is in agreement with FTP,2015-20 as

amended, and rules and procedures made there under, relevant register and records and books of
accounts maintained by M/s ......... ..... is also true and correct.
3 It has been ensured that

a) Information furnished is true and correct in all respects; no part of it is false or misleading and
no relevant information has been concealed or withheld;
b) In respect of export of goods, a shipment is counted in applicants export turnover /
performance only if the realization of export proceeds from overseas is in the applicants
bank account.
c) In respect of service providers, realization of export proceeds in free foreign exchange
pertains to rendering of services.
d) If the exports are in any other currency other than US$ like Euro etc, these are converted
to US$ as per rate notified by customs for particular month for export purposes.
4 Neither I, nor any of my / our partners is a partner, director, or an employee of above-named entity, its
Group companies or its associated concerns;
5 I / We further certify that export proceeds for shipments during last two years plus current year are not
outstanding beyond prescribed period as permitted by RBI.
6 The statement of Exports / Deemed Exports / Foreign Exchange Earned by Supply of Service has been
calculated as under:
Statement of Exports / Deemed Exports / Foreign Exchange Earned by

Supply of Service from India
Type of Exports in US $ Current Year Previous Year 1 Previous Year 2

in US $ in US $ in US $
(FOB / FOR value /
Foreign Exchange
Earned)
80

1. Exports of goods
without Weightage
2. Exports with Double

Weightage (As per
format A)
3. Exports of services
without Weightage(As per
Format B )
4. FOR value converted
in US $ for Deemed
Exports( As per Format
C)
5. Exports of SEZs /
EOUs / EHTPs / STPs /
BTPs, if clubbing is
sought(As per format D
6. Total (in US$)
Note1 A shipment can be included only once in one of the categories eligible for double weightage.
Note 2: In case application is filed on basis of current years exports, please specify the period (say
e.g. Apr July of Current Year if exports of 4 months are counted, or Apr Nov of Current Year if
exports of 8 months are counted)
Note 3 If the exports are in any other currency other than US$ like Euro etc, these shall be converted
to US$ as per rate notified by customs for particular month for export purposes.
7. This is to certify that following of documents of record mentioned in serial number 1 have not been
maintained / furnished, examined or verified
1)
2)
8. I / We fully understand that any statement made in this certificate, if proved incorrect or false, will render
me / us liable to face any penal action or other consequences as may be prescribed in law or otherwise
warranted.
Signatureof CA/ ICWA / CS:_______________________

Place: ______________
Date: _______________ Name of the Signatory: ______________________
Address: _________________________________
________________________________________
Membership No: ___________________________
Phone Number
Email Address: ______________________________
81

Format A
Certificate of Exports where Double Weightage has been claimed (Applicable only if the application is for One Star
Export House)
Note: A shipment can be included in one of categories indicated below only once.
Sl. No. Category of Exports FOB/FOR/Foreign FOB/FOR/ FOB/FOR/

Exchange earned Foreign Foreign
in US $ Exchange Exchange
in Current Year earned in US $ earned in US $
in in
Previous Year 1 Previous Year 2
1 Export of Goods and/or services by Micro, small

&medium enterprises(MSME) as defined in
Micro, small &medium enterprises Development
(MSMED) Act 2006
2 Manufacturing units having ISO/BIS
3 Units located in North Eastern States including

Sikkim and Jammu & Kashmir
4 Units located Agri Export Zone
5 Total FOB Value in US$
6. FOB Value of Exports with Double Weightage (US$) =

[2 X Total FOB Value of Row 5 above ]
82

Format B
Certificate of Foreign Exchange Earned by Supply of Service
Sl. Category of Particulars Foreign Exchange Foreign Foreign

No. Service Provider Earned Exchange Exchange
US$ in current Earned Earned
year US$ in previous US$ in previous
year 1 year 2
1 Para 9.51 (i)
2 Para 9.51 (ii)
3 Para 9.51 (iii)
4 Para 9.51 (iv)
5. Total Foreign Exchange Earned by Supply of Service

(US$)
Format C
Certificate of FOR value of Deemed Exports
Sl. No. Category of Deemed Exports (Chapter FOR FOR FOR
7 of FTP) (Rs in Cr) (Rs in Cr) (Rs in Cr)
(Please quote the relevant sub para in in current year in previous year 1 in previous year 2
brackets)
1 Supply to Advance Authorisation
7. Total FOR Value (Rs in Cr)
8. Exchange Rate notified by CBEC as on 1 st April

of financial year
9. Equivalent US $
83

Format D
Exports from SEZs / EOUs / EHTPs / STPs / BTPs units which are included in IEC and is taken for calculation of
grant of status
Sl. No. Names of Exporting Units FOB value in US $ in FOB value in US $ in FOB value in
current year previous year 1 US $ in previous
year 2
1 2 3 4 5
1 SEZs
2 EOUs
3 EHTPs
4 STPs
5 BTPs
6. Total FOB Value ( in US$)
Place: ______________ Signatureof CA/ ICWA / CS:_______________________

Date: _______________ Name of the Signatory: ______________________
Address: ________________
Membership No: ___________________________
Phone Number
Email Address: ______________________________
Note:Each page of certificate of Chartered Accountant (CA)Cost and works Accountant ICWA)/ Company Secretary
(CS) including Format A to D need to be signed and stamped.
84

ANF- 3D
Application Form for Export of goods through courier or foreign post offices using e-
Commerce under Merchandise Exports from India Scheme (MEIS)
(Kindly read Paras 3.03 to 3.06 of FTP and Para 3.01 to 3.03 of HBP and other common procedural
features applicable to MEIS before filing application)
(Please note that separate applications are required to be filed for separate years (AM15, AM16 etc.)
based on Let Export date. Application shall be filed for each foreign post office/Airport separately.
Part A
i IEC No.
ii Name
iii Address
iv Telephone No
v Email ID
Part B
2. Application Details:
(i) Export Licensing Year (pl. specify the year in which export has been made, based on Let export date
(Para 9.12 of HBP):
(ii) Date of filing of Application:
(iii) Port of Export for this Application:
Note: Applicant to select/feed the details of one shipping bill at a time. A maximum of 50 shipping bills
can be filed in one application
3.Details of Export :
Sl Date of Por Let IT Product Country Produc Realized FOB Date of
No Shipp Shippin t exp C Descript Name t Sl value of realizatio
ing g Co ort (H ion as and No. of Exports or n
Bill/A Bill/Air de date S) per Relevan Appen FOB value as
irway way Bill co Sipping t Sl No. dix 3B given in
Bill de Bill of (Part S/B/Airway
Numb Appendi 2) bill, whichever
er x 3B( is less (in free
Part 1) foreign
exchange)
Valu Curren
e cy
Code
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12)
85

Exchange FOB in FOB value Rate of Entitlement Late Late cut Entitleme
Rate Rs.ie for Entitlement Cut Amount(in nt after
10x13 rewards as per Amount % if Rs.) Late Cut
ie FOB Appendix any
value as in 3B (Part 2) (in Rs.) (in Rs.)
colmn (%)
no14 or
Rs 25000
whichever
is less
(13) (14) 15 (16) (17) (18) 19 20
(17) = (15) 19=17X18 20=17-19

X(16)
Foreign Sr No of
category
P ost Office of export
/Airport in
details from appendix
where 3C
Exported
using e - (22)
commerce (21)
4. Number of Split Certificates required (in multiples of Rs 5 lakhs each):
5. Port of Registration for the purpose of imports.(The port of registration shall be the port from which
export has taken place)
6. DECLARATION / UNDERTAKING

E. the entity for whom the application has been made have not been penalized under any of the
F. none of the Directors / Partners / Proprietor / Karta / Trustees of the company /firm /HUF/Trust,
(as the case may be), is/are a Director(s) / Partner(s) / Proprietor / Karta / Trustee in any other
G. neither the Registered Office of the company / Head Office of the firm / nor any of its Branch
86
Office(s)/ Unit(s)/ Division(s) has been declared a defaulter and has otherwise been made
I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act,
2 1992, as amended from time to time, the Rules and Orders framed there under, the Foreign Trade
Policy, the Handbook of Procedures
I/We hereby certify that that particulars and statements made in this application are true and correct
and nothing has been concealed or held therefrom. I/We fully understand that any information
3
furnished in the application if found incorrect or false will render me/us liable for any penal action or
other consequences as may be prescribed in law or otherwise warranted.
4 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the
Foreign Trade Policy.
5 I hereby declare that no benefit under MEIS, was availed (or applied for) previously against
Shipping Bills/Airway Bill currently included in this application. I also declare that none of the
consignment in respect of which claim is filed in this application is subsequently returned by
the customer. In case it is returned in future,I undertake to refund the rewards granted with
interest rates as prescribed under section 28AA of Customs Act, 1962.
6 I hereby declare that in terms of Para 3.17 of FTP, this application does not contain any exports
in contravention to this provision.
7 I hereby declare that the Exported Product/goods and markets are covered under Appendix 3B and
the exports, for which this application is being filed, are made on or after the respective admissible
date of export, as indicated in relevant Appendix. I further declare that the Shipment documents
contains declaration of intent of claiming rewards under MEIS specified in para 3.14 of HBP .
8 I hereby declare that export product for which the duty credit scrip is being claimed does not contain
any product which is listed as ineligible export categories / sectors in per Para 3.06 of FTP.
9 I fully understand that RA or any other agency, at any time, may ask me to provide documents on
the basis of whichrewards was granted and which are not submitted in original .I undertake to
provide any such details/documents without any delay on my part. In case I am not able to provide
such documentary evidence, I undertake to refund the amount of scrip in cash with interest at the
rate prescribed under section 28AA of Customs Act, 1962, from the date of such scrip as prescribed
in FTP and HBP and shall also be liable for penal action as per FTDR act.
1. Tick the box as acceptance of declaration/ undertaking and fill in the details below.
Name
Designation
City
State
87

PIN Code
-- --
Fax No. -- --
Email
Place:
Date:
Enclosure (A) to ANF 3D
CERTIFICATE OF CHARTERED ACCOUNTANT (CA) / COST AND WORKS ACCOUNTANT

(ICWA)/ COMPANY SECRETARY (CS)
I have examined prescribed registers and also relevant records of

M/s.......................... having IEC Number in respect of their
claim for Export of goods through courier or foreign post offices using e-Commerce under
Merchandise Exports from India Scheme (MEIS) for the period from -----To-------- for Rs ------
... and certify that
1. Bills, Invoices, Forward Inward Remittance Certificates (FIRCs), Bank Realization
Certificates, Certificate from international credit card companies, and evidences of foreign
exchange earnings have been examined and verified by me.
2 The claim is in accordance with exports of specified goods/category listed in appendix 3C

of FTP. The claim is in accordance with conditions laid down in para 3.05 of FTP .The
Shipment documents contains declaration of intent of claiming rewards under MEIS
specified in para 3.14 of HBP .
3. Export of goods for which benefit is claimed does not include ineligible exports as listed
under Para 3.06 of FTP 2015-20.
4. Neither I, nor any of my / our partners is a partner, director, or an employee of above-named

5 None of the consignment in respect of which claim is filed in this application is

subsequently returned by the customer.
6 None of the consignment in respect of which claim is filed in this application is previously
claimed by the applicant.
88

7. The details of exports contained in the application are certified as under
Details of Export :
Sl Date of Por Let IT Product Countr Produc Realized FOB Date of
No Shippin Shipping t expo C Descript y t Sl No. value of realizati
g Bill/Air Co rt (H ion as Name of Exports or on
Bill/Air way Bill de date S) per and Appen FOB value as
way cod Sipping Releva dix 3B given in
Bill e Bill nt Sl (Part 2) S/B/Airway
Number No. of bill,
Appen whichever is
dix 3B( less (in free
Part 1) foreign
exchange)
Val Curren
ue cy
Code
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12)
Exchange FOB in FOB value Rate of Entitlement Late Late cut Entitleme
Rate Rs.ie for Entitlement Cut Amount(in nt after
10x13 rewards ie as per Amount % Rs.) Late Cut
FOB Appendix
value as in 3B (Part 2) (in Rs.) (in Rs.)
colmn (%)
no14 or
Rs 25000
whichever
is less
(13) (14) 15 (16) (17) (18) 19 20
(17) = (15) 19=17X18 20=17-19

X(16)
Foreign Sr No of
category
P ost Office of export
/Airport in
details from appendix
where 3C
Exported
using e- (22)
commerce
(21)
89

I fully understand that any statement made in this certificate, if proved incorrect or false, will render
me liable to face any penal action or other consequences as may be prescribed in law or otherwise
warranted.
Signature of CA/ICWA/CS
Name of the Signatory
Designation
Membership No.
City
State
PIN Code
Code ----- Area Code --------- Phone Number
-- --
Fax No. -- --
Email :
Place:
Date:
90
Enclosure (B) to ANF 3D
Landing Certificate
To Whom So Ever It May Concern
We hereby certify that M/s ________________ having I.E. Code ________________ has exported
_______________, as per details given below:
S.No. Shipping Bill/ Dtd Port of Port of Country of Final Date of Arrival/
Airwaybill No. Loading Discharge Destination Delivery
We M/s XYZ Pvt. Ltd. are the accredited agents of the concerned goods carrier on the date of issuance of
the tracking document. We have verified that this proof of landing goods in relevant notified market is
given based on information available in goods carriers backup database and we have issued this
document accordingly. This certificate has been issued as per para 3.03(f) of H.B.P 2015-20
For XYZ Pvt. Ltd.
Authorized Signatory
Name:
Designation:
Place:
Date:
91
ANF -4A
Application for issue of Advance Authorisation/Advance Authorisation for Annual Requirement
/ Invalidation Letter / Advance Release Order (ARO)
[Please see guidelines given at the end before filling the application]
Part A
1 IEC No. Branch Code
2 Application For Advance Authorisation / Advance Authorisation for Annual Requirement / Advance
(Select Authorisation for Invalidation / Advance Release Order
appropriate
category)
Ecom. Reference Date of Submission: Name & Code of RA: RA File No RA File
No: Date
3 RCMC Number Date Issuing Validity Period Products for which

Authority registered
4 Excise Address of the jurisdictional Address of the factory / Branch Code as per IEC
Registration Central Excise Authority premises where the
Number under whose jurisdiction the items to be imported are
factory / premises situated. proposed to be used
5 Application Fee Bank Name & Mode of Date of Amount (in Rupees)
details Receipt/Electronic Branch of Payment payment
Fund Transfer the Bank
No. / Credit Card
details
6 Industrial Registration Issuing Authority Date of Issue Products for which

Details - MSME / IEM registered
92
Registration Number
7 Port of Registration for the purpose of imports (For

details, please refer to as Paragraph 4.37 of HBP)
8 Value Addition (in %)
Part B
9 Application made for Export Application made Application made Application made under
Product Group: under Serial No. of under Para 4.07 of Paragraph 4.33 of FTP
SION HBP. Whether (for G&J sector)
Adhoc Norms
already fixed or
Not. If application is
made on repeat
basis, give details
of NC meeting No.
and date
10 Source of Supply of free of cost Destination / Name Description of item Notional

inputs of the country Quantity value
11. Details of items sought to be procured indigenously / imported duty free under the Authorisation
S. Item Description Item ITC Quant UO CIF CIF Total Total CIF value of Total FOB / FOR
N Technical (HS ity M Val value exempt Imports applied value of Exports to
o Characteri ) ue (in ion for be made, excluding
stics / Co freely from commission
Quality etc. de (in converti Custom
Rs) ble s duty
currenc
y)
93
Details Details of In In In In Rs In In
of inputs RS curr U curren U
Inputs proposed enc S cy of S
propos to procure y of $ import $
ed to indigeneo imp s
import usly orts
directl
y
12. Details of items to be exported / supplied under the Authorisation:
S. Item Item Technical ITC Quantity UOM FOB / FOB / FOR Total FOB / FOR value of
No Description Characteristics (HS) FOR value (in Exports to be made,
/ Quality etc. Code Value freely excluding commission
convertible
(in currency) In Rupees In In
Rupees) currency US
of $
imports
13. Details of other duty paid materials to be used in the export product and to be imported / procured from sources
other than under the Authorisation for which drawback shall be claimed.
Sl. No Imported Item Indigenously Procured Item Whether

drawback
Name, Quantity UOM CIF Name, Quantity Value Amount being
Technical Value Technical of duty claimed
Characteristics / Characteristics / paid
Quality etc Quality etc (Y / N)
14. Details of wastage claimed:
Sl. Wastage claimed on Imported Item & Justification Wastage claimed on Indigenously Procured Item and
No justification
Name of Wastage UOM Justification Name of Wastage UOM Justification

imported Claimed (if Indigenously Claimed
Inputs net-to-net, procured Inputs
mention (if net-to-
specifically) net,
mention
specifically
)*
94

* Not required if applied for export products for which SION are fixed.
15. Details of outstanding Advance Authorisation(s) including Advance Authorisation for Annual Requirements
issued already and their status of Export Obligation fulfillment
(a) where original EO period has expired as per Authorisation:
S. Authorisation Authorisation CIF Value FOB Value % age of EO fulfilled Expiry Steps taken
No No Date (Rupees) (Rupees) Date by exporter
Qty wise Value of EO to regularise
wise period the
Authorisation
(b) where EO period has not expired as per Authorisation:
S. Authorisation Authorisation CIF Value FOB Value % age of EO fulfilled Expiry Date of
No No Date (Rupees) (Rupees) EO period
Qty wise Value
wise
16. Details of exports / deemed supplies (including Intermediate supplies) made in the preceding 3 financial years (in
cases of application under 4.07 or Annual Advance Authorisation)
Financial Year FOB Value of exports FOR Value of deemed supplies Total Export Performance
(in Rupees Crore) (in Rupees Crore) (in Rupees Crore)
17 (a) Entitlement of Authorisation for Annual

Requirement (Rupees)
(b) CIF Value of Authorization for Annual

Requirement already obtained (Rupees) during the
current financial year
18. In case of exports made under Deemed Exports category (except for supplies to Advance Authorisation / EOU /
EHTP / STP / EPCG or intermediate supplies), please furnish:
Category of supply under para 7.02 Name of the Project Authority Delivery period of Supply
of FTP
95

19. In case of request for issuance of Advance Release Order / Invalidation Letter, please furnish details:
Advance Name (s) / Address (s) / IEC code of the Regional Authority of the
Authorisation Indigenous producer from where items are Indigenous producer /
No. & Date (in to be procured supplier
case already
issued)
Advance
Release Order
Invalidation
Letter
20. In case the items to be imported are to be used by the supporting manufacturer, please furnish details:
Name of the supporting manufacturer
Address of the supporting manufacturer
If supporting manufacturer is an exporter, then

please indicate the IEC No.
MSME / IEM / IL Regn. No.& date & Products

endorsed on MSME / IEM / IL of Supporting
Manufacturer
I / We hereby declare that:
1. the particulars and the statements made in this application are true and correct to the best of my/our
knowledge and belief and nothing has been concealed or held there from and if found incorrect or false will
warranted.
2. we would abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, the Rules
and Orders framed there under, the Foreign trade Policy, the Handbook Procedure and the ITC(HS)
Classification of Export & Import Items, as amended from time to time.
3. none of the Proprietor/ Partner(s) / Director(s) / Karta / Trustee of the firm / company, as the case may be,
is / are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / Company which has come
to the adverse notice of DGFT or in the caution list of RBI.
4. I/we have perused the list of SCOMET items as contained in the Appendix 3 to the Schedule 2 of the ITC
(HS) Classifications of Export-Import Items, 2004-09 and that the item(s) exported / proposed to be
96

exported does not fall within this list and that I/ We agree to abide by the provisions of the Policy for export
of SCOMET items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP v1,
irrespective of the scheme under which the item is exported / proposed to be exported (the underlined
portion will be deleted in case an application for export license for SCOMET item is being filed).
5. I / we shall abide by the final fixation of norms by the Norms Committee (NC) and shall pay in cash to the
Government Customs duty together with interest (as notified) reckoned from the date of imports till the date
of deposit on the inputs imported in excess of the norms fixed by NC (Applicable in case of Advance
Authorisation applications under paragraph 4.07 of Hand Book of Procedures only).
6. no export proceeds are outstanding beyond the prescribed period as laid down by RBI or such extended
period for which RBI permission has been obtained.
7. I/we have updated the IEC profiles in ANF 1.
8. We have not been penalized under any of the following Acts (as amended from time to time): (i) The
Customs Act, 1962, (ii) The Central Excise Act 1944, (iii) Foreign Trade (Development & Regulation) Act
1992, and (iv) The Foreign Exchange Management Act,1999; (v) The Conservation of Foreign Exchange,
Prevention of Smuggling Activities Act, 1974 B.
9. I am authorised to verify and sign this declaration as per paragraph 9.06 of the FTP.

Date: Name
Designation
Official Address
Telephone
Residential Address
Email Address
Please see paragraphs 4.04, 4.30, 4.31, 4.32, 4.45 and 4.85 of HBP
relevant to the Scheme under which the application is being filed
1. Applicant shall file application online using digital signature only.
2. Applicant shall indicate the relevant details at Sr.No.4 above even if such units are not registered / not
required to be registered with Central Excise.
3. Where no wastages have been claimed and inputs are taken on net-to-net basis, in such cases, it should be
specifically mentioned in relevant column of Sr.No.14 of ANF.
4. Steps taken by exporter to regularise the Authorisation such as payment of customs duty and interest, filing
of application for EO extension, request for Clubbing etc. shall be indicated in column Sr.No.15(a) of ANF.
For Advance Authorisation:
1. Bank Receipt / EFT / Credit Card details evidencing payment of application fee in terms of Appendix 2K.
2. Please upload following documents:
i. In case of issue of Advance Authorisation for Annual Requirement:
a. Statement of exports made in the preceding financial year duly certified by a Chartered Accountant / Cost
Accountant / Company Secretary in the format given in Appendix 5B.
97
b. Self certified copy of the manufacturing licence of the applicant firm or his supporting manufacturer.
ii. Invalidation Letter(s) in case of supplies to an Advance Authorisation holder. However, in case of switch
over from physical exports / deemed exports to intermediate supplies, such invalidation letters can also be
furnished at the time of redemption of advance authorisation.
iii. In case of Deemed Export:
Project Authority Certificate other than in case of supplies against (i) Advance Authorization (ii) EPCG & (iii)
EOU / EHTP / STP / BTP units;
3. In cases where import of fuel has been sought for under Advance Authorisation / Advance Authorisation for
Annual Requirements (excluding Advance Authorisation for Annual Requirement applications for ad-hoc
norms and those under paragraph 4.07 of Hand Book of Procedure), please upload following documents:
a. Self certified copy of the permission issued to the manufacturer exporter by the competent authority
(concerned State Electricity Board or Power Corporation or Regulatory Commission of the State) under
Section 44 of the Electricity (Supply) Act, 1948 for the installation of captive power plant based on the
specified fuel unless the permission is specifically waived by the State Electricity Board; and
b. Self certified copy of the letter intimating the date of commissioning of the captive power plant from the
concerned authority which issued the permission letter is to be submitted.
Note: Import of only such fuel(s) shall be allowed which have / has been specified in the said permission.
4. Please upload following documents in case of issue of Advance Authorisation under paragraph 4.07 of
Handbook of Procedure:
a. Information as per Appendix 4E.
b. Production and Consumption data of the manufacturer / supporting manufacturer of the preceding three
financial years, duly certified by the Chartered Accountant / Cost Accountant / Jurisdictional Excise
Authority.
5. Please state Not Applicable wherever the information / data is not applicable to the applicant.
98
ANF- 4B
Application for Fixation / Modification / Revision of Standard Input Output Norms (SION)
[Please see guidelines given at the end before filling the application online]
Part A
2 Application For
Ecom. Reference Submission Date Submitted To RA File No RA File

No Date

4 Excise Registration Number Address of the jurisdictional Central Address of the factory /
Excise Authority under whose jurisdiction premises where the items
the factory / premises situated. to be imported are
proposed to be used
5 Application Fee details Bank Name of Mode of Date Amount (in Rupees.)
Receipt/Electronic the Bank payment
Fund Transfer Branch on
No. / Credit Card which
details drawn, if
applicable.

Registration Number
99
Part B
7 Total CIF value of Imports applied for Export Product Details
In Rupees In currency In US $ Description of Export Export Product Group
of imports Product
8. Details of Items required for manufacture of One Unit of Export Product (Purpose of inputs should be indicated against
each item i.e whether the input is required as a raw materials / components / solvents / catalyst / packing material
etc.
A. Imported Inputs
S Required import item Quantity UOM Purpose of Wastage Claimed
No Description Technic ITC(HS) required requirement - (%age) on net content
Raw Comp al Code for each Relationship / basis / yield, if applicable
mate onent Charact of export utility / application
rial s eristics product of import or
export*
B. Indigenous Inputs
Sl. Required indigenous item Quantity UOM Purpose of Wastage Claimed
No Description Technical ITC(HS) required requirement- (%age) on net
Characteristics Code for each Relationship content basis/
Raw Components unit of / utility / yield, if applicable
material export application
product of import or
* export
( * purpose of requirement should be indicated against each item i.e whether the item is required as a raw material
/components /solvents/catalyst/packing material etc )
100

9. Detail of wastages claimed:
Sl. No Wastage claimed on Imported Item & Justification Wastage claimed on Indigenously Procured Item
and justification
10. Production and Consumption data of the manufacturer/supporting manufacturer for preceding three
financial years
Year Total Production of the Quantity of Quantity consumed / unit production
export product different inputs
consumed
11. Details of earlier Advance Authorisations obtained (if any) for the export product in the preceding two
financial years
S Authorisation Details Quantity of different Quantity consumed/unit production
No Authorisation Authorisation Issuing items consumed
No Date authority
12. In case the application is made for modification in existing SION, please furnish
Existing SION Number Nature of Modification required Details of Modification required
(upload details)
warranted.
101

of SCOMET items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP, irrespective
of the scheme under which the item is exported / proposed to be exported (the underlined portion will be
deleted in case an application for export license for SCOMET item is being filed).
5. Applicable in case of Advance Authorisation applications under paragraph 4.07 of HBP only.
6. I / We shall abide by the final fixation of norms by the Norms Committee (NC) and shall pay in cash to the
Government Customs duty together with interest (as notified) reckoned from the date of imports till the date
of deposit on the inputs imported in excess of the norms fixed by NC.
8. that I/We have updated the IEC profiles in |ANF 1.
10. I am authorised to verify and sign this declaration as per Paragraph 9.06 of the FTP.

Date: Name
Designation
Official Address
Telephone
Residential Address
Email Address

[ Please see paragraph 4.06, 4.22, 4.23, 4.24, 4.25 of HBP ]
1. Application shall be filed online using digital signature only.

2. RCMC details need not be given if the same have already been updated in the ANF-1.
3. Please upload following information:
(a) Production and Consumption data of the manufacturer/supporting manufacturer of the preceding three
financial years as given in serial No. 10 of the application, duly certified by the Chartered accountant/ Cost
Accountant / Jurisdictional Excise Authority.
(b) Technical details, as applicable, as per Appendix 4E.
(c) Chartered Engineer certificate certifying the import requirements of raw materials as per Appendix 4K of
HBP.
102
ANF- 4C
Application for Clubbing of Advance Authorisations
[Please see guidelines given at the end before filling the application]
Name & Code of RA with whom Application for clubbing

1. IEC Number
is filed
2. Details of Authorisations to be clubbed

Sl. Authorisation details Issued under Export Port of Expiry Expiry date of
No Number Issuance Customs Notification product Registration date of extended EO
date no. & date initial EO period, if any
period
3. Details of physical exports / deemed exports made against each individual Advance Authorisation:
Sl. Products Shipping Bill/ Quantity Exported / Supplied FOB Value

Exported/ Invoice / AR 3
No.
Supplied Details
No Date Physical exports Deemed Total In case In case Actually
Exports of of realized
Direct Third Party physical deemed (as per
exports exports exports exports eBRC)
(as per (as per
S/B) invoices /
ARE-3)
4. Details of imports allowed and imports actually made against each individual Authorisation:
Sl. Name of Imports allowed in the Bill of Entry Details Imports completed
No Input Authorisation
Qty allowed CIF Value No Date Qty CIF value utilized

allowed (in FFE)
( in FFE)
In In % In In %
absolute absolute
terms terms
5. Consolidated Details of physical exports / deemed exports made against all Authorisations.
103

Products Shipping Bill/ Quantity Exported / Supplied FOB Value
Sl.No. Exported / Invoice / AR 3
Supplied Details
No Date Physical exports Deemed Total In case In case Actually
physical deemed (as per
Direct Third exports exports eBRC)
exports Party (as per (as per
exports S/B) invoices)
6. Consolidated Details of imports allowed and made against all Authorisations
S Item of Imports allowed in the Bill of Entry Details Imports completed

No Import Authorisations
Qty allowed CIF Value No Date Qty CIF value utilized

allowed (in FFE)
( in FFE)
In In % In In %
absolute absolute
terms terms
7. Details of excess imports made proportionate to the export obligation fulfilled
S No Item of Import Bill of Entry Details Quantity Duty Details

No Date Customs Interest Total
Duty
warranted.
104

6. I/We hereby declare that Freight, Insurance and Commission values as mentioned in the application are
based on actual transaction values.
7. For the purpose of calculating entitlement, commission amount has been excluded.
8. that I/We have updated the IEC profiles in ANF 1.
Place : Signature of the Applicant

Date : Name
Designation
Official Address
Telephone
Residential Address
Email Address

[Please see paragraph 4.38 of HBP]

2. Clubbing of Advance Authorisation with Advance Authorisation for Annual requirement shall not be
permitted.
3. FOB value of export for the purpose of value addition shall be arrived at after excluding the Foreign Agency
Commission, if any.
4. Authorisations should have been issued by the same Regional Authority.
5. Advance Authorisation (s) in Original shall be submitted to the concerned Regional Authority.
105
ANF- 4D
Application for Enhancement / Reduction in CIF / FOB Value / Revalidation of Authorisation / EO
Extension of Authorisation
2 Application Fee / Bank Name of Pay Mode Date Amount (in Rupees.)
Composition Fee Receipt/Electronic the Bank
details Fund Transfer Branch on
details drawn, if
applicable
3. Authorisation details:
i. Authorisation Number
ii. Authorisation Date
iii. File Number from which Authorisation is issued
iv. CIF Value allowed (Rs)
v. FOB Value endorsed (Rs)
vi. Original Value Addition (%)
vii. Import Validity upto:
(a) Initially allowed:
(b) Revalidation, if any
I. As allowed by RA (in terms of para 4.41 of HBP):
II. As allowed by DGFT (Hqr):
viii. Initial EO Period:
ix. Extended EO period, if any, valid upto:
a) As allowed by RA (in terms of para 4.42 of HBP):
b) As allowed by DGFT (Hqr):
4. Details of import items and utilisation of Authorisation

Sl. Imports as endorsed in the Authorisation Imports already Effected Balance Imports
No
Quantity CIF Value Quantity CIF Value
Item Quantity ( CIF Value In In In Rs In % In In In In

Description in metric (Rs) metric % metric % Rs %
units ) units units
5. Details of Export Obligation fulfillment

Sl. Export Obligation as endorsed in the Exports already made Balance exports (Unfulfilled
No Authorisation EO)
Quantity FOB Value Quantity FOB
Value
106

Item Quantity ( FOB Value In In In Rs In % In In In In
Description in metric (Rs) metric % metric % Rs %
units ) units units
6. Changes Required in the Authorisation:

In case of request for CIF / FOB value
enhancement In case of request for In case of request
Proposed Proposed FOB Proposed Value revalidation - Revalidation for EO extension -
CIF Value Value (Rs) Addition (%) applied upto Extension in EO
(Rs) period applied upto:
7. Reasons for seeking CIF / FOB enhancement / Revalidation / EO extension: (Pl strike out which is not applicable
and mention the specific reason for seeking the amendment).
warranted.
to the adverse notice of DGFT or is in the caution list of RBI.
(HS) Classifications of Export-Import Items, and that the item(s) exported / proposed to be exported does
not fall within this list and that I/ We agree to abide by the provisions of the Policy for export of SCOMET
items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP, irrespective of the
scheme under which the item is exported / proposed to be exported (the underlined portion will be deleted
in case an application for export license for SCOMET item is being filed).
107

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address

[Please see paragraph 4.39, 4.41, 4.42 of HBP]

2. Please upload following documents :
a. Bank Receipt / EFT / Credit Card details evidencing payment of application fee in terms of Appendix 2K
or otherwise as per Policy / Procedure to the Regional Authority concerned.
3. Authorisation in Original shall be submitted to the concerned Regional Authority.
4. Payment of composition fee, wherever required, should be indicated in column No.2 above.
108
ANF -4E
Application for Advance Authorisation / Advance Release Order (ARO) / Invalidation Letter for
Pharmaceutical Products, manufactured through Non-Infringing (NI) process
[Please see paragraph 4.18 of HBP and the guidelines given at the end of this ANF before filling the
application online].
Part A
2 Application For

No Date

4 Excise Registration Number Address of the jurisdictional Central Address of the Branch
Excise Authority under whose factory / premises Code as
jurisdiction the factory / premises where the items to per IEC
situated. be imported are
proposed to be
used
5 Application Fee details Bank Name of Pay Mode Date Amount (in Rs.)
Receipt/Electronic the Bank
drawn, if
applicable

Details MSME/IL/IEM registered
109
Registration Number
7 Port of Registration as per Value Addition

Paragraph 4.37 of HBP (for the (in %)
purpose of imports)
Part B
8. Total CIF value of Imports applied for

i. In Rupees
ii. In currency of imports
iii. In US $
9. Total FOB / FOR value of Exports to be made, excluding commission

i. In Rupees
ii. In currency of exports
iii. In US $
10. Country of Import (Destination Country):
11. Whether approval of the Food & Drug Administration / Concerned regulatory authority of the country of
import received for the product: Yes / No.
12. Details of items to be exported / supplied under the Authorisation:
S No Item Item ITC Quantity Unit of FOB / FOR FOB / FOR

Description Technical (HS) Measure Value value (in
Characteristi Code ment (in Rs) freely
cs / Quality convertible
etc. currency)
13. SION or Adhoc Norms for the export product:
i. Whether SION fixed for the product: Yes / No

If yes, then state SION Sl. No.: _________.
ii. Whether Adhoc Norms fixed: Yes / No.
If yes, then state:
110

NC meeting No.: ____;
NC meeting date: _________;
`Case No.: ____.
14. Details of items sought to be imported duty free under the Authorisation
S. Item Item Technical ITC Quantity CIF CIF value Total

No Description Characteristics (HS) in metric Value (in freely exemption
/ Quality etc. Code units (in Rs) convertible from Customs
currency) duty
15. Details of other materials to be used in the export product and sought to be imported / procured from
sources other than the Authorisation on which drawback benefits is to be availed (not to be filled if Drawback
benefits are not being claimed):
Sl. No Imported Item Indigenously Procured

Item
Name, Technical Quantity in CIF Name, Technical Quantity in Value
Characteristics / Quality metric units Value Characteristics / metric units
etc Quality etc
16. Details of Outstanding Export Obligation against Advance Authorisation(s) issued already:
S No Authorisat Authorisatio CIF Value FOB Value %age of EO Expiry Date

ion No n Date (Rs) (Rs) fulfilled of EO period
Qty Value
wise wise
17. Details of exports / deemed exports (including Intermediate supplies) made in the preceding 3 licensing
years:
Licensing Year FOB Value FOR Value of deemed Total Export Performance
of exports supplies (in RsCrore)
(in RsCrore) (in RsCrore)
111

18. In case of request for issuance of ARO / Invalidation letter, please furnish:
i. Advance Authorisation No.:

ii. Date of Issue of Advance Authorisation:
iii. Name (s) of the Indigenous producer from where items are to be procured:
iv. Address (s) of the Indigenous producer from where items are to be procured:
v. Regional Authority of the Indigenous producer:
vi. Items to be supplied by the Indigenous producer:
a. Description of individual items:
b. Quantity of individual items to be procured:
c. Value of individual items to be procured:
warranted.
7. we have not been penalized under any of the following Acts (as amended from time to time): (i) The
112


Place Name
Date Designation
Official Address
Residential Address
Email:
Telephone No.(O):
(Please see paragraph 4.18, 4.19 & 4.20 of HBP)
For Advance Authorisation:

2 RCMC details need not be given if the same have already been updated in the ANF-1.
4. Bank Receipt / EFT/Credit Card details evidencing payment of application fee in terms of Appendix 2K.
5. In case of supplies to another Advance Authorisation holder, original invalidation letter(s) shall be submitted
to concerned Regional Authority. However, in case of switch over from physical exports / deemed exports
to intermediate supplies, such invalidation letters can also be furnished at the time of redemption of
advance authorisation.
6. Chartered Engineer (Chemical) certificate certifying the input requirements of raw materials in the format
given in Appendix 4L.
7. A self certified copy of the approval letter for the product, from the Food & Drug Administration / Concerned
regulatory authority of the country of import (Destination country).
8. In cases where import of fuel has been sought for under Advance Authorisation:
a.Self certified copy of the permission issued to the manufacturer exporter by the competent authority
(concerned State Electricity Board or Power Corporation or Regulatory Commission of the State) under
Section 44 of the Electricity (Supply) Act, 1948 for the installation of captive power plant based on the
specified fuel unless the permission is specifically waived by the State Electricity Board; and
b.Self certified copy of the letter intimating the date of commissioning of the captive power plant from the
concerned authority which issued the permission letter is to be submitted.
Note: Import of only such fuel(s) shall be allowed which have / has been specified in the said permission.
9. Please state Not Applicable wherever the information / data is not applicable to you.
113
ANF- 4F
Application for Redemption / No Bond Certificate against Advance Authorisation
2 Application Fee / Bank Name of Mode of Date Amount (in Rs.)

composition fee details Receipt/Electronic the Bank Payment
No. which
drawn
3. Request for: Redemption (EODC) / No Bond Certificate (Bond Waiver)

4. (Strike out whichever is not applicable)
.i. Advance Authorisation No.
Date of Issue
ii. CIF Value
a. In Indian Rupees
b. In free foreign exchange
iii. Export Obligation imposed
a. In Indian Rupees
b. In free foreign exchange
iv. Export Obligation Period:
a. Date of expiry of initial export obligation period
b. Date of expiry of extended export obligation period
v. Product exported
vi. Norms details:
a. Serial Number of SION (in case of fixed norms)
b. Meeting number, date, Case No. of the Norms
Committee vide which norms have been ratified (in
case of para 4.07 cases)
5. Details of physical exports / deemed exports made

Sl.N Products Shipping Bill/ Quantity Exported / Supplied FOB Value
o Exported Invoice/ ARE3 /
/ CT 3 Details
Supplied No Date Physical exports Deemed Total In case In case Actually
physic deeme (as per e
Direct Third al d BRC)
exports Party exports exports
export (as per (as per
s S/B) invoice
s)
114

6. Details of imports made against the Authorisation:
Sl. Item of Imports allowed in the Bill of Entry Details Imports effected
No Import Authorisation
Qty allowed CIF value No Date Quantity CIF Value utilised
( in FFE) imported (in FFE)
7. Details of excess imports made proportionate to the export obligation fulfilled:

Sl Item of Import Bill of Entry Details Quantity Duty Details
No No Date Customs Interest Total
Duty
8. Details of payment of Customs Duty, Interest, and any other payment :
Sl Customs Duty Interest Paid Composition Fee paid Any other payment
No paid details
warranted.
items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP, irrespective of the
5. No export proceeds are outstanding beyond the prescribed period as laid down by RBI or such extended
6. Freight, Insurance and Commission values as mentioned in the application are based on actual transaction
values.
115

7. For the purpose of calculating entitlement, commission amount has been excluded.

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address

[Please see paragraph 4.46, 4.47 of HBP]
1. Application will be filed online using digital signature only.

a. For physical exports:
i. e-BRC / Bank Certificate of Exports and Realisation in the form given at Appendix 2U or Foreign
Inward Remittance Certificate (FIRC) in the case of direct negotiation of documents or Appendix
2L in case of offsetting of export proceeds.
ii. EP copy of the shipping bill(s) containing details of shipment effected or bill of export in case of
export to SEZ. However no hard copy of Shipping Bill(s) shall be required to be filed for EO
discharge for shipments from EDI Ports.
iii. A statement of exports giving details of shipping bill wise exports indicating the shipping bill
number, date, FOB value as per shipping bill and description of export product.
iv. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF
value.
v. FOB value of export for the purpose of V.A shall be arrived at after excluding the Foreign Agency
Commission, if any.
vi. In case where CENVAT credit facility on inputs have been availed for the exported goods, the
goods imported against Advance Authorisation shall be utilized only in the manufacture of dutiable
goods whether within the same factory or outside (by a supporting manufacturer) even after
completion of export obligation, for which the authorisation holder shall produce a certificate from
either the jurisdictional Central Excise Supdt. or Independent Chartered Accountant or Cost
Accountant, at the option of the exporter.
116
b. For deemed exports:
i. A copy of the invoice or a statement of invoices duly signed by the unit receiving the material and
their jurisdictional excise authorities certifying the item of supply, its quantity, value and date of
such supply. However in case of supply of items which are non excisable or supply of excisable
items to a unit producing non excisable product(s), a project authority certificate (PAC) certifying
quantity, value and date of supply would be acceptable in lieu of excise certification. However, in
respect of supplies to EOU/EHTP/ STP/ BTP, a copy of CT-3/ARE-3 duly signed by the
jurisdictional excise authorities certifying the item of supply, its quantity, value and date of such
supply can be furnished in lieu of the excise attested invoice (s) or statement of invoices as given
above. However in case of supply of the product by the Intermediate supplier to the port directly
for export by the ultimate exporter (holder of Advance Authorisation or DFIA) in terms of paragraph
4.30 of HBP, copy of the shipping bill with the name of domestic supplier as Intermediate supplier
endorsed on it along with the file No. / Authorisation No. of the ultimate exporter and the
intermediate supplier shall be required to be furnished.
ii. Payment certificate from the project authority in the form given in Appendix 7D supported by e-
BRC.
iii. A statement of supplies giving details of supply invoices and indicating the invoice number, date,
FOR value as per invoices and description of product.
iv. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF
value.
v. In case where CENVAT credit facility on inputs have been availed for the exported goods, the
goods imported against Advance Authorisation shall be utilized only in the manufacture of dutiable
goods whether within the same factory or outside (by a supporting manufacturer) even after
completion of export obligation, for which the authorisation holder shall produce a certificate from
either the jurisdictional Central Excise Supdt. or Independent Chartered Accountant or Cost
Accountant, at the option of the exporter.
117
ANF -4 G
Application for issue of Transferable Duty Free Import Authorisation (DFIA) (including for ARO
and Invalidation Letter)
PART A
For filing Application to RA
2 Application For
Ecom. Reference Date of Submission: Name & Code of RA: RA File No RA File
No: Date

4 Excise Registration Number Address of the jurisdictional Address of the Branch Code as
Central Excise Authority factory / premises per IEC
under whose jurisdiction the where the items
factory / premises situated. to be imported are
proposed to be
used
5 Application Fee details Bank Name& Mode of Date of Amount (in Rs.)
Receipt/Electronic Branch of Payment payment
Fund Transfer the Bank
No. / Credit Card on which
drawn, if
applicable

Details MSME/LOI/IL / registered
IEM Registration
118
Number
7 Port of Registration for the purpose of imports (For

details, please refer to as Paragraph 4.37 of HBP)
8 Value Addition (in %)
9. Total CIF value of Imports applied Total FOB/FOR value of Exports

for to be made, excluding
commission
i. In Rupees
ii. In currency of imports
iii. In US $
10.
(a) Application made for Export Product Group:
(b) Application made under which Serial No. of SION:
11. Details of items exported/supplied under the DFIA
S No Item Item Technical ITC(HS) Quantit Unit of FOR FOR/FOB value (in
Descrip Characteristics/ Code y Measur /FO freely convertible
tion Quality etc. ement B currency)
Valu Value Currency
e Code
(in
Rs)
12. Details of items sought to be imported duty free under DFIA
S No Item Item ITC(HS) Quantity Unit of CIF CIF value (in Total exemption
DescripTechnical Code Measure Value freely from Customs
tion Characteri -ment (in Rs) convertible duty
stics/
currency)
Value Currency
Quality
Code
etc.
119

13. Details of other materials to be used in the export product and sought to be imported/procured from
sources other than the Authorisation on which drawback benefits is to be availed (not to be filled if
Drawback benefits are not being claimed)
S No Imported Item Indigenously Procured Item

Name, Technical Quantity in CIF Name, Quantity Value
Characteristics/ metric units Value Technical in metric
Quality etc Characteristi units
cs/Quality
etc
14. Details of Outstanding Export Obligation against DFIA, Advance Authorisation(s) including Advance
Authorisation for Annual Requirements issued already
S No Authorisat Authorisation CIF Value FOB %age of EO Expiry Date of

ion No Date (Rs) Value fulfilled EO period
(Rs)
Qty Valu
wise e
wise
15. Details of exports / deemed supplies made in the preceding 3 licensing years:
Licensing Year FOB Value of exports FOR Value of deemed Total Export Performance
(in Rs. crore) supplies (in Rs. crore)
(in Rs. crore)
16. In case of exports made under Deemed Exports category (except for supplies to Advance
Authorisation/DFIA/ EPCG Authorisation holders/EOU/EHTP/STP/BTP), please furnish:
i. Name of the Project Authority

ii. Address of the Project Authority
iii. Supply Order No
iv. Delivery period of Supply
v. Credit under which project is financed
vi. Method by which order is procured (ICB etc.)
17. In case the items to be imported are to be used by the supporting manufacturer, please furnish
i. Name of the supporting manufacturer:

ii. Address of the supporting manufacturer:
120

iii. MSME / LOI / IL / IEM Registration No. and date of Supporting Manufacturer:
iv. Products endorsed on MSME / LOI / IL / IEM:
v. Excise Registration No. and issuing authority, (if applicable)
PART-B
Request for Issuance of Transferable Duty Free Import Authorisation (DFIA) / ARO / Invalidation Letter
1. Details of Application:
i. Authorisation File Number
ii. Date of generation of File Number
iii. CIF Value
iv. In Indian Rupees
v. Product exported
vi. Serial Number of SION
2. Application Fee Details (in case of enhancement of CIF value etc.)
Amount (Rs):
Bank Receipt/Electronic Fund Transfer No/Credit Card:
Date :
Name of the Bank :
Bank Branch :
3. Details of physical exports / deemed exports made
Sl. S. Bill / Port Let FOB / FOR Quantity of Export Unit of BRC Details
No. Invoic of Export Value Measure
e Expor order ment
Details t date (UOM)
N D I In In US $ No. Date Bank & FOB Value
o at n FFE Branch
. e R In In I
s Rs. FFE n
U
S
4. Shipping Bill / Invoice Wise Export items details:
Sl. No. Type ITC( S. Bill Invoic Invoic Export SION Export Quantity Exported / Supplied
of HS) NO. e No. e Sl. Produ No. Produ
Export Cod No. ct ct Sl.
(EDI/ e Group No.
Non-
121

EDI)
Dir Third Deemed Total U /M
ect Party Exports /
Exp Export Intermedi
ort ate
supplies
1 2 3 4 5 6 7 8 9 10 11 12 13 14
Foreign Currency (FC) FOB Value FOR BRC/e-BRC Details

Value
FFE FFE Eqv. In In Eqv In Eq FFE Eqv. In In Eqv. US $
Name Conv. US $ FFE Rs. . US Rs. v. Con To FFE Rs.
Rate / Rs. $ US v. US
Rate $ Rate $
Rate
15 16 17 18 19 20 21 22 23 24 25 26 27
16. In case of request for issuance of Invalidation letter/ ARO (Please tick)( ) :
a. Invalidation letter
b. Advance Release Order (ARO)
If so, then please furnish the following details: (i and ii below need not be filled up in case the applicant
desires the Invalidation Letter/ARO along with the issuance of DFIA)
i. Duty Free Import Authorisation No.

ii. Date of Issue of Duty Free Import Authorisation
iii. Name & IEC No of the Indigenous producer / STE from where items are to be procured
iv. Address of the Indigenous producer / STE from where items are to be procured
v. Regional Authority of the Indigenous producer / STE
vi. Items to be supplied by the Indigenous producer / STE
a. Description of individual items
b. Quantity of individual items to be procured
c. Value of individual items to be procured
warranted.
122

items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP v1, irrespective of the
5. No export proceeds are outstanding beyond the prescribed period as laid down by RBI or such extended
6. That I/We have updated the IEC profiles in ANF 1.
8. I am authorised to verify and sign this declaration as per paragraph 9.06 of the FTP.

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address
123
[ Please see paragraphs 4.29 of FTP & 4.65, 4.69 of HBP]
1. Application shall be filed online only using digital signature.

2. RCMC details need not be given if the same have already been updated in the ANF-1.
3. Please upload Bank Receipt /EFT / Credit Card details evidencing payment of application fee in terms of
Appendix 2K and the documents for physical / deemed exports, as the case may be.
4. Documents required in case of supplies under deemed export / intermediate supplies under DFIA:
a. Invalidation letter in case of supplies to
i. an EPCG Authorisation holder;
ii. an Advance Authorisation holder;
iii. a Duty Free Import Authorisation
However, in case of switch over from physical exports / deemed exports to intermediate supplies, such
invalidation letters can also be furnished at the time of redemption of DFIA.
b. Project Authority Certificate in case of supplies other than (a) (i), (ii) & (iii) above and to EOU/
EHTP/ STP/BTP units;
c. FOB value of export for the purpose of V.A shall be arrived at after excluding the Agency
Commission, if any.
5. Documents to be uploaded for physical exports:
a. eBRC/ Bank Certificate of Exports and Realisation in the form given at Appendix 2U or Foreign Inward
Remittance Certificate (FIRC) in the case of direct negotiation of documents or Appendix 2L in case of
offsetting of export proceeds. However, realisation of export proceeds shall not be insisted if the shipments
are made against confirmed irrevocable letter of credit or bill of exchange is unconditionally Avalised / Co-
Accepted / Guaranteed by a bank and the same is confirmed by the exporters bank and certified by the
bank in column 14/15 of Appendix 2V. For status holders, irrevocable letter of credit would suffice. Further,
realisation of export proceeds shall not be insisted, if the Reserve Bank of India (RBI) writes off the
requirement of realisation of export proceeds on merits and the exporter also produces a certificate from the
Foreign Mission of India about the fact of non recovery of export proceeds from the buyer. However this
would not include self write off cases.
b. EP copy of the shipping bill(s) containing details of shipment effected or bill of export in case of export to
SEZ.
c. A statement of exports giving details of shipping bill wise exports indicating the shipping bill number, date,
FOB value as per shipping bill and description of export product.
d. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF value.
124
e. Declaration in Appendix 4H format related to consumption of the inputs endorsed in the DFIA.
f. In case where CENVAT credit facility on inputs have been availed for the exported goods, the goods
imported against Actual User DFIA shall be utilized only in the manufacture of dutiable goods whether
within the same factory or outside (by a supporting manufacturer) even after completion of export obligation,
for which the authorisation holder shall produce a certificate from the jurisdictional Central Excise Supdt.
6. Documents to be uploaded for deemed exports:
a. A copy of the invoice or a statement of invoices duly signed by the unit receiving the material and their
jurisdictional excise authorities certifying the item of supply, its quantity, value and date of such supply.
However in case of supply of items which are non excisable or supply of excisable items to a unit producing
non excisable product(s), a Project Authority Certificate (PAC) certifying quantity, value and date of supply
would be acceptable in lieu of excise certification. However, in respect of supplies to EOU/EHTP/ STP/
BTP, a copy of CT-3/ARE-3 duly signed by the jurisdictional excise authorities certifying the item of supply,
its quantity, value and date of such supply can be furnished in lieu of the excise attested invoice (s) or
statement of invoices as given above.
b. Payment certificate from the project authority in the form given in Appendix 7D. In the case of Advance
Authorisation for Intermediate Supplies/ deemed exports, supplies to the EOUs/ EHTPs/STPs/ BTPs,
documentary evidence from the bank substantiating the realization of proceeds from the Authorisation
holder or EOUs/EHTPs/ STPs/ BTPs, as the case may be, as per eBRC, shall be furnished. However
realization of proceeds shall not be insisted upon if the shipments are made against confirmed irrevocable
inland letter of credit or inland bill of exchange is unconditionally Avalised / Co-Accepted/ Guaranteed by a
bank and the same is confirmed by the exporters bank and certified by the bank as per eBRC. For status
holders, irrevocable inland letter of credit would suffice.
c. A statement of supplies giving details of supply invoices and indicating the invoice number, date, FOR value
as per invoices and description of product.
d. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF value.
e. Declaration in Appendix 4H format related to consumption of the inputs endorsed in the DFIA.
125
ANF- 4H
Application for GEM REP Authorisation
Part A
2 Application For

No Date

proposed to be used
5 Application Fee / Bank Name of Mode of Date Amount (in Rs.)

Composition Fee Receipt/Electronic the Bank Payment
details Fund Transfer Branch
No. / Credit Card

Registration Number
7. Status House Details
126
i. One Star / Two Star / Three Star / Four
Star / Five Star
ii. Certificate Number
iii. Date of Issue
iv. Issuing Authority
v. Valid upto
Part B
8. Export Proceeds Realisation Month and Year:
9. FOB Value of Exports
i. In free foreign exchange

ii. In Rupees
10. Value of Authorisation Claimed
i. In free foreign exchange

ii. In Rupees
11. Details of exports made
Sr. Name and Shipping Bill/ FOB Value FOB Value Name Country REP Authorisation
No. Addresses of Postal Receipt ( in FFE / realised of the of Claimed ( Rs )
manufacturing Number Date Rs ) ( in FFE / Rs Bank Exports
premises / )
manufacturing
units of
exported
product
Note: In case application for REP Authorisation is made under Para 4.36 of FTP, serial no 10 may be left blank.
127

warranted.
4. that I/we have perused the list of SCOMET items as contained in the Appendix 3 to the Schedule 2 of the
ITC (HS) Classifications of Export-Import Items, 2004-09 and that the item(s) exported / proposed to be

Date Name
Designation
Official Address
Telephone
Residential Address
Email Address
128
Annexure to ANF 4 H
CERTIFICATE OF CHARTERED ACCOUNTANT/

COST ACCOUNTANT
M/s..........................having IEC number... and PAN
number.for the licensing period(s) and hereby certify that:
(i) The following documents/ records have been furnished by the applicant firm/company and have
been examined and verified by me/us namely: -
a. Statutory documentation under the Customs Act 1962 and Excise Act 1848, Service
Tax Act, Foreign Trade (Development & Regulation) Act 1992;
b. Export Order/Contract, Shipping Bills, Bill of Lading (and/or Airways Bills/PP Receipts),
Customs/Bank attested Invoices, Bank Certificates of exports made in their own name,
GR declaration etc and connected books of accounts;
(ii) The relevant accounting and financial register(s) as prescribed under different Acts and Rules
made there under have been maintained and authenticated under my/our seal and signature.
(iii) The information given by the applicant firm/company in the Aayaat Niryaat Form including
details on
a. imports/exports made,
b. foreign exchange earnings/ realization (both from direct and indirect sources)
is in agreement with the Foreign Trade Policy 2015-20 and the rules and procedures made there
under, the relevant register and records and the books of accounts maintained by
M/s.............. and their subsidiaries and is also true and correct.
(iv) It has been ensured that the information furnished is true and correct in all respects; no part of it
is false or misleading and no relevant information has been concealed or withheld;
(v) Neither I, nor any of my/our partners is a partner, director, or an employee of the above-named
entity, its Group companies or its associated concerns;
(vi) I/We further certify that M/s................... has realised 95% or more of the
export proceeds in respect of exports made by him in the preceding three licensing years
[excluding the export made during last 360 days (for status holders) and six months for others,
from the date of filing of application]
(vii) I/We fully understand that any statement made in this certificate, if proved incorrect or false, will
render me/us liable to face any penal action or other consequences as may be prescribed in law
S.No Shipping Bills Nos Date of Let Export Description of product FOB value (in rupees)
(Chartered Accountant/ Cost Accountant)

Place: Address:
Date: Membership No:
If any of the documents of record mentioned in serial number (i) have not been maintained/ furnished,
examined or verified, they may please be specified below:-
129

1.
2.
Note: Each page of this annexure is to be signed by the Chartered Accountant / Cost Accountant with his
registration number.

[Please see paragraph 4.36 of FTP and 4.59 of HBP]
1. Application will be filed online using digital signature only.

2. RCMC details need not be given if the same has already been updated in ANF-1.
a. Bank Receipt (in duplicate)/Credit Card details evidencing payment of application fee in terms of
Appendix 2K.
b. Bank certificate of export and realisation in the format given in Appendix 2U evidencing realisation
of exports proceeds/sales proceeds.
c. Export Promotion (EP) copy of Shipping Bill(s) in Original. (Photocopy of the EP copy of Shipping
Bill duly endorsed may be returned for utilization/re-import purposes when the exports are made
on consignment basis).
d. Customs attested invoice.
e. In case of application for Replenishment Authorisation under paragraph 4.36 of FTP, an applicant
will be required to submit documents as given at S.No.1 ANF and Statement of Exports made
during the preceding licensing year duly certified by Chartered Accountant / Cost Accountant in
the format given in Annexure to ANF 4H.
130
ANF- 4I
Application for Issue of Nominated Agency Certificate (NAC) / Renewal of Nominated Agency
Certificate
Part A
2 Application for (please tick) Grant of fresh Nominated Renewal of Nominated

Agency Certificate Agency Certificate
(i) Date of issue of Nominated Agency Certificate:
(ii) Expiry date (in case of request is for renewal of
NAC):
3 Ecom. Reference Submission Date Submitted To RA File No RA File

No Date
4 Category of Status Certificate held (please tick): Four Star Export House / Five Star Export House
Number of Status Certificate :
Date:
Validity:
5. Nature of concern (please tick mark)

i. Merchant Exporter
ii Manufacturer Exporter
iii Service Provider
iv Merchant cum Manufacturer
v Others (Please specify)

7 Application Fee details Receipt/Electronic Name of Pay Mode Date Amount (in Rs.)
- Sr. No. Fund Transfer the Bank
No. / Credit Card Branch
proposed to be used
131
Part B
9. Details of Exports / Deemed Exports / Foreign Exchange earned during preceding licensing years and current
year (i.e. year in which application is filed), duly certified by CA/ICWA/CS in annexure attached.
Sr Year (Please specify the year) Exports (in USD)
No
i. Current Year
ii Previous Year 1
iii Previous Year 2
iv Previous Year 3
v Previous Year 4
vi Previous Year 5
2. The particulars and the statements made in this application are true and correct to the best of my/our
warranted.
3. We would abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, the Rules
and Orders framed there under, the Foreign trade Policy, the Handbook Procedures and the ITC(HS)
Classification of Export & Import Items as well as RBI and Customs guidelines, as amended from time to
time, as applicable to Nominated Agencies.
4. None of the Proprietor/ Partner(s) / Director(s) / Karta / Trustee of the firm / company, as the case may be,
to the adverse notice of DGFT or in the caution list of RBI to the best of my knowledge.
5. that I/we have perused the list of SCOMET items as contained in the Appendix 3 to the Schedule 2 of the
ITC (HS) Classifications of Export-Import Items, and that the item(s) exported / proposed to be exported
does not fall within this list and that I/ We agree to abide by the provisions of the Policy for export of
SCOMET items contained in the Foreign Trade Policy, Schedule 2 of ITC (HS) and the HBP, irrespective of
the scheme under which the item is exported / proposed to be exported (the underlined portion will be
7. that I/We have updated the IEC profiles in ANF-1

Date: Name
Designation
Official Address
Telephone
Residential Address
Email Address
132

[Please see paragraph 4.36 of FTP and 4.71 of HBP]
2. RCMC details need not be given if the same has already been updated in ANF-1.
a. Self certified copy of valid Status Holder Certificate.

b. Annexure-I to ANF 4I.
c. Relevant half yearly return(s), if applicable, as per the format given in Appendix 4-O
for the period April to September / October to March
Annexure to ANF 4I
CERTIFICATE OF CHARTERED ACCOUNTANT (CA) / COST ACCOUNTANT (ICWA)/ COMPANY SECRETARY

(CS)
I / We hereby confirm that I / We have examined prescribed registers and also relevant records of M/s .......
.............having IEC Number ... for licensing period (s)
1. Following documents / records have been furnished by applicant firm / company and have been examined and
verified by me / us namely: - a. Statutory documentations under Customs Act 1962 and Excise Act 1848, Service
Tax Act, Foreign Trade (Development & Regulation) Act 1992; b. Export Order / Contract, Shipping Bills, Bill of
Lading (and / or Airways Bills / PP Receipts), Customs / Bank attested Invoices, Forward Inward Remittance
Certificates (FIRCs) and Bank Certificates of exports and realization, GR declaration and connected books of
accounts; c. FIRCs, Certificate from international credit card companies.
2. Information given by applicant firm / company in ANF 4I is in agreement with FTP 2015-20, as amended, and rules
and procedures made there under, relevant register and records and books of accounts maintained by M/s .........
..... and their subsidiaries and is also true and correct.
3. It has been ensured that a. Information furnished is true and correct in all respects; no part of it is false or
misleading and no relevant information has been concealed or withheld; b. In respect of export of goods, a shipment
can counted in applicants export turnover / performance only if the realization of export proceeds from overseas is in
the applicants bank account. c. In respect of service providers, realization of export proceeds in free foreign
exchange pertains to rendering of services.
4 Neither I, nor any of my / our partners is a partner, director, or an employee of above-named entity, its Group
companies or its associated concerns;
5. If any of documents of record mentioned in serial number (i) have not been maintained / furnished, examined or
verified, they may please be specified below:-
Place: Signature of CA/ ICWA / CS:

Date: Name of the Signatory:
Membership No:
Address:
e-mail Address:
133
ANF- 5A
(Application Form for Issuance of EPCG /Post Export EPCG Authorization)
(Please see the guidelines before filling the application)
1. Application for Please tick ()
a. EPCG Scheme
b. Post Export EPCG Scheme
2. IEC No. Branch Code
Declaration: I/We have updated my/our profile in ANF -1.
3. Address of the factory/premises of the applicant where

the capital goods to be imported are proposed to be
installed
4. Excise Registration Details
a. Excise Registration Number
b. Date of registration
c. Address of the Jurisdictional Central Excise Authority
(whether registered with central excise or not)
5. Port of Registration (for the purpose of imports)
6. Application Fee Payment details
a. Amount (in Rs.)
b. Mode of Payment
(TR Challan/ Electronic Fund Transfer/Credit card)
c. Serial No. of TR challan/EFT no./credit card details and Date

of Payment
134
7. Service Tax Registration Details (in case of Service Providers registered with Service Tax Authorities)
a. Service Tax Registration Number
b. Date of registration
c. Address of Jurisdictional Service Tax Authority
d. Services for which registered
8. Sector Classification of Capital Goods sought to be imported under the Scheme (Please tick)
a. Industrial Sector
b. Agricultural Sector
c. Service Sector
d. Green Technology Sector
e. Units in North Eastern Region/Sikkim/J&K
9. Products to be exported/services to be rendered ITC(HS) Code/Service Code
10. Details of exports of same/similar product/services made in the preceding three licensing years (excluding
exports which have been counted / are being counted for fulfilling specific EO in respect of EPCG
Authorizations within valid EO Period)
Sl. Financial Year Total FOB Value of exports/services rendered for the same/similar
No. product/services (Rs. in crores)
Total
*Average export performance
*If an applicant has been in existence for less than 3 years, the aggregate export will be divided by the number of
years for which the company has been in existence and not by 3 years.
11. Details of EPCG Authorizations where EO is pending
Sl. No. Authorization RA which Value of EO fixed on Specific EO Annual Expiry

No. and issued the duty duty fulfilled Average date of
135
Date Authorization saved/duty saved/duty EO fixed EO

paid (in paid (in freely (in Rs.) period
Rs.) convertible
currency)/Rs.
12. Details of Capital Goods sought to be imported
Sl. Description of the items ITC(HS) Code Nature of Quantity Primary use of
No. of import Capital Goods Capital Goods
sought to be sought to be
imported* imported**
* whether Capital Goods/Spares/Tools/Jigs/Fixtures/Dies/Moulds/Spare refractories/Catalyst (specify if any other)

** whether used for Pre-production activity/Production activity/Post-production activity/for rendering services
13. Whether product to be imported is restricted for import Yes/No.
(If yes, enclose copy of EFC approval from DGFT Hqrs.)
14. Details of Restricted Capital Goods applied for import
Sl. Description of the items of ITC(HS) Code Nature of Capital Primary use of
No. import Goods sought to Capital Goods
be imported* sought to be
imported**
* whether Capital Goods/Spares/Tools/Jigs/Fixtures/Dies/Moulds/Spare refractories/Catalyst (specify if any other)

** whether used for Pre-production activity/Production activity/Post-production activity/for rendering services
(From amongst column 13 and 14 above please fill up whichever is applicable. In case applicant desires to import
both restricted and freely importable capital goods appropriate information should be given in both the columns).
15. Whether product to be exported is restricted for export Yes/No.
(If yes, enclose copy of EFC approval from DGFT Hqrs.)
16. Details of Duty
Total effective Customs duty on CIF value of imports/deemed Duty saved amount (in Rs.)
items to be imported (in %) imports (in Rs.)
1 2 3
136
Note: In case of indigenous sourcing of CG, duty saved is to be calculated on notional customs duty saved on FOR
value of capital goods as per Para 5.07 of FTP.
17. Details of Duty in case of post-export EPCG duty credit scrip
Total effective Customs duty on Basic CIF value of imports/ Duty paid (in Rs.)
items to be imported (in %) Customs duty deemed imports (in Rs.)
18. Details of Export Obligation imposed
Total duty saved/duty paid Specific Export Obligation to be Average Export Obligation to be
(Rs.) imposed imposed
Rs. USD Rs.
19. Address of the factory/premises of the applicant or the supporting manufacturer where the capital goods to
be imported are proposed to be installed
20. In case the proposed capital goods sought to be imported are to be used by the supporting manufacturer
a. Name
b. Address
c. MSME/IEM/LOI/IL Registration No. and date
d. Products endorsed on MSME/LOI/IL/IEM
e. Excise Registration No. and issuing authority, (if

applicable)
21. Postal address of the jurisdictional Central Excise Authority in whose jurisdiction factory/premises of the
applicant/supporting manufacturer where the capital goods to be imported are proposed to be installed
137
I /we, hereby, declare/certify that:
knowledge and belief and nothing has been concealed or held therefrom. If anything is found incorrect or
false it will render me/us liable for any penal action or other consequences as may be prescribed in law or
2. I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992,
(as amended) the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook of
Procedures and the ITC(HS) Classification of Export & Import Items as amended from time to time.
3. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company has come under the
adverse notice of DGFT or is in the caution list of RBI.
4. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company, as the case may be, is/are
a Proprietor/Partner(s)/Director(s)/Karta/Trustee in any other firm/Company which has come under the
adverse notice of DGFT or is in the caution list of RBI, to the best of my knowledge.
5. Neither the Registered Office/Head Office of the firm/company nor any of its Branch
Office(s)/Unit(s)/Division(s) has been declared a defaulter and has otherwise been made ineligible for
undertaking import/export under any of the provisions of the Policy.
6. I/We shall not export items on the SCOMET list for which authorisation has not been taken.
7. I/We do not come under the purview of Service Tax and therefore are not registered with the Service Tax
Authorities. (in case of Service Providers who are not covered under service tax)
8. In respect of goods for which nexus is not established at a later date, I/We shall, without demur, pay to the
Government Customs duty saved [together with applicable interest] on such imported goods which are
found having no relation with product exported or service rendered.
9. I/We undertake to submit a self-certified copy of Drug Manufacturing Licences in case of export of
Pharmaceutical Product(s) within a period of three years from the date of issue of EPCG Authorization
failing which the Bank Guarantee/Legal undertaking executed/furnished at the time of clearance of Capital
Goods with Customs authorities/Regional Authorities of DGFT, as the case may be, is liable to be
forfeited/invoked and I/We would be liable to pay Customs Duty saved amount together with applicable
interest thereon from the date of first import till the date of final payment.
10. I am authorised to verify and sign this declaration as per Paragraph 9.06 of the Foreign Trade Policy.
Date Name
Designation
Official Address
Residential Address
Email
Telephone No. (O)
138
1. Application shall be filed online using digital signatures.

2. Applicant shall upload the documents as per details given below:
a. Treasury Receipt Challan (if fee has not been paid electronically) evidencing payment of
application fee in terms of Appendix 2L.
b. Self-certified copy of MSME/IEM/LOI/IL in case of products or a self-certified copy of Service
Tax Registration in case of Service Providers. (in case of Service Providers, who are not
registered with Service Tax authorities, a declaration in this regard will be submitted as a part
of the application (declaration no. 6), service tax registration is not required to be submitted. In
such cases RCMC from EPC concerned will suffice).
c. Certificate from a Chartered Engineer in the format given in Appendix 5A.
d. Certificate of Chartered Accountant / Cost Accountant / Company Secretary in Appendix 5B.
e. In case of Import of spares, tools, refractories and catalyst for existing plant and machinery, a
list of plant/machinery imported and already installed in the factory/premises of the applicant
firm/ supporting manufacturer for which the above items are required, duly certified by a
Chartered Engineer or jurisdictional Central Excise authority.
f. In case of EPCG applications made by EOU/SEZ units, a self-certified copy of the No
Objection Certificate from the Development Commissioner concerned showing the details of
the capital goods imported/indigenously procured by the applicant firm, its value at the time of
import/sourcing and the depreciated value for the purpose of assessment of duty under the
Scheme is to be submitted.
3. In case CG sought to be imported/item to be exported is under restricted category, a copy of this application
shall be sent to EFC at DGFT Hqrs. also. (In such cases no separate application fee shall be required to be
submitted while sending the copy of the application to Hqrs. EFC). Upon clearance by EFC, EPCG
Authorization shall be issued by RA and will bear an endorsement that EFC has approved issue of EPCG
Authorization for restricted CG/export item.
139
ANF- 5B
Application Form for Redemption of EPCG Authorization /Issuance of Post Export EPCG Duty
Credit Scrip)
(Please see the guidelines before filing the application)
a. IEC Number Branch Code
b. Name
c. Address
2. EPCG Authorization No. and Date Duty Saved Amount Duty Saved Amount utilized
allowed
(including indigenously procured CG)
3. Installation Certificate No. and Date
4. Export Product Details
a. Export product/services allowed as per the EPCG

Authorization
b. Alternate Product/Services (if permitted) name & ITC(HS) code
5. Export Obligation Period
a. Date of expiry of initial EOP
b. Extended EOP date
c. Actual EO completion date
6. Average Export Obligation imposed* EO as per actual duty saved amount
In Indian Rs. In Indian Rs. In US$
* In case of fulfilment of EO by alternate product, Average EO of alternate product should also be given.
7. Details of Physical Exports/Deemed Exports made/Services rendered for fulfilment of specific EO
140
Sl. Products Details of FOB (in FFE)/FOR value

No. Exported/ Shipping
Supplied/Servic Bill/Voucher/Inv
es Rendered oice/CT3/ARE3/
with ITC(HS) Lorry Receipt/
Code Railway Receipt
etc.
Same No. Date Direct Third Deemed By Group Other Total

Product/Services Exports Party Exports Company (R&D
Exports Services/
-------------------- Royalty)
Alternative
Product/Services
8. I/We further declare that I/we have made exports as under for maintenance of Average Export Obligation:
Financial Year Average to be maintained Average maintained
I/We hereby declare/certify that:
1. I/We have updated my/our profile in ANF -1.

knowledge and belief and nothing has been concealed or withheld therefrom. If anything is found incorrect
or false it will render me/us liable for any penal action or other consequences as may be prescribed in law
3. None of the Partners(s)/Director(s)/ Trustee/ Karta/ Proprietor of the firm/company has come under the
4. None of the Partners(s)/Director(s)/ Trustee/ Karta/ Proprietor of the firm/company, as the case may be,
is/are a Proprietor/Partner/Director/Karta/Trustee in any other firm/Company which has come under the
5. Neither the Registered Office of the company /Head Office of the firm nor any of its Branch
Office(s)/Unit(s)/Division(s) has been declared a defaulter or has otherwise been made ineligible for
6. I/we have not exported items on the SCOMET list for which permission has not been taken.
7. I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign Trade Policy.
141
Date Name
Designation
Official Address
Telephone/Mobile
Residential Address
Email-id
8. All physical exports made as shown in item No. 7 and 8 above are in freely convertible currency.
(Signature with Seal of the Chartered Accountant / Cost Accountant / Company Secretary)
Guidelines for Applicants
1. Application must be accompanied by the certificate in Appendix 5C duly signed by Chartered Accountant /
Cost Accountant / Company Secretary.
142
ANF- 5C
(Application Form for Clubbing of EPCG Authorizations)

Please see para 5.27 of HBP
(Please see the guidelines before filing the application)
a. IEC Number Branch Code
b. Name
c. Address
2. Details of EPCG Authorizations to be clubbed
Sl. EPCG Authorization Customs Notification Product(s) to be exported/

No. No. Services to be rendered
No. Date
1 2 3 4 5
Duty saved amount Duty saved utilized Specific EO Specific EO as per EO Fulfilled
(in Rs.) (in Rs.) endorsed on the utilization (in US $)
Authorization (in US (in US $)
$)
6 7 8 9 10
3. Details of EPCG Authorization after clubbing
a. Total duty saved/Notional duty saved on the imports (in

Rs.)
b. Export Obligation imposed on the Authorization
(i) In Indian Rupees
(ii) In free foreign exchange
c. Average Export Obligation imposed (in Rs.)
143
d. Description of Export Product(s)/Service(s) to be

rendered
I/We hereby declare/certify that:
1. I/We have updated my/our profile in ANF -1.

knowledge and belief and nothing has been concealed or withheld therefrom. If anything is found incorrect
or false, it will render me/us liable for any penal action or other consequences as may be prescribed in law
3. None of the Partners(s)/Director(s)/ Trustee/ Karta/ Proprietor of the firm/company has come under the
4. None of the Partners(s)/Director(s)/ Trustee/ Karta/ Proprietor of the firm/company, as the case may be,
is/are a Proprietor/Partner/Director/Karta/Trustee in any other firm/Company which has come under the
5. Neither the Registered Office of the company /Head Office of the firm nor any of its Branch
Office(s)/Unit(s)/Division(s) has been declared a defaulter or has otherwise been made ineligible for
6. I have not exported items on the SCOMET list for which permission has not been taken.
7. I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Foreign Trade Policy.
Date Name
Designation
Official Address
Telephone/Mobile
Residential Address
Email-id
Guidelines for Applicants
1. Only One copy of the application must be submitted unless otherwise mentioned.
2. Application must be accompanied by the EPCG Authorizations in original.
144
ANF-6A
APPLICATION FORM FOR SETTING UP OF NEW EOU/EHTP/STP/BTP UNIT OR CONVERSION
OF EXISTING DTA/ EHTP/ STP/BTP UNIT
Note:
1. Please see Paras 6.01 (a), (b) and (c) of the Chapter 6 of the HBP.
2. Please read the general instructions given in EOU scheme before filling this application and also some
important guidelines given at the end of this application.
3. The application may be sent electronically or otherwise. However the same will be treated as incomplete
without the applicants own permanent e-mail and will not be considered.
The application should be submitted to the Development Commissioner of the concerned Special Economic Zone
(for setting up EOUs in 3 copies along with a crossed Demand Draft of Rs. 5,000/- drawn in favour of the Pay &
Accounts Officer, Ministry of Commerce & Industry, Department of Commerce, payable at the Central Bank of India,
Udyog Bhavan, New Delhi. (NO FEE SHALL BE CHARGED FOR RENEWAL/ EXTENSION OF LOP/ BROAD
BANDING ETC.)
For Official Use only
Application No. ______________________________
Date : ______________________________
Date__________Month____________Year __________
Details of Bank Draft
Amount Rs. ___________________
Draft No. ___________________
Draft date ___________________
Drawn on ___________________
(Name of the Bank)
Payable at ____________________
----------------------------------------------------------------------------------------------------------------------------------------------------
Indicate ( ) Whether the Application Is For:
AUTOMATIC APPROVAL
Or
145
BOARD OF APPROVALL
Applicatioon for:
(i) Settting up of new
w Unit
(ii) Coonversion of exxisting DTA unit into EOU
(iii) Coonversion of Existing
E STP/E
EHTP to EOU
(Inn case of conversion, please attach fact sheeet as per Anneexure)
I. NAME AND ADD

DRESS OF TH HE
UNDERTAKING
G IN FULL (Blocck Letters)
Name of the Appplicant Firm ____________

________________________
Fuull Address ____________

________________________
(R
Regd.Office in case
c of limited companies & Head Office for others)
Pin Code ____________ ________________________
Teel. No. ____________

________________________
Faax No. ____________

________________________
Peermanent E-Maail Address ____________

________________________
W
Web-Site, if anyy ____________
________________________
Paassport No., if any ____________

________________________
Name of Bank with

w Address & A/c No. ____________
________________________
Digital Signaturee ____________

________________________
Inncome Tax PAN

N ____________
________________________
Thhe name and address

a of eachh ____________
________________________
off the Director/P
Partner
II. NATURE OF TH HE APPLICANTT FIRM:

[P
Please tick ( ) the appropriatte entry]
Government Undertaking/Public Limited Com

G mpany/Private Limited
L Compaany/
Proprietor ship/P
Partnership/Othhers (please sppecify)
Note:- Copy of certificaate of incorporaation alongwithh Article of Association and M

Memorandum inn case of comppanies
annd partnership deed in case of o partnership firms
f may please be attachedd.
III. IN
NDICATE WHE ETHER THIS PROPOSAL
P IS FOR
[P
Please tick () the
t appropriatee entry].
Esstablishment of
o a New Underrtaking
146
- Manufacturing [ ]
- Services [ ]
Effecting Substantial Expansion
Manufacturing of New product
IV. (1) Location of the proposed undertaking
Full Address __________________________
Pin code __________________________
(2) ONLY FOR PROJECTS UNDER EOU SCHEME

(In case the unit is proposed to be located on leased premises, then lease should be obtained from
Government or any undertaking / authority of Government. However in case lease is obtained from private
parties, it shall have a validity period of five years from the date of LUT and the Development Commissioner
shall satisfy himself of genuine nature of the lease.)
(a) Please indicate if the proposed location is in a Centrally Notified Backward Area [Please tick () the
appropriate entry].
No. ______________Yes_________________ if yes, indicate category
(b) Indicate whether it is within 25 Kms from the periphery of the standard urban area limit of city having
population above one million according to 1991 census.
Yes_____________ No. __________________
(c) Is it located in an Industrial Area/Estate designated/set up prior to issuance of Notification No. 477(E) dated
25th July,1991.
Yes_____________No. _____________
(d) If not, does it come under the category of non-polluting industries as notified by the Govt.
Yes ___________ No. _______________
V ITEM (S) OF MANUFACTURE/SERVICE: (Including By-product/Co-products)

(if necessary, additional sheets may be attached)
Items(s) Description Capacity (Unit =) Item Code (ITC HS code No)

(Not required for service unit)
--------------------------- -------------------------- --------------------------------------

--------------------------- -------------------------- --------------------------------------
--------------------------- -------------------------- --------------------------------------
V-A Intermediate Products, if any, which are to be taken out for job work abroad as part of production process.
Item(s) Description Quantity Item Code(ITC HS Code No.)

________________ ________________ _______________________
________________ ________________ _______________________
147
________________ ________________ _______________________
VI. PRODUCTION (In case of more than one item, supplementary sheets may be used)
Quantity (Unit __________) (Value (In Rupees)
1st year ___________________ __________________

2nd year ___________________ __________________
3rd year ___________________ __________________
4th year ___________________ __________________
5th year ___________________ __________________
VII. Indigenous Requirement:

(Value in Rupees)
a) Capital Goods
b) Raw material, components, consumables,
packing material, fuel etc. during the
period of 5 years
TOTAL: ------------------------
------------------------
VIII. FOB VALUE OF EXPORTS
(1 $ = Rs. )
Rupees (lakhs) US $ (Thousand)

1st year
2nd year
3rd year
4th year
5th year
Total:
IX. INVESTMENT:
(RS. IN LAKHS)
(a) Land ________________________
(b) Building ________________________
(c) Plant and Machinery ________________________
(i) Indigenous ________________________

(US $ Thousand)
(ii) Import CIF value ________________________
(iii) Total (i) + (ii) ________________________
(d) Details of source(s) of finance,

(both Indian as well as foreign)
for the above investments
X. WHETHER FOREIGN TECHNOLOGY AGREEMENT IS ENVISAGED

(Please tick ( ) the appropriate entry )
148
Yes ____________ No_____________
(I) Name and Address of foreign collaborator ____________________

(ii) Terms of collaboration (Rupees lakhs)
(Gross of Taxes)
(a) Lumpsum payment _____________________

(b) Design & Drawing fee _____________________
(c) Payment to foreign technician _____________________
(d) Royalty (on exports) ____________________%
(e) Royalty (on DTA sales if envisaged) ____________________
(f) Duration of agreement ________________(No .of years)
XI. EQUITY INCLUDING FOREIGN INVESTMENT
(i)
($ Thousand) (Rs.lakhs)
(a) Authorized ________________ ________________
(b) Subscribed ________________ ________________
(c) Paid up Capital ________________ ________________
Note: If it is an existing company, please give the break up of the existing and proposed capital structure
(ii) Pattern of share holding in the paid-up capital (Amount in Rupees)
(Rs. in lakhs) (US $ Thousand)
(a) Foreign holding _____________ ___________________
(b) Non Resident Indian company / Individual holding
(i) Repatriable _____________ ___________________
(ii) Non-repatriable _____________ ___________________
(c) Resident holding _____________ ___________________
(d) Total (a+b (i+ii)+c) equity _____________ ___________________
(e) (iii) External commercial Borrowing ______________ ____________________
Foreign Exchange Balance sheet:
149
1st 2nd 3rd 4th 5th (5 yrs) (5 Yrs)

Total in Total in
Rs. US $
Lakh Th.
XII. FOB value of
exports in first
five years
XIII. Foreign Exchange

outgo on
(I) Import of
machinery
(ii) Import of raw

materials and
components
(iii) Import of spares

and consumables
(iv) Repatriation of dividends

and
profits to foreign
collaborators
(v) Royalty
(vi) Lump sum know-how
fee
(vii) Design and drawing fee

(viiii) Payment of foreign
technicians
(ix) Payment on training of

Indian technicians abroad
(x) Commission on
Export etc.
(xi) Foreign Travel
(xii) Amount of interest to be

paid on external
commercial borrowing/
deferred payment credit
(specify details)
(xiii) Any other
payments(specify details)
Total (i)to(xiii)
150
Net Foreign
Exchange earnings
in five years
XIV. REJECTS (Only for EOU manufacturing units.)
Generation of Rejects/Sub-standard __________ __________________

finished goods __________ __________________
(percentage of 5 yrs production)
Goods (In case rejects are more (Qty.(Unit = )

than 5% estimated percentage __________________ ________________
with justification may be given __________________ ________________
Value (Rs. Lacs)
XV. EMPLOYMENT
(All figures in number)
Existing Proposed
-------------- --------------
a) Supervisory Men_______________ _______________

Women_____________ _______________
b) Non-supervisory Men_______________ _______________

Women_____________ _______________
XVI. NET FOREIGN EXCHANGE EARNING
Average NFE on FOB value of exports in _________

Block period, as per para 6.04 of FTP.
_________
XVII. MARKETING
a) Whether marketing tie-up/Buy-back _______ ________

envisaged/finalized(Attach documents,_______ ________
if any) Yes No
G. C. A. R. P. A.
b) Destination of exports (in percentage) _______ ________
_______ ________
XVIII OTHER INFORMATION
i) Any special features of the project proposal _________________

which you want to highlight _________________
(please attach the project report, for new units)
151
_______________________
_______________________
_______________________
ii)(a) Whether the applicant has been issued any _________________

Industrial license or LOI/LOP under EOU/ _________________
STP/EHTP scheme if so, please _________________
give full particulars especially reference number,
date of issue, items of manufacture and
progress of implementation of each project.
(b) Whether the applicant has submitted any __________________

other application for LOI/LOP which is __________________
pending with the Board of Approvals.
If so, please give particulars like reference
number, name under which application
made, items of manufacture etc.
iii) Whether the applicant or any of the _________________

partners/Directors who are also partners _________________
/Directors of another company or its
associate concerns are being proceeded
against or have been debarred from
getting any License/Letter of Intent/
Letter of Permission under the Export and
Import (Control) Act, 1947/Foreign Trade
(Development and Regulation) Act, 1992, as amended / FEMA /
Custom/Central Excise Act.
Place :_________ Signature of the Applicant ____________________
Date :________ Name in Block Letters __________________
Designation ___________________
Official Seal/Stamp_________________ Tel. No. ___________________
e-mail ___________________
Web-Site, if any ___________________
Full Residential Address_________________
1 I/We hereby declare and certify that :

B. none of the Proprietor / Partner(s) / Director(s) / Karta / Trustee of the firm / company, as the case may be,
is/are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / Company which is on the
Denied Entity List (DEL) of DGFT;
C. neither the Registered Office / Head Office of the firm / company nor any of its Branch Office(s)/ Unit(s)/
Division(s) has been declared a defaulter and has otherwise been made ineligible for undertaking import /
152
export under any of the provisions of the Policy;

Registered / Head Office or any of our Branch(s) / Units(s) / Division(s) to any other Licensing Authority
2. I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, as
amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the Handbook
3. I/We hereby declare that the above statements are true and correct to the best of my/our knowledge and
belief. I/We will abide by any other condition, which may be stipulated by the concerned Development
Commissioner. I/We fully understand that any Permission Letter granted to me/us on the basis of the
statement furnished is liable to cancellation or any other action that may be taken having regard to the
circumstances of the case if it is found that any of the statements or facts therein are incorrect or false. An
affidavit duly sworn in support of the above information is enclosed.
4. I/We fully understand that any information furnished in the application if found incorrect or false will render
5 I/We hereby declare that the particulars and the statements made in this application are true and correct to the
best of my/our knowledge and belief and nothing has been concealed or held there from.
6 I hereby certify that I am authorized to verify and sign this declaration as per Paragraph 9.06 of the Policy
Place:__________ Signature of the Applicant _________________
Date:___________ Name in Block Letters _________________

Designation _________________
Official Full Official address _________________
_________________
Seal/Stamp __________________ Tel. No. _________________
e-mail Address _________________
Web-Site _________________
Full Residential address __________________
Tel. No __________________
SOME IMPORTANT GUIDELINES
1. Additional Information may be furnished by existing domestic units seeking conversion into the EOU
Scheme as per annexure.
2. Normally raw material tie-ups are not insisted upon but this may be necessary in cases, such as
granite/marble/sandstone products where availability of raw materials is contingent upon Government
leases etc.
3. Normally lumpsum amount up to US $ 2 Million and 8% royalty (net of taxes) as amended from time
to time over a period of five years from the commencement of production is allowed as per the current
EOU Scheme on account of foreign technology agreement as per the norms of Department of
Industrial Policy and Promotion. In addition selling agency commission is permitted as per RBI norms.
153
ANNEXURE
PROFORMA TO BE FILLED IN BY THE EXISTING DTA UNITS SEEKING CONVERSION INTO THE EOU
SCHEME
a) Whether conversion of DTA Unit into the EOU has been sought for the
full existing capacity of the unit or the proposal is for partial
conversion.(Please give details of the existing capacity etc.)
b) Whether any expansion of the DTA unit proposed to be converted into
EOU has been envisaged, if so the extent thereof.(Please give details
of the existing capacity and the enhanced capacity etc).
c) What is the level of existing exports of the unit proposed to be
converted into EOU. (Please give details of export performance item-
wise for a minimum of three previous years)
d) Whether the DTA unit is already under obligation to export, under:
i) Advance Licensing Scheme;
ii) Import of machinery under EPCG scheme;
iii) Any other Scheme.
(Give all relevant details including total E.O. imposed, the E.O.
discharged till date etc.)
e) Whether your unit is registered with the Customs or Excise authorities.
(Please give details viz. Reg. No., date etc.)
f) Are you agreeable to have your whole unit customs bonded as
required under the EOU scheme?
g) Whether you are a merchant exporter or a manufacturer
exporter.(Please give details)
h) What is the age(year of manufacture)and residual life of items/
machinery already installed in your unit, whether they are imported or
indigenous.(Please attach separate sheets giving item-wise details
with value of the new CG as well as existing value of machinery
presently installed).
Date____________ Signature________________________
Name __________________________
Place __________ Address of the Applicant ____________
154
ANF-6B
APPLICATION FOR EXTENSION OF LOP FOR EXPORT ORIENTED UNITS
(Please see Paras 6.05 (a) of FTP & Para 6.34 of HBP)
1. Name and Address of the unit.
2. Date of LOP granted and original period approved
3. Approved items of production.
4. Action taken for setting up of unit:
(a) Land acquisition
(b) Loan sanction : Amount , date & Name of Financial Institution
(c) Amount disbursed so far (Institution wise)
(d) Equipment available on site :
(i) Details of acquired Capital Goods(CG) imported with date and value
(ii) Details of acquired indigenous CG with date and value
(iii) Details of RM in stock and value (a) imported (b) indigenous
Building construction :
(e) Date of execution of legal undertaking :
(f) Green card No. & period of its validity
(g) Date of bonding licence obtained from jurisdictional
C.E. under section 58 & 65 of Customs Act, 1962
(h) Date of execution of B-17 bond.
(j) Power Connection
(k) whether any SCN issued by local Customs/Central Excise Commissionerate :
(l) if yes, the details thereof :
(m) whether adjudicated or not :
(n) Total up to date Investment and item thereof:
(o) Details of Employment :
5. Likely date of commencement of production
6. Whether necessary permissions from state obtained (i.e. Pollution Control Board)
7 Details of all extensions given so far(along with the conditions mentioned therein) :
8 Reasons for non implementation so far:
9. Present request and reasons:
10. Proposed phasing of the project.
11. Specific Comments/categorical recommendation of the Development Commissioner

Designation _________________
Seal/Stamp __________________ Tel. No. _________________
e-mail Address _________________
Web-Site _________________
TeLe No __________________
155
ANF-6C
APPLICATION FOR DTA SALE / ADVANCE DTA SALE PERMISSION
(Please see Paras 6.08 and 6.09 of FTP)
FOR THE PERIOD

(QUARTERLY / HALF YEARLY / ANNUAL)
I. PROJECT DETAILS
1. Details of the unit
(i) Name & Address of the unit:

(ii) IEC No.
2. LOI/LOP/IL No. & Date:
3. Details of the products Item(s) of Manufacture/ Present installed capacity

approved for Service
manufacture and export
in the LOP/LOI/IL
1.
2.
3.
4. Date of commencement of production:
II. DETAILS OF ADVANCE DTA SALE
5. Details of advance Approval Particulars Value

DTA sale No. and of
permitted, if any Date products/
service
permitted
1.
2.
3.
Total
DETAILS OF DISPATCH UNDER PARA 6.08 (a),(d),(e)& (g) of the Chapter 6 of the Foreign Trade Policy
6. Details of DTA sale Description of Value

effected (Please goods/service
indicate the period) sold in DTA
as DTA sale
1.
2.
3.
Total
156
III. PRODUCTION DETAILS FOR THE APPLICATION PERIOD
Gross production
I. Description of goods Total Production including rejects and

produced/manufactured/service waste/scrap
Quantity Ex-factory
value
1.
2.
Total
IV. DETAILS OF PHYSICAL EXPORTS FOR THE APPLICATION PERIOD
FOB value of Physical Exports Value of rejected Net FOB

consignment, if value of
any Physical
Exports
1.
2
3.
Total
V. NET FOREIGN EXCHANGE EARNINGS
NFE achieved on exports in the block period as per para 6.04 of FTP or less as applicable
(Calculation Chart enclosed)
VI. PARTICULARS OF PROPOSED DTA SALE
Description of the items proposed to be sold Value

in DTA
1.
2.
3.
Total
DECLARATION
I/We hereby declare that the information given above is true and correct
Signature of the applicant

Name
Designation
Seal of the Company
157
CHARTERED ACCOUNTANT CERTIFICATE / COST ACCOUNTANT CERTIFICATE
We have checked and verified the figures mentioned above from the records and books of account
of company and found them true and correct
Signature
Name
Membership No
Seal
CERTIFICATE BY CENTRAL EXCISE AUTHORITY
Verified from the records and found correct by Inspector / Supdt. Of Central Excise & Customs I/C of the
factory
Signature
Name
Seal
Note: Each page may be verified and signed by the Chartered Accountant/Cost Accountant Certificate.
CALCULATION CHART (TO BE CERTIFIED BY A CHARTERED ACCOUNTANT/COST ACCOUNTANT

SHOWING NFE ACHIEVED IN THE BLOCK PERIOD AS PER PARA 6.04 OF FTP OR LESS AS
APPLICABLE
1. DETAILS OF EXPORTS
(Rs. in Lakhs)
i) F.O.B. value of physical exports made in the block Rs.
period as per para 6.04 of FTP or less as
applicable
ii) Value of supplies made under para 6.09 of the Rs.
Chapter 6 of the Foreign Trade Policy
iii) Total Rs.
2. DETAILS OF CAPITAL GOODS INCLUDING DG SET AND OTHER OFFICE EQUIPMENTS

IMPORTED IN THE BLOCK PERIOD AS PER PARA 6.04 OF FTP OR LESS AS APPLICABLE
(I) CIF VALUE OF IMPORTED CAPITAL GOODS (YEAR WISE) IN THE BLOCK PERIOD AS PER
PARA 6.04 OF FTP OR LESS AS APPLICABLE
Ist year IInd year IIIrd year IVth Vth year Total
year
(II)VALUE OF IMPORTED CG PROCURED FROM ANOTHER EOU/SEZ UNIT OR FROM A

LEASING COMPANY IN THE BLOCK PERIOD AS PER PARA 06.04 OF FTP OR LESS AS
APPLICABLE
Ist year IInd year IIIrd year IVth Vth year VIth
year year
3. AMORTISED VALUE OF CAPITAL GOODS Rs.

(Please see Note below for calculation)
158
4. DETAILS OF IMPORTED RAW MATERIAL

(i) Total CIF value of imported raw materials, Rs.
consumables including POL products and
components etc. in the block period as per para
6.04 of FTP or less applicable
(ii) Value of purchases made under Para 6.09 (b) & Rs.
para 6.13 (a) & (c) of Chapter 6 of the Foreign
Trade Policy in the block period as per para 6.04
of FTP or less applicable
Iii) Value of goods indicated at (i) & (ii) above held in Rs.
stock or under process at the end of the relevant
period
iv) Value of raw materials etc. used in goods Rs.
produced and cleared from the unit {[(i) + (ii)]-[(iii)}
5. Total value of indigenous raw materials, consumables Rs.________________ components etc,

used in goods produced and cleared from the unit in the block period as per para 6.04 of FTP or less
as applicable
6. OTHER OUTFLOW OF FOREIGN EXCHANGE IN THE BLOCK PERIOD AS PER PARA 6.04 OF
FTP OR LESS AS APPLICABLE
(i) Dividends Rs.

(ii) Profit Rs.
(iii) Technical know how fee Rs.
(iv) Royalty Rs.
(v) Commission Rs.
(vi) Foreign travel Rs.
(vii) Any other outflow in foreign exchange Rs.
(Please indicate details)
Total Rs.
7. NFE ACHIEVED
A - B> 0
Where A = FOB value of exports

B = Sum total of value of imported inputs used. Proportionate (amortised) value of imported capital
goods, technical know-how fee and other expenses made in foreign exchange
159
Note: The proportionate (amortized) value of imported capital goods and technical know-how fee shall be
calculated as per the formula given in note (iii) of para 6.10 (d) of the Chapter 6 of the HBP.

Designation _________________
_________________
Seal/Stamp __________________ Tel. No. _________________
e-mail Address _________________
Web-Site _________________
Tel. No __________________
160
ANF-6D
APPLICATION FOR EXIT FROM EOU / EHTP / STP / BTP SCHEME
(Please see Para 6.18 of FTP)
1. Name & Address of the unit:
2. LOI/LOP/IL No. & Date:
3. Items of manufacture/service:
4. Date of commencement of production:
5. Date of completion of last five year block period
6. Copies of CA certified APRs for the period / year

after completion of last five year block including for
the current year)
7. Whether as per APRs (as per Sl. No. 6) the unit is YES / NO
NFE positive (attach calculation sheet separately)
8. Legal Undertaking in the proforma in APPENDIX-6E YES / NO
9. Original LOP and Green Card / RCMC attached YES / NO

with the application
10. No Dues Certificate from Central Excise Authorities YES / NO

attached with the application
11. Whether any pending foreign exchange Realization; YES / NO

if so, details thereof
161
12. Whether any CST reimbursement has been : YES / NO

availed for the raw materials/finished goods lying in
stock at the time of exit, if so, details thereof (based
on FIFO method)
13. In case of Gems and Jewellery unit whether gold YES / NO

and other precious metals, alloys, gems and other
materials available for manufacture of Jewellery
have been handed over to nominated agency. If so,
proof of the same may be attached.
14. In case of pending appeal against order imposing YES / NO

penalty under FT(D&R) Act, whether bank
guarantee for penalty has been furnished.
DECLARATION
1. I/We undertake to abide by the provisions of the Foreign Trade (Development and Regulation) Act, 1992, as
amended from time to time, the Rules and Orders framed there under, the Foreign Trade Policy, the
2. I/We fully understand that any information furnished in the application if found incorrect or false will render
best of my/our knowledge and belief and nothing has been concealed or held there from.
Signature of the applicant
Name
Designation
Telephone No.
Email id:
Seal of the Company
162
DECLARATION BY THE CHARTERED ACCOUNTANT
I certify that information furnished in respect of Sl. No. 12 & 13 is correct as per records maintained by the company.
Signature
Name
Membership No
Seal
163
ANF-7A
APPLICATION FOR CLAIM OF TED REFUND / DUTY DRAWBACK / BRAND RATE FIXATION
(Please tick whichever is applicable)
(Application shall be filed online once the software is ready)
1. IEC No Branch Code:

2. Applicant details:
(i) Name of the firm/company
(ii) Full address
(iii) Contact Number
(iv) E-mail address
3. Banks details:
(i) Name of the Bank
(ii) Address of the Bank
(iii) IFSC code
(iv) Nature of account(SA/CA)
(v) A/c Number
(vi) Telephone / Fax No.
4. Excise Authority details:
(i) Excise Registration No
(ii) Address of the jurisdictional Central Excise Authority
(iii) Contact details of Excise Authority
(iv) Amount of excise duty paid during last year
(v) Product registered for manufacturing activities
5. Application for:
(i) Refund of Terminal Excise duty
(ii) Refund of Duty Drawback as per AIR
(iii) Fixation of brand rate for duty draw back
6. Application is made by:
(i) Supplier of goods
(ii) Recipient of goods
7. Supply details:
(i) Description of goods
(ii) Category of supplies under Para 7.02 of FTP
8. If application is for refund on TED
Sl. Inv. No. Date of Description of item(s) Quantity Quantum Late Net
No. of supply of TED cut, if claim
Supply Payment any
(Provision to be made to add multiple invoices)
9. If the application is for drawback as per Col. A of AIR under drawback schedule:
Sl. Invoice Date of Description of Tariff No. FOR Net quantity of Drawba
No. No. item(s) of supply value supplies ck Rate
164
Supply Payment
Value Capp(if Amountt of Late cutt, if Net payable

any any amount
DBK
K
(Provision to add multiplee supply Invoicees)
10. If supply towarrds discharge of export obliigation to Advvance Authorissation Yes/No

H
Holder against Invalidation leetter and draw
wback is claimeed on inputs eeither
im
mported or proccured locally onn payment of duty:
d
W
Whether, in the application forr Advance Authhorisation for intermediate suupply,
it was declared that such inpuuts to be procuured locally /immported on payyment
off duty?
11. If answer to Col. No 12 is yess, Advance Autthorization no. & date and File.no.
under which it was
w issued.
12. W
Whether claim iss made within the prescribed time
13. If not, rate of late cut as per Paara 9.02 of HBP

14. If claim for refunnd of TED is maade by supplieer:
W
Whether CENVA AT credit has been
b availed byy recipient?
15. If claim for refunnd of TED is maade by recipiennt:
W
b availed byy him?
16. If claim for duty drawback is madem by supplieer:
W
b availed byy him
17. If claim for duty drawback is madem by recipieent of goods:
W
b availed byy supplier of gooods?
18. Inn case of claim made against supply under P Para-7.02(a) & (c) whether
authorization nuumber and datee figure in the supply
s invoicess/ARE.
19. If the applicationn is for fixation of brand rate:
(i) Drrawback rate under AIR not aavailable
(ii) AIR is less than 4/5
4 of actual duuty paid.
(iii) Claim is made foor basic custom ms duty.
20. If answer to Col. 19 is yes,
W
Whether:
1. Inputs/components were imported

i directtly :
2. Imported inputs/component used from stock/ out sourcced locally:
3. Indian origin inputs/compoonents procureed locally:
4. Indian origin inputs/compponents used frrom stock or prrocured locally::
165
21. DBK-I Statement
SL Name of the Quality/ Technical Whether Unit Gross Wastage Quantity

No materials/ Charachteristics imported/ Quantity
Components indigenous required Irrecoverable Recoverable
1 2 3 4 5 6 7 8
Sale Price of waste By Product/ co-product Net wt. of the Remarks

per material
unit of Qty
Qty. Sale value per

unit
9 10 11 12 13
22. Statement of inputs/components used, either imported or procured locally **
S.N Description Technical S.No. in B/E /Invoice Name of the Unit Qty. Asses
o characteristics DBK-I No &date Customs importe sable
statement under which House/Excis d/procur
imported/proc e Authority ed value
ured locally
1 2 3 4 5 6 7 8 9
Heading Country Name and full Rate of Is Total amount of Remarks

from duty paid
No. in address of the Duty assessment
which supplier in
Customs case the final
166
Tariff Act, imported / foreign

material/
1975 name of Components
obtained
supplier
locally
10 11 12 13 14 15 16
** Only inputs which were imported/ procured and consumed during the period commencing 90 days prior to the
date of supply(s) shall only be taken into account for such claim.
A separate work sheet as per DBK form II, II(A), III and III(A) and certificates attached thereto duly certified by Chief
Executive/production in-charge shall be submitted, as given in the APPENDIX-7E
23. Check List of documents to be attached duly scanned or submitted in the physical form at counter:
(1) Invoices or a statement of invoices attested by Central Excise Authorities, as per the procedure prescribed by
CBEC in their circular 15/2008-Cus. dated 26.9.2008. To facilitate attestation by Central Excise Authorites, intimation
regarding receipt of goods should be given to the said authorities within 48 hours of receipt of goods. Corresponding
ER-1/ER-3 or a monthly statement confirming duty payment attested by excise Authorities or Invoices/statement of
Invoices certified by Jurisdictional Central Excise Authority of recipient.
(2) In case supply of goods to EOU, ARE-3 duly certified by the recipient and their jurisdictional Central Excise
Authority.
(3) Self certified copy of B/Es
(4) Proof of payment through e-BRC as per APPENDIX-2U or Payment Certificate issued by Project Authority in
APPENDIX-7D in original, as the case may be.
(5) PAC issued by the Project Authority in original as per APPENDIX-7C or File No. where the original has been
submitted.
(6) Copy of contract if supplies were to Project Authority or suppliers copy of original ARO/Invalidation Letter (if
supply against ARO/Invalidation Letter issued against AA /DFIA/EPCG).
(7) Non-availment of CENVAT credit certificate as per ANNEXURE-I, by the recipient of finished goods (in case
claim for TED).
(8) A certificate regarding non-availment of CENVAT credit on inputs used in the resultant product by the supplier of
goods as per ANNEXURE-II (in case claim for drawback).
(9) Declaration/disclaimer certificate from supplier, in case claim is filed by recipient of goods and from recipient of
goods, if claim is filed by supplier of goods, as per ANNEXURE-III.
(10) Statement of supplies for Fixation of Drawback Rate as per APPENDIX-7E.
167
the best of my /our knowledge and belief and nothing has been concealed or held there from. If found
incorrect or false, it will render me / us liable for any penal action or other consequences as may be
prescribed in law or otherwise warranted.
2. I/We undertake to abide by the provisions of F.T.(D&R) Act, the Rules and Orders framed there under, the
FTP, HBP, SION and the ITC(HS) Classification of Export & Import Items.
3. I/we further declare that the claim made by me/us is not a matter of right and I/we shall immediately refund
the amount of TED/drawback obtained by us in excess of any amount/rate which may be re-determined by
concerned RA / DGFT/Government as a result of post verification/Audit objection or otherwise.
4. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company has come under the
5. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company, as the case may be, is/are
a Proprietor/Partner(s)/Director(s)/Karta/Trustee in any other firm/Company which has come under the
6. I / We hereby declare that no export proceeds are outstanding beyond the prescribed period as laid down
by RBI or such extended period for which AD/RBI permission has been obtained.
7. I/we further declare that the goods supplied are excisable goods but no CENVAT credit is availed/ available
to the recipient of goods.
8. I/we further declared that no CENVAT credit facility has been availed on inputs for which drawback claim is
made.
9. I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.06 of the FTP.

Name
Designation
Official Address
Telephone/Mobile No
Residential Address
Email Address
Place
Date
ANNEXURE-I
DECLARATION FOR CLAIMING BENEFIT OF TERMINAL EXCISE DUTY (TED)
It is certified that no CENVAT credit under the Central Excise Rules has been availed by us, nor will be
availed in future, on supply of these items as per the application.
Signature (Authorized Signatory):

Full Name:
Designation:
Name of the company:
Telephone Number:
E-mail Address:
Fax No:
Note: To be given on the letter head of the recipient of goods.
168
ANNEXURE-II
DECLARATION FOR CLAIMING DEEMED EXPORT DRAWBACK
1. I, (Name & Designation) ..on behalf of M/s. .. (Name and address of the supplier) hereby certify that we have
supplied the following goods to M/s.. (Name and address of the recipient):
S.No. Inv. No. & date Description of goods Unit Qty. Value
2. We are the manufacturer exporters/suppliers and are registered/not registered with Central Excise Authority and
have not availed and will not avail CENVAT credit facility in respect of duty paid on inputs/components and/or tax
paid on input services, in aforesaid supplies. We have also not availed and will not avail rebate on the duty paid on
inputs/components used in aforesaid supplies and/or tax paid on input services.
3. We also certify that we have not been issued any Advance Authorization/Duty Free Import Authorization in
respect of the aforesaid supply of goods and have not availed any benefit thereon.
4. The complete address of the Jurisdictional Assistant/Deputy Commissioner of the Central Excise Division is given
as follows:
Yours faithfully,
Signature (Authorized Signatory)

Full Name
Designation
Name of the company
Telephone Number
E-mail
Address
Fax No.
Note: Declaration is to be given on letter head of the supplier. The Declaration furnished by the supplier to
Office of the Development Commissioner or RA of DGFT should be in duplicate with complete address of
the Jurisdictional Assistant/Deputy Commissioner of the Central Excise Division. The Development
Commissioner/RA of DGFT would forward the second copy of this Declaration, duly stamped, to the
addressed Assistant /Deputy Commissioner of the Central Excise Division for cross verification.
169
ANNEXURE-III
DISCLAIMER CERTIFICATE FOR NOT CLAIMING DEEMED EXPORT BENEFITS
We hereby declare that we have neither drawn nor will draw any benefit of deemed export on supply of goods as
declared/to be declared in the application for claim of deemed export benefits and we have no objection if M/s
(Name and address of the recipient/supplier, as the case may be) draws the deemed export benefits on such supply
of goods as mentioned in the application.
(Either party will have to give disclaimer in favour of other for not claiming benefits of deemed export
against supply of goods as declared in the Application for claim. The disclaimer is to be submitted on the
letter head of the firm/company)
Yours faithfully,
Signature (Authorized Signatory)

Full Name
Designation
Name of the company
Telephone Number
E-mail
Address
Fax
No
ANNEXURE-IV
FORMAT OF CERTIFICATE TO BE ISSUED BY PUBLIC SECTOR OIL COMPANIES CERTIFYING AMOUNT OF

TED PAID BY EOU / PROJECT ON PURCHASE OF HSD / FO FROM THEIR DEPOTS:
I _________(name of authorized signatory of PSU Oil Company) hereby declare that we (name of the Company)
have supplies HSD/FO to M/s. __________(Name of EOU/Project) from our depot at-------- __________as per
details given below.
Description Invoice No. Invoice Date Quantity Value Total Duty paid
(with breakup of
components)
Disclaimer Certificate:
We hereby certify that we are not claiming any deemed export benefits on the above supplies and we do not have
any objection if _______(Name of EOU/Project) claims deemed export benefits.
Authorized Signatory
(With full name and Designation)
170
ANF-7B
APPLICATION FOR PAYMENT OF INTEREST ON DELAYED REFUND OF DUTY DRAWBACK
(DBK) / TERMINAL EXCISE DUTY (TED) ON DEEMED EXPORTS / CENTRAL SALES TAX (CST)
ON SUPPLIES TO EXPORT ORIENTED UNITS (EOU)/EHTP/STP/BTP
(Please see Para 7.10 (b) of HBP)
1. IEC Details
(i) IEC Number
(ii) Date of Issue
(iii) Issuing Authority
2. Applicants details
(i) Name
(ii) Address (Registered Office in case of companies and Head Office in case of others)
(iii) Telephone
3. Application Submission Details

(i) Name of the concerned Regional Authority (RA)/Development Commissioner (DC)
(ii) Date on which application for claim was filed
(ii) Amount of TED/DBK/CST claim
4. Details of main claim

i) Whether Duty Drawback: Yes/No
ii) Whether Terminal Excise duty: Yes/No
iii) Whether Central Sales Tax: Yes/No
iv) File No. of the Regional Authority/DC where main claim was filed and settled
v) Amount claimed as DBK/TED/CST
vi) Amount settled by Regional Authority/DC with cheque No. and date
vii) Date of approval of the claim as communicated to the applicant through standard letter by the
Regional Authority/DC (attach a photo copy of the Approval Letter for ripe claims issued by
Regional Authority/DC).
viii) Amount of interest claimed @ 6% p.a simple interest which should be calculated from the date of
one month after the date of approval till the date of issuance of cheque in settlement of the claim
(attach calculation sheet).
Note: (i) No interest is payable upto one month of final approval of claim by RA/DC.
(ii) If claim is not settled within one month of final approval of the claim due to any reasons, the RA/DC will
calculate interest on approved claim upto the date of payment of the claim (date of cheque).
Enclosures: (i) Photocopy of approval letter for ripe claims.

(ii) Intimation letter by which payment details have been communicated.
(iii) Calculation sheet for interest claimed.
171

1. I / We hereby declare that the particulars and the statement made in this application are true and correct to the best
of my / our knowledge and belief and nothing has been concealed or held there from. If found incorrect or false, it will
render me / us liable for any penal action or other consequences as may be prescribed in law or otherwise
warranted.
2. I / We undertake to abide by the provisions of FT (D&R) Act, the Rules and Orders framed there under, the FTP,
HBP, Appendices & ANFs, and the ITC(HS) Classification of Export & Import Items.
3. I / We hereby certify that none of the Proprietor / Partner(s) / Director(s) / Karta / Trustee of the firm / company, as
the case may be, is / are a Proprietor / Partner(s) / Director(s) / Karta / Trustee in any other firm / company which has
come to the adverse notice of DGFT.
4. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company has come under the adverse notice
of DGFT or is in the caution list of RBI.
5. None of the Proprietor/Partners(s)/Director(s)/Karta/Trustee of the firm/company, as the case may be, is/are a
Proprietor/Partner(s)/Director(s)/Karta/Trustee in any other firm/Company which has come under the adverse notice
of DGFT or is in the caution list of RBI, to the best of my knowledge.
6. I / We further declare and undertake that I / We shall immediately refund the amount of interest obtained by us if it is
found to be in excess of our entitlement upon post-issue scrutiny by Government/Audit/concerned authority.
7. I / We fully understand that any information furnished in the application if found incorrect or false will render me / us
liable for any penal action or other consequences as may be prescribed in law or otherwise warranted.
8. I hereby certify that I am authorized to verify and sign this declaration as per paragraph 9.06 of Foreign Trade Policy.

Place Name
Date Designation
Official Address
Residential Address
Email:
Telephone No.(O):
1. Application has to be filed for claiming interest if Terminal Excise Duty (TED)/Duty Drawback/Central Sales Tax
(CST) due to a claimant is not paid within a period of one month from the date of final approval of claim by the
Regional Authority (RA)/Development Commissioner (DC), Special Economic Zone (SEZ)
2. Application to be filed within 90 days of the date of receipt of principal amount towards settlement of the claim.
3. Application has to be filed in ANF-7B.
4. Application has to be filed with the same RA/DC, which has sanctioned and released the TED/Drawback/CST.
6. Application must be accompanied by documents as per details given below:

i) Photocopy of approval letter for ripe claims.
ii) Photocopy of forwarding letter of cheque alongwith photocopy of the cheque.
iii) Calculation sheet for interest claimed.
iv) Any additional document relevant for claiming interest on delayed payment
172

ANF-8
APPLICATION PROFORMA FOR REGISTRATION OF QUALITY COMPLAINTS AND TRADE
DISPUTES
A. Applicants details:
i. Name of the Complainant:
ii. Name and Address of firm:
iii. IEC number, if applicable:
iv. Contact number (with area/ country code):
v. E-mail ID:
vi. Full name and IEC number of the firm against whom
complaint is made:
vii Address and contact number (with area/ country code) and
email ID of the firm against whom complaint is made:
viii. Whether the supplier is a merchant exporter or a
manufacturer exporter:
B. Particulars of Quality Complaint (Please fill in the necessary columns)*

i. Description of the item(s) imported/ exported
ii. Total quantity & value of consignment
iii. Details of quantity/ quality and amount under dispute / claim
iv. Particulars of Contract/ L.C./ Export Order, if any,
giving details of technical requirements stipulated (attach copies)
v. Whether any sample was approved? (attach particulars)
vi. Date of arrival of goods at the destination port.
vii. Condition of the goods at destination point.
viii. Whether consignment was in sealed condition?
If so, give particulars of the seal used.
ix. Bill of Lading/ Shipping Bill/ Airways Bill Number (attach copies)
x. Whether exporter forwarded copy of inspection certificate(Please furnish

copy)
xi. a) Whether any independent survey of the goods was done(Please furnish
copy of every report)
b) Whether survey was carried out with or without the consent of supplier?
173
xii. Whether quality defects were also covered by insurance(for perishable

goods)
C. Particulars of Trade Dispute (Please fill in the necessary columns)*
a. Non- payment/ Partial i. Total amount of contract

payment for the goods
ii. Amount Received (if any),
supplied
iii. Due Date of the amount to be paid
b. Non-payment of i. Export order/LC (copy may be furnished)

Commission
ii. Agency agreement (copy may be
furnished)
iii. Export invoice (copy may be furnished)
iv. Amount & Due Date of Commission
v. Copies of correspondence exchanged

( may be furnished)
c. Non- execution of Export i. Export order/LC (copy may be furnished)
Order ii. Whether any sample was approved?
(if yes, give details & attach a copy of the
report)
iii. Copies of correspondence exchanged
iv. Was anything pending from your end?

v. Reasons for delay/ non- execution, as far
as known
d. Short Supplies i. Whether any agency was nominated for
inspection prior to export? (If yes, furnish
details & attach a copy of the report)
ii. Short landing survey certificate
(copy may be furnished)
iii. Whether any survey was carried out at port
of destination(please enclose copy)
iv. Packing list(please enclose copy)
v. Reason(s) for short landing, as far as

known.
vi. Copies of correspondence exchanged
e. Any other complaint
(Give details and attach legible copies of the evidence)
D. General Information*:
i) Whether imports were effected from this supplier/ exporter in the past.
ii) Complaint on past dealings with this trader (if any) and mode of their
settlement.
174
iii) Whether further orders have been placed with the same trader
subsequently.
iv) Any other relevant information that may be of assistance in investigation of

the complaint. (attach legible copies of the evidence)
*Details, as applicable, are to be filled in.
DECLARATION/ UNDERTAKING
I hereby declare that the particulars and the statements made in this application are true and correct to the best of
my knowledge and belief and nothing has been concealed or held there from.
Place
Date .

Name
Firms seal with address and name of firm
175
COMPILATION
OF
ACT, RULES,
ORDERS AND
NOTIFICATIONS
THE FOREIGN TRADE (DEVELOPMENT AND REGULATION) ACT, 1992 No.22 OF 1992
The following Act of Parliament received the assent of the President on the 7th August, 1992, andis hereby published
for general information:-
THE FOREIGN TRADE (DEVELOPMENT AND REGULATION) ACT, 1992

No.22 OF 1992
(7th August, 1992)
An Act to provide for the development and regulation of foreign trade by facilitating imports into, and augmenting
exports from India and for matters connected therewith or Incidental thereto.
Be it enacted by Parliament in the Forty-third Year of the Republic of India as follows:-
CHAPTER I
PRELIMINARY
Short title and commencement
1. (1) This Act may be called the Foreign Trade (Development and Regulation) Act, 1992.
(2) Sections 11 to 14 shall come into force at once and the remaining provisions of this Act shall be deemed
to have come into force on the 19th day of June 1992.
Definitions
2. In this Act, unless the context otherwise requires:-
(a) "Adjudicating Authority" means the authority specified in, or under, section 13;
(b) "Appellate Authority" means the authority specified in, or under, sub-section (1) of section 15;
(c) "conveyance" means any vehicle, vessel, aircraft or any other means of transport including any animal;
(d) "Director General" means the Director General of Foreign Trade appointed under section 6;
(e) "import" and "export" means respectively bringing into, or taking out of, India any goods by land, sea or
air;
(f) "Importer-exporter Code Number" means the Code Number granted under section 7;
(g) "licence" means a licence to import or export and includes a customs clearance permit and any other
permission issued or granted under this Act;
(h) "Order" means any order made by the Central Government under section 3; and
(i) "Prescribed" means prescribed by rules made under this Act.
CHAPTER II
POWER OF CENTRAL GOVERNMENT TO MAKE ORDERS AND ANNOUNCE EXPORT

AND IMPORT POLICY
Powers to make provision relating to imports and exports.
3. (1) The Central Government may, by Order published in the Official Gazette, make provision for the
development and regulation of foreign trade by facilitating imports and increasing exports.
(2) The Central Government may also, by Order published in the Official Gazette, make provision for
prohibiting, restricting or otherwise regulating, in all cases or in specified classes of cases and subject to
such exceptions, if any, as may be made by or under the Order, the import or export of goods.
(3) All goods to which any Order under sub-section (2) applies shall be deemed to be goods the import or
export of which has been prohibited under section 11 of the Customs Act, 1962 and all the provisions of
that Act shall have effect accordingly.
Continuance of existing orders

4. All Orders made under the Imports and Exports (Control) Act, 1947 and in force immediately before the
commencement of this Act shall, so far as they are not inconsistent with the provisions of this Act, continue
to be in force and shall be deemed to have been made under this Act.
Export and import policy

1
5. The Central Government may, from time to time, formulate and announce, by notification in the Official
Gazette, the export and import policy and may also, in the like manner, amend that policy.
Appointment of Director General and his functions
6. (1) The Central Government may appoint any person to be the Director General of Foreign Trade for the
purposes of this Act.
(2) The Director General shall advise the Central Government in the formulation of the export and import
policy and shall be responsible for carrying out that policy.
(3) The Central Government may, by Order published in the Official Gazette, direct that any power
exercisable by it under this Act (other than the powers under sections 3,5,15,16 and 19) may also be
exercised, in such cases and subject to such conditions, by the Director General or such other officer
subordinate to the Director General, as may be specified in the Order.
CHAPTER III
IMPORTER-EXPORTER CODE NUMBER AND LICENCE

Importer-exporter Code Number.
7. No person shall make any import or export except under an Importer-exporter Code Number granted by the
Director General or the officer authorised by the Director General in this behalf, in accordance with the procedure
specified in this behalf by the Director General.
Suspension and cancellation of Importer-exporter Code Number.

8. (1) Where :-
(a) any person has contravened any law relating to Central excise or customs or foreign exchange or has
committed any other economic offence under any other law for the time being in force as may be specified
by the Central Government by notification in the Official Gazette, or
(b) the Director General has reason to believe that any person has made an export or import in a manner
gravely prejudicial to the trade relations of India with any foreign country or to the interests of other persons
engaged in imports or exports or has brought disrepute to the credit or the goods of the country, the Director
General may call for the record or any other information from that person and may, after giving to that
person a notice in writing informing him of the grounds on which it is proposed to suspend or cancel the
Importer-exporter Code Number and giving him a reasonable opportunity of making a representation in
writing within such reasonable time as may be specified in the notice and, if that person so desires, of being
heard, suspend for a period, as may be specified in the order, or cancel the Importer-exporter Code Number
granted to that person.
(2) where any Importer-exporter Code Number granted to a person has been suspended or cancelled under sub-
section (1), that person shall not be entitled to import or export any goods except under a special licence,
granted, in such manner and subject to such conditions as may be prescribed, by the Director General to that
person.
Issue, suspension and cancellation of licence.

9. (1) The Central Government may levy fees, subject to such exceptions, in respect of such person or class of
persons making an application for a licence or in respect of any licence granted or renewed in such
manner as may be prescribed.
(2) The Director General or an officer authorised by him may, on an application and after making such
inquiry as he may think fit, grant or renew or refuse to grant or renew a licence to import or export such
class or classes of goods as may be prescribed, after recording in writing his reasons for such refusal.
(3) A licence granted or renewed under this section shall -
(a) be in such form as may be prescribed;
(b) be valid for such period as may be specified therein; and
(c) be subject to such terms, conditions and restrictions as may be prescribed or as specified in the
licence with reference to the terms, conditions and restrictions so prescribed.
(4) The Director General or the officer authorised under sub-section (2) may, subject to such conditions as
may be prescribed, for good and sufficient reasons, to be recorded in writing, suspend or cancel any
licence granted under this Act:
Provided that no such suspension or cancellation shall be made except after giving the holder of
the licence a reasonable opportunity of being heard.
2
(5) An appeal against an order refusing to grant, or renew or suspending or cancelling, a licence shall lie in
like manner as an appeal against an order would lie under section 15.
CHAPTER IV
SEARCH, SEIZURE, PENALTY AND CONFISCATION
Power relating to search and seizure
10. (1) The Central Government may, by notification in the Official Gazette, authorise any person for the
purposes of exercising such powers with respect to entering such premises and searching, inspecting
and seizing of such goods, documents, things and conveyances, subject to such requirements and
conditions, as may be prescribed.
(2) The provisions of the Code of Criminal Procedure, 1973 relating to searches and seizures shall, so far
as may be, apply to every search and seizure made under this section.
Contravention of provisions of this Act, rules, orders and export and import policy
11. (1) No export or import shall be made by any person except in accordance with the provisions of this Act, the
rules and orders made thereunder and the export and import policy for the time being in force.
(2) Where any person makes or abets or attempts to make any export or import in contravention of any
provision of this Act or any rules or orders made thereunder or the export and import policy, he shall be
liable to a penalty not exceeding one thousand rupees or five times the value of the goods in respect of
which any contravention is made or attempted to be made, whichever is more.
(3) Where any person, on a notice to him by the Adjudicating Authority, admits any contravention, the
Adjudicating Authority may, in such class or classes of cases and in such manner as may be
prescribed, determine, by way of settlement, an amount to be paid by that person.
(4) A penalty imposed under this Act may, if it is not paid, be recovered as an arrear of land revenue and
the Importer-exporter Code Number of the person concerned, may, on failure to pay the penalty by
him, be suspended by the Adjudicating Authority till the penalty is paid.
(5) Where any contravention of an provision of this Act or any rules or orders made thereunder or the export
and import policy has been, is being, or is attempted to be, made, the goods together with any
package, covering or receptacle and any conveyances shall, subject to such requirements and
conditions as may be prescribed, be liable to confiscation by the Adjudicating Authority.
(6) The goods or the conveyance confiscated under sub-section (5) may be released by the Adjudicating
Authority, in such manner and subject to such conditions as may be prescribed, on payment by the
person concerned of the redemption charges equivalent to the market value of the goods or
conveyance, as the case may be.
Penalty or confiscation not to interfere with other punishments.

12. No penalty imposed or confiscation made under this Act shall prevent the imposition of any other
punishment to which the person affected thereby is liable under any other law for the time being in force.
Adjudicating Authority
13. Any penalty may be imposed or any confiscation may be adjudged under this Act by the Director General or,
subject to such limits as may be specified, by such other officer as the Central Government may, by
notification in the Official Gazettte, authorise in this behalf.
Giving of opportunity to the owner of the goods, etc.

14. No order imposing a penalty or of adjudication of confiscation shall be made unless the owner of the goods
or conveyance or other person concerned, has been given a notice in writing -
(a) informing him of the grounds on which it is proposed to impose a penalty or to confiscate such goods or
conveyance; and
(b) to make a representation in writing within such reasonable time as may be specified in the notice against
the imposition of penalty or confiscation mentioned therein, and, if he so desired, of being heard in the
matter.
CHAPTER V
APPEAL AND REVISION
Appeal
15. (1) Any person aggrieved by any decision or order made by the Adjudicating Authority under this Act may
prefer an appeal:-
(a) where the decision or order has been made by the Director General, to the Central Government;
(b) where the decision or order has been made by an officer subordinate to the Director General, to the
Director General or to any officer superior to the Adjudicating Authority authorised by the Director
General to hear the appeal, within a period of forty-five days from the date on which the decision or
order is served on such person:
Provided that the Appellate Authority may, if it is satisfied that the appellant was prevented by
sufficient cause from preferring the appeal within the aforesaid period, allow such appeal to be
preferred within a further period of thirty days:
Provided further that in the case of an appeal against a decision or order imposing a penalty
or redemption charges, no such appeal shall be entertained unless the amount of penalty or
redemption charges has been deposited by the appellant:
Provided also that, where the Appellate Authority is of opinion that the deposit to be made will
cause undue hardship to the appellant, it may, at its discretion, dispense with such deposit
either unconditionally or subject to such conditions as it may impose.
(2) The Appellate Authority may, after giving to the appellant a reasonable opportunity of being heard, if he
so desires, and after making such further inquiries, if any, as it may consider necessary, make such
orders as it thinks fit, confirming, modifying or reversing the decision or order appealed against, or may
send back the case with such directions, as it may think fit, for a fresh adjudication or decision, as the
case may, be after taking additional evidence, if necessary:
Provided that an order enhancing or imposing a penalty or redemption charges or confiscating
goods of a greater value shall not be made under this section unless the appellant has been given
an opportunity of making a representation, and, if he so desires, of being heard in his defence.
(3) The order made in appeal by the Appellate Authority shall be final.
Revision.
16. The Central Government in the case of any decision or order, not being a decision or order made in an
appeal, made by the Director General, or the Director General in the case of any decision or order made by
any officer subordinate to him, may on its or his own motion or otherwise, call for and examine the records
of any proceeding in which a decision or an order imposing a penalty or redemption charges or adjudicating
confiscation has been made and against which no appeal has been preferred, for the purpose of satisfying
itself or himself, as the case may be, as to the correctness, legality or propriety of such decision or order
and make such orders thereon as may be deemed fit:
Provided that no decision or order shall be varied under this section so as to prejudicially affect
any person unless such person-
(a) has, within a period of two years from the date of such decision or order, received a notice to show
cause why such decision or order shall not be varied, and
(b) has been given a reasonable opportunity of making representation and, if he so desires, of being heard
in his defence.
Powers of Adjudicating an other Authorities.
17. (1) Every authority making any adjudication or hearing any appeal or exercising any powers of revision
under this Act shall have all the powers of a civil court under the Code of Civil Procedure, 1908, while
trying a suit, in respect of the following matters, namely:-
(a) summoning and enforcing the attendance of witnesses;
(b) requiring the discovery and production of any document;
(c) requisitioning any public record or copy thereof from any court or office;
(d) receiving evidence on affidavits; and
(e) issuing commissions for the examination of witnesses or documents.
(2) Every authority making any adjudication or hearing any appeal or exercising any powers of revision
under this Act shall be deemed to be a civil court for the purposes of sections 345 and 346 of the Code
of Criminal Procedure, 1973.
(3) Every authority making any adjudication or hearing any appeal or exercising any powers of revision
under this Act shall have the power to make such orders of an interim nature as it may think fit and may
also, for sufficient cause, order the stay of operation of any decision or order.
(4) Clerical or arithmetical mistakes in any decision or order or errors arising therein from any accidental slip
or omission may at any time be corrected by the authority by which the decision or order was made,
either on its own motion or on the application of any of the parties:
Provided that where any correction proposed to be made under this sub-section will have the
effect of prejudicially affecting any person, no such correction shall be made except after giving to
that person a reasonable opportunity of making a representation in the matter and no such
correction shall be made after the expiry of two years from the date on which such decision or
order was made.
CHAPTER VI
MISCELLANEOUS
Protection of action taken in good faith

18. No order made or deemed to have been made under this Act shall be called in question in any court, and no
suit, prosecution or other legal proceeding shall lie against any person for anything in good faith done or
intended to be done under this Act or any order made or deemed to have been made thereunder.
Power to make rules.
19. (1) The Central Government may, by notification in the Official Gazette, make rules for carrying out the
provisions of this Act.
(2) In particular, and without prejudice to the generality of the foregoing power, such rules may provide for
all or any of the following matters, namely:-
(a) the manner in which and the conditions subject to which a special licence may be issued under sub-
section (2) of section 8;
(b) the exceptions subject to which and the person or class of persons in respect of whom fees may be
levied and the manner in which a licence may be granted or renewed under sub-section (1) of
section 9;
(c) the class or classes of goods for which a licence may be granted under sub-section (2) of section-9;
(d) the form in which and the terms, conditions and restrictions subject to which licence may be granted
under sub-section (3) of section 9;
(e) the conditions subject to which a licence may be suspended or cancelled under sub-section (4) of
section 9;
(f) the premises, goods, documents, things and conveyances in respect of which and the requirements
and conditions subject to which power of entry, search, inspection and seizure may be exercised
under sub-section (1) of section 10;
(g) the class or classes of cases for which and the manner in which an amount, by way of settlement,
may be determined under sub- section (3) of section 11;
(h) the requirements and conditions subject to which goods and conveyances shall be liable to
confiscation under sub-section (5) of section 11;
(i) the manner in which and the conditions subject to which goods and conveyances may be released
on payment of redemption charges under sub-section (6) of section 11; and
(j) any other matter which is to be, or may be, prescribed, or in respect of which provision is to be, or
may be, made by rules.
(3) Every rule and every Order made by the Central Government under this Act shall be laid, as soon as
may be after it is made, before each house of Parliament, while it is in session, for a total period of
thirty days which may be comprised in one session or in two or more successive sessions, and if,
before the expiry of the session immediately following the session or the successive sessions
aforesaid, both Houses agree in making any modification in the rule or the Order or both Houses agree
that the rule or the Order should not be made, the rule or the Order, as the case may be, shall
thereafter have effect only in such modified form or be of no effect, as the case may be, so, however,
5
that any such modification or annulment shall be without prejudice to the validity of anything previously
done under that rule or the Order.
Repeal and savings

20. (1) The Imports and Exports (Control) Act, 1947 and the Foreign Trade (Development and Regulation)
Ordinance, 1992 are hereby repealed.
(2) The repeal of the Imports and Exports (Control) Act, 1947 shall, however, not affect -
(a) the previous operation of the Act so repealed or anything duly done or suffered thereunder; or
(b) any right, privilege, obligation or liability acquired, accrued or incurred under the Act so repealed; or
(c) any penalty, confiscation or punishment incurred in respect of any contravention under the Act so
repealed; or
(d) any proceeding or remedy in respect of any such right, privilege, obligation, liability, penalty,
confiscation or punishment as aforesaid, and any such proceeding or remedy may be instituted,
continued or enforced, and any such penalty, confiscation or punishment may be imposed or made
as if that Act had not been repealed.
Ord. 11 of 1992.
(3) Notwithstanding the repeal of the Foreign Trade (Development and Regulation) Ordinance, 1992,
anything done or any action taken under the said Ordinance shall be deemed to have been done or
taken under the corresponding provisions of this Act.
(Note: - In case of any discrepancy in this version from that published in Gazette notification, the Gazette
copy shall be deemed to be the correct/ official copy.)
THE FOREIGN TRADE (DEVELOPMENT AND REGULATION) AMENDMENT ACT, 2010
The following Act of Parliament received the assent of the President on 19th August, 2010, and is hereby published
for general information:-
THE FOREIGN TRADE (DEVELOPMENT AND REGULATION)

AMENDMENT ACT, 2010
No.25 of 2010
[19th August, 2010]
An Act to amend the Foreign Trade(Development and Regulation)Act,1992.
Be it enacted by Parliament in the Sixty-first year of the Republic of India as follows:-
1.(1) This Act may be called the Foreign Trade(Development and Short title and
Regulation) Amendment Act,2010. commencement
(2) It shall come into force on such date as the Central Government may,
by notification in the Official Gazette, appoint:
Provided that different dates may be appointed for different provisions of

this Act and any reference in any such provision to the commencement of
this Act shall be construed as are reference to the coming into force of that
provision.
Amendment 2. In section 2 of the Foreign Trade (Development and Regulation Act, 22 of 1992
of section 2 1992 (herein after referred to as the principal Act), -
(a) for clause (e) following shall be substituted, namely:,
(e) import and export means, -

(I) in relation to goods, bringing into, or taking out of, India any
goods by land, sea or air;
(II) in relation to services or technology, -

(i)supplying, services or technology-
(A) from the territory of another country into the territory of

India.
(B) in the territory of another country to an Indian service
consumer;
(C) by a service supplier of another country, through
commercial presence in India;
(D) by a service supplier of another country, through presence
of their natural persons in India;
(ii) supplying, services or technology
(A) from India into the territory of any other country;

(B) in India to the service consumer of any other country;
(C) by a service supplier of India, through commercial presence in the
territory of any other country;
(D) by a service supplier of India, through presence of Indian natural
persons in the territory of any other country;
Provided that import and export in relation to the goods, services and
technology regarding Special Economic Zone or between two Special
Economic Zones shall be governed in accordance with the provisions 28 of 2005
contained in the Special Economic Zones Act, 2005.
(b) after clause (i), the following clauses shall be inserted, namely-
(j) services means service of any description which is made

available to potential users and includes all the tradable services specified
under the General Agreement on Trade in Services entered into amongst
India and other countries who are party to the said Agreement:
Provided that, this definition shall not apply to the domain of taxation;
(k) service supplier means any person who supplies a service and
who intends to take benefit under the foreign trade policy;
(l) specified goods or services or technology means the goods or

services or technology, the export, import, transfer, re-transfer, transit and
transshipment of which is prohibited or restricted because of imposition of
conditions on the grounds of their being pertinent or relevant to India as a
Nuclear Weapon State, or to the national security of India, or to the
furtherance of its foreign policy or its international obligations under any
bilateral, multilateral or international treaty, convenant, convention or
arrangement relating to weapons of mass destruction or their means of
delivery to which India is a party or its agreement with a foreign country
under the foreign trade policy formulated and notified under section 5 of the
Act;
(m) technology means any information (including information embodied

in software), other than information in the public domain, that is capable of
being used in -.
(i) the development, production or use of any goods or software;
(ii) the development of, or the carrying out of, an industrial or

commercial activity or the provision of service of any kind.
Explanation For the purpose of this clause
(a) when technology is described wholly or partly by reference to the

uses to which it (or the goods to which it relates) may be put, it shall
include services which are provided or used, or which are capable of being
used in the development, production or use of such technology or goods;
21 of 2005 (b) public domain shall have the same meaning as assigned to it in
clause (i) of section 4 of the Weapons of Mass Destruction and their
Delivery System (Prohibition of Unlawful Activities) Act, 2005.
3. In the principal Act, in sub-heading below Chapter II for the words Amendment of
EXPORT AND IMPORT POLICY the words FOREIGN TRADE POLICY titile Chapter II
shall be substituted.
4. In section 3 of the Principal Act, - Amendment of

section 3
(a) in sub-section (2), -
(i) for the words import or export of goods the words import or
export of goods or services or technology shall be substituted;
(ii) after sub-section(2), the following proviso shall be inserted,

namely:-
Provided that the provisions of this sub-section shall be applicable,

in case of import or export of services or technology, only when the service
or technology provider is availing benefit under the foreign trade policy or is
dealing with specified services or specified technologies.
(b) after sub-section (3), the following sub- section shall be inserted,
namely-
(4) without prejudice to anything contained in any other law, rule,

regulation, notification or order, no permit or licence shall be necessary for
import or export of any goods, nor any goods shall be prohibited for import
or export except, as may be required under this Act, or rules or orders
made thereunder.
Substitution of
5. For section 5 of the principal Act, the following section shall be new section for
substituted namely: section 5
Foreign Trade
5. The Central Government may, from time to time, formulate and Policy.
announce, by notification in the Official Gazette, the foreign trade policy
and may also, in the like manner, amend that policy:
Provided that the Central Government may direct that, in respect of

the Special Economic Zones, the foreign trade policy shall apply to the
goods, services and technology with such exceptions, modifications and
adaptations, as may be specified by it by notification in the Official
Gazette. Amendment of
section 6.
6. In section 6 of the principal Act, in sub-section (2), for the words export
and import policy, the words foreign trade policy shall be substituted. Amendment of
section 7.
7. In section 7 of the principal Act, the following proviso shall be inserted,
namely-
Provided that in case of import or export of services or technology, the

Importer-exporter Code Number shall be necessary only when the service
or technology provider is taking benefits under the foreign trade policy or is
dealing with specified services or specified technologies.
Amendment of
section 8 8. In section 8 of the principal Act, -
(A) for sub-section (1), the following sub-section shall be substituted,

9
namely-
(1) Where
(a) any person has contravened any of the provisions of this Act or
any rules or orders made thereunder or the foreign trade policy or any
other law for the time being in force relating to Central excise or customs or
foreign exchange or has committed any other economic offence under any
other law for the time being in force as may be specified by the Central
Government by notification in the Official Gazette; or
(b) the Director General or any other officer authorized by him has
reason to believe that any person has made an export or import in a
manner prejudicial to the trade relations of India with any foreign country or
to the interests of other persons engaged in imports or exports or has
brought disrepute to the credit or the goods of, or services or technology
provided from, the country; or
(c) any person who imports or exports specified goods or services or

technology, in contravention of any provision of this Act or any rules or
orders made thereunder or the foreign trade policy,
the Director General or any other officer authorized by him may call for the
record or any other information from that person and may, after giving to
that person a notice in writing informing him of the grounds on which it is
proposed to suspend or cancel the Importer-exporter Code Number and
after giving him a reasonable opportunity of making a representation in
writing within such reasonable time as may be specified in the notice and,
if that person so desires, of being heard, suspend for a period, as may be
specified in the order, or cancel the Importer-exporter Code Number
granted to that person;
(B) in sub-section (2), for the words import or export any goods, the words
import or export any goods or services or technology shall be substituted.
Amendment of
section 9 9. In section 9 of the principal Act, -
(a) in sub-sections (1), (3), (4) and (5), for the word licence, wherever it
occurs, the words licence, certificate, scrip or any instrument bestowing
financial or fiscal benefits shall be substituted;
(b) for sub-section(2), the following sub-section shall be substituted,

namely-
(2) The Director General or an officer authorized by him may, on an

application and after making such inquiry as he may think fit, grant or
renew or refuse to grant or renew a licence to import or export such class
or classes of goods or services or technology as may be prescribed and,
grant or renew or refuse to grant or renew a certificate, scrip or any
instrument bestowing financial or fiscal benefit, after recording in writing his
reasons for such refusal..
Insertion of
new Chapter
IIIA 10. After Chapter III of the Principal Act, the following Chapter shall be
inserted, namely:-
10
CHAPTER IIIA
Power of QUANTITATIVE RESTRICTIONS

Central
Government to 9 (A). (1) If the Central Government, after conducting such enquiry as
impose it deems fit, is satisfied that any goods are imported into India in such
quantitative increased quantities and under such conditions as to cause or threaten to
restrictions cause serious injury to domestic industry, it may, by notification in the
Official Gazette, impose such quantitative restrictions on the import of such
goods as it may deem fit:
Provided that no such quantitative restrictions shall be imposed on any

goods originating from a developing country so long as the share of imports
of such goods from that country does not exceed three per cent, or where
such goods originate from more than one developing country, then, so long
as the aggregate of the imports from all such countries taken together does
not exceed nine per cent, of the total imports of such goods into India.
(2) The quantitative restrictions imposed under this section shall,

unless revoked earlier, cease to have effect on the expiry of four years
from the date of such imposition:
Provided that if the central government is of the opinion that the

domestic industry has taken measures to adjust to such injury or threat
thereof and it is necessary that the quantitative restriction should continue
to be imposed to prevent of such injury or threat and to facilitate the
adjustments, it may extend the said period beyond four years:
Provided further that in no case the quantitative restriction shall continue

to be imposed beyond a period of ten years from the date on which such
restrictions were first imposed.
(3) The Central Government may, by rules provide for the manner in
which goods, the import of which shall be subject to quantitative restrictions
under this section, may be identified and the manner in which the causes of
serous injury or causes of threat of serious injury in relation to such goods
may be determined.
(4) For the purposes of this section-
(a) developing country means a country notified by the Central

Government in the Official Gazette, in this regard;
(b) domestic industry means the producers of goods (including

producers of agricultural goods)-
(i) As a whole of the like goods or directly competitive goods in

India; or
(ii) Whose collective output of the like goods or directly

competitive goods in India constitutes a major share of the total production
of the said goods in India;
(c) serious injury means an injury causing significant overall

impairment in the position of a domestic industry;
11
(d) threat of serious injury means a clear and imminent danger of

serious injury..
Amendment of
11. In section 10 of the principal Act, for sub-section (1), the following section 10.
sub-section shall be substituted, namely-
(1) The Central Government may, by notification in the Official

Gazette, authorize any person for the purposes of exercising such powers
with respect to-
(a) entering such premises where the goods are kept, stored or
processed, manufactured, traded or supplied or received for the purposes
of import or export and searching, inspecting and seizing of such goods,
documents, things and conveyances connected with such import and
export of goods;
(b) entering such premises from which the services or technology

are being provided, supplied, received, consumed or utilized and
searching, inspecting and seizing of such goods, documents, things and
conveyances connected with such import and export of services and
technology,
subject to such requirements and conditions and with the approval of such
officer, as may be prescribed:
Provided that the provisions of clause (b) shall be applicable, in

case of import of export of services or technology, only when the service or
technology provider is availing benefit under the foreign trade policy or is
Substitution of dealing with specified services or specified technologies.
new section
for section 11 12. For section 11 of the principal act, the following section shall be
substituted namely-
Contravention
of provisions
of this Act, 11.(1) No export or import shall be made by any person except in
rules, orders accordance with the provisions of this Act, the rules and orders made
and foreign thereunder and the foreign trade policy for the time being in force.
trade policy
(2) Where any person makes or abets or attempts to make any

export or import in contravention of any provision of this Act or any rules or
orders made thereunder or the foreign trade policy, he shall be liable to a
penalty of not less than ten thousand rupees and not more than five times
the value of the goods or services or technology in respect of which any
contravention is made or attempted to be made, whichever is more.
(3) Where any person signs or uses, or causes to be made, signed or

used, any declaration, statement or document submitted to the Director
General or any officer authorised by him under this Act, knowing or having
reason to believe that such declaration, statement or document is forged or
tempered with or false in any material particular, he shall be liable to a
penalty of not less than ten thousand rupees or more than five times the
value of the goods or services or technology in respect of which such
declaration, statement or document had been submitted, whichever is
more.
12
(4) Where any person, on a notice to him by the adjudicating

Authority, admits any contravention, the Adjudicating Authority may, in
such class or classes or cases and in such manner as may be prescribed,
determine, by way of settlement, an amount to be paid by that person.
(5) A penalty imposed under this Act may, if it is not paid, by any
person, be recovered by any one or more of the following modes, namely:-
(a)the Director General may deduct or require any officer

subordinate to him to deduct the amount payable under this Act
from any money owing to such person which may be under the
control of such officer; or
(b) the Director General may require any officer of customs to 52 of 1962.
deduct the amount payable under this Act from any money owing
to such person which may be under the control of such officer of
customs, as if the said amount is payable under the Customs
Act, 1962; or
(c) the Director General may require the Assistant Commissioner of

Customs or Deputy Commissioner of Customs or any other officer
of Customs to recover the amount so payable by detaining or
selling any goods (including the goods connected with services or 52 of 1962.
technology) belonging to such person which are under the control
of the Assistant Commissioner of Customs or Deputy
Commissioner or Customs or any other officer of Customs, as if
the said amount is payable under the Customs Act, 1962; or
(d) if the amount cannot be recovered from such person in the

manner provided in clauses (a), (b) and (c),-
(i) the Director General or any officer authorized by him may

prepare a certificate signed by him specifying the amount due
from such person and send it to the Collector of the District in
which such person owns any property or resides or carries on
business and the said Collector on receipt of such certificate
shall proceed to recover from such person the amount specified
thereunder as if it were an arrear of land revenue; or
(ii) the Director General or any officer authorised by him (including

an officer of Customs who shall then exercise his powers under
the Customs Act, 1962) and in accordance with the rules made
in this behalf, detain any movable or immovable property 52 of 1962.
belonging to or under the control of such person, and detain the
same until the amount payable is paid, as if the said amount is
payable under the Customs Act, 1962; and in case, any part of
the said amount payable or of the cost of the distress or keeping
of the property, remains unpaid for a period of thirty days next
after any such distress, may cause the said property to be sold
and with the proceeds of such sale, may satisfy the amount
payable and costs including cost of sale remaining unpaid and
shall render the surplus, if any to such person.
(6) where the terms of any bond or other instrument executed under
this Act or any rules made thereunder provide that any amount due under
13
such instrument may be recovered in the manner laid down in sub-section

(5), the amount may, without prejudice to any other mode of recovery, be
recovered in accordance with the provisions of that sub section.
(7) without prejudice to the provisions contained in this section, the

Importer-Exporter Code Number of any person who fails to pay any penalty
imposed under this Act, may be suspended by the Adjudicating Authority till
the penalty is paid or recovered, as the case may be.
(8) Where any contravention of any provision of this Act or any rules
or orders made thereunder or the foreign trade policy has been, is being, or
is attempted to be made, the goods (including the goods connected with
services or technology) together with any package, covering or receptacle
and any conveyances shall, subject to such conditions and requirements
as may be prescribed, be liable to confiscation by Adjudicating Authority.
(9) The goods (including the goods connected with services or

technology) or the conveyances confiscated under sub-section (8) may be
released by the Adjudicating Authority, in such manner and subject to such
conditions as may be prescribed, on payment by the person concerned of Insertion of new
the redemption charges equivalent to the market value of the goods or sections 11A and
conveyance, as the case may be. 11B.
13. After section 11 of the principal Act, the following sections shall be Crediting sums
inserted, namely:- realized by way
of penalties in
11A. All sums realised by way of penalties under this Act shall be Consolidated
credited to the Consolidated Fund of India. Fund of India.
1 of 1944 Empowering
Settlement
Commission for
11B. Settlement of customs duty and interest thereon as ordered regularistion of
by the Settlement Commission as constituted under section 32 of the export obligation
Central Excise Act, 1944, shall be deemed to be a settlement under this default.
Act. Amendment of
section 14.
14. In section 14 of the principal Act, for the word goods at both the Insertion of a
places where it occurs, the words and brackets goods (including the goods new Chapter
connected with services or technology) shall be substituted. IVA.
15. After Chapter IV of the principal Act, following Chapter shall be

inserted, namely:-
21 of 2005 CHAPTER IVA Controls on

CONTROLS ON EXPORT OF SPECIFIED GOODS, SERVICES AND export of
TECHNOLOGY specified goods,
services and
14A.(1) In regard to controls on export of specified goods, services technology.
and technology referred to in this chapter, the Weapons of Mass
Destruction and their Delivery Systems (Prohibition of Unlawful Activities) 21 of 2005
Act, 2005 shall apply to exports, transfers, re-transfers, brought in transit,
trans-shipment of, and brokering in specified goods, technology or
14
services.
(2) All terms, expressions or provisions of the Weapons of Mass

Destruction and their Delivery Systems (Prohibition of Unlawful Activities)
Act, 2005 shall apply to the specified goods, services or technology with
such exceptions, modifications and adaptations as may be specified by the
Central Government by notification in the Official Gazette,
(3) The Central Government may, by notification in the Official

Gazette, direct that any of the provisions of this Chapter-
Transfer (a) Shall not apply to any goods, services or technologies, or

controls. (b) Shall apply to any goods, services or technologies with such 21 of 2005.
exceptions, modifications and adaptations as may be specified in the
notification.
14B.(1) The Central Government may, by notification in the Official

Gazette, make rules in conformity with the provisions of the Weapons of
Mass Destruction and their Delivery Systems (Prohibition of Unlawful 21 of 2005.
Activities) Act, 2005 for, or, in connection with, the imposition of controls in
relation to transfer of specified goods, services or technology.
(2) No goods, services or technology notified under this Chapter

Catch-all shall be exported, transferred, re-transferred, brought in transit or
controls. transshipped except in accordance with the provisions of this Act, the
Weapons of Mass Destruction and their Delivery Systems (Prohibition of
Unlawful Activities) Act, 2005 or any other relevant Act.
14C. No person shall export any material, equipment or technology
Suspension or
knowing that such material, equipment or technology is intended to be
cancellation of
used in the design or manufacture of a biological weapon, chemical
a licence
weapon, nuclear weapon or other nuclear explosive device, or in their
missile delivery systems.
14D. The Director General or an officer authorized by him may, by
order, suspend or cancel a licence to import of export or specified goods or
services or technology without giving the holder of the licence a reasonable
Offences and opportunity of being heard but such person shall be given a reasonable
penalties opportunity of being heard within six months of such order and thereupon 21 of 2005.
the Director General or the Officer so authorized may, if necessary, by
order in writing, confirm, modify or revoke such order.
14E. (1) In case of a contravention relating to specified goods,

services or technologies, the penalty shall be in accordance with the
provisions of the Weapons of Mass Destruction and their Delivery Systems
(Prohibition of Unlawful Activities) Act, 2005. 21 of 2005.
(2) Where any person contravenes or attempts to contravene or

abets, any of the provision(s) of this Chapter in relation to import or export
of any specified goods or services or technology, he shall, without
prejudice to any penalty which may be imposed on him, be punishable with
imprisonment for a term stipulated in the Weapons of Mass Destruction
and their Delivery Systems (Prohibition of Unlawful Activities) Act, 2005.
Amendment of (3) No court shall take cognizance of any offence punishable under
title of Chapter this Chapter without the previous sanction of the Central Government or
V any officer authorized in this behalf by the Central Government by general
15
or special order.
Amendment of
section 15 16. In the principal Act, in sub-heading below CHAPTER V, for the
word REVISION, the word REVIEW shall be substituted.
Substitution of
17. In section 15 of the principal Act, in sub-section (2), in the proviso, new section for
for the word goods, the words and brackets the goods (including the section 16
goods connected with services or technology) shall be substituted.
Review.
18. For section 16 of the principal Act, the following shall be
substituted, namely-
16. The Central Government, in the case of any decision or order

made by the Director General, or the Director General in the case of any
decision or order made by any officer subordinate to him, may on its or his
own motion or otherwise, call for and examine the records of any
proceeding, for the purpose of satisfying itself or himself, as the case may
be, as to the correctness, legality or propriety of such decision or order
and make such orders thereon as may be deemed fit:
Provided that no decision or order shall be varied under this

section so as to prejudicially affect any person unless such person-
(a) has, within a period of two years from the date of such decision
or order, received a notice to show cause why such decision or order shall
not be varied; and Amendment of
section 17.
(b) has been given a reasonable opportunity of making
representation and, if he so desires, of being heard in his defence.
Insertion of new
19. In section 17 of the principal Act, for the word Revision wherever section 18A.
it occurs, the word Review shall be substituted.
Application of
20. After section 18 of the principal Act, the following shall be other laws not
inserted, namely:- barred.
Amendment of
18.A The provision of this Act shall be in addition to, and not in
section 19.
derogation of, the provisions of any other law for the time being in force.
21. In section 19 of the principal Act, in sub-section (2), -
(a) in clause (b), for the word licence, the words licence,
certificate, scrip or any instrument bestowing financial or fiscal benefits
shall be substituted;
(b) for clause (c), the following clause shall be substituted, namely:-
(c) the class or classes of goods (including the goods connected

with service or technology) for which a licence, certificate, scrip or any
instrument bestowing financial or fiscal benefits may be granted under sub-
section (2) of section 9..
16
(c) in clauses (d) and (e), for the word licence, the words licence,
certificate, scrip or any instrument bestowing financial or fiscal benefits
shall be substituted;
(d) after clause (e), the following clause shall be inserted, namely:-
(ea) the matter in which goods the import of which shall be

subject to quantitative restrictions, may be identified and the manner in
which the causes of serious injury or causes of threat of serious injury in
relation to such goods may be determined under sub-section (3) of section
9A;;
(e) in clause (f), for the word goods, the words and brackets goods
(including the goods connected with the service or technology) shall be
substituted;
(f) in clause (g), for the words, brackets and figures sub-section (3) of
section 11, the words, brackets and figures sub-section (4) of the section
11 shall be substituted;
(g) for clause (h), the following clause shall be substituted, namely:-
(h) the requirement and conditions subject to which goods

(including the goods connected with service or technology) and
conveyances shall be liable to confiscation under sub-section (8) of section
11;;
(h) for clause (i), the following clause shall be substituted, namely:-
(i) the manner in which and the conditions subject to which goods
(including the goods connected with service or technology) and
conveyances may be released on payment of redemption charges under
sub-section (9) of section 11;.
V.K.BHASIN
Secretary to the Govt of India.
(Note: - In case of any discrepancy in this version from that published in

Gazette notification, the Gazette copy shall be deemed to be the correct/
official copy.)
17
FOREIGN TRADE (REGULATION) RULES, 1993

MINISTRY OF COMMERCE
(Directorate General of Foreign Trade)
NOTIFICATION
New Delhi, the 30th December, 1993
G.S.R. 791(E)- In exercise of the powers conferred by section 19 of the

Foreign Trade (Development and Regulation) Act, 1992 (22 of 1992), the
Central Government hereby makes the following rules, namely. -
1. Short title and commencement,-

(1) These rules may be called the Foreign Trade (Regulation) Rules,
1993.
(2) They shall come into force on the date of their publication in the
Official Gazette.
2. Definitions-
In these rules unless the context otherwise requires , -
(a) "Act" means the Foreign Trade (Development and Regulation) Act,
1992 (22 of 1992);
(b) "charitable purpose" includes relief of the poor, education, medical
relief, and the advancement of any other object of general public
utility;
(c) "importer" or "exporter" means a person who imports or exports
goods and holds a valid Importer-exporter Code Number granted
under section 7;
(d) "licensing authority" means an authority authorised by the Director
General under sub-section (2) of section 9 to grant or renew a
licence under these rules;
(e) "Policy" means the export and import Policy formulated and
announced by the Central Government under section 5;
(f) "schedule" means a Schedule appended to these rules;
(g) "section" means a section of the Act;
(h) "special licence" means a licence granted under sub-section (2) of
section 8;
(i) "value" has the meaning assigned to it in clause (41) of section 2 of
the Customs Act, 1962 (52 of 1962);
(j) words and expression used in these rules and not defined but
defined in the Act shall have the meanings respectively assigned
to them in the Act.
3. Grant of special licence-
(1) Where the Importer-exporter Code Number granted to any person
has been suspended or cancelled under sub-section (1) of section
8, the Director General may, having regard to the following
factors, grant to him a special licence, namely:-
(1) that the denial of a special licence is likely to affect the
foreign trade of India adversely; or
(2) that the suspension or cancellation of the Importer- exporter
Code Number is likely to lead to non-fulfillment of any
obligation by India under any international agreement;
(2) The special licence granted to any person under sub-rule (1) shall
be non-transferable.
18
4. Application for grant of licence-

A person may make an application for the grant of a licence to import
or export goods in accordance with the provisions of the Policy or an
Order made under section 3.
5. Fee-
(1) Every application for a licence to import shall be accompanied by
the fee specified in the Schedule.
(2) The mode of deposit of fee shall be as specified in the Schedule.
(3) No fee shall be payable in respect of any application made by:
(a) the Central Government, a State Government or any
department or any office of the Government;
(b) any local authority for the bona-fide import of goods required
by it for official use;
(c) any institution set up for educational, charitable or missionary
purpose, for the import of goods required for its use;
(d) an applicant for the import of any goods (other than a vehicle)
if the import of the goods is for his personal use which is not
connected with trade or manufacture.
(4) The fee once received will not be refunded except in the following
circumstances, namely:-
(i) where the fee has been deposited in excess of the specified
scale of fee; or
(ii) where the fee has been deposited but no application has been
made; or
(iii) where the fee has been deposited in error but the applicant is
exempt from payment of fee.
6. Conditions of licence-
(1) It shall be deemed to be a condition of every licence for export
that:-
(i) no person shall transfer or acquire by transfer any licence
issued by the licensing authority except in accordance with
the provisions of the Policy;
(ii) the goods for the export of which the licence is granted shall be
the property of the licensee at the time of the export.
(2) The licensing authority may issue a licence for import subject to
one or more of the following conditions, namely:-
(a) that the goods covered by the licence shall not be disposed of
except in accordance with the provisions of the Policy or in
the manner specified by the licensing authority in the licence;
(b) that the applicant for a licence shall execute a bond for
complying with the terms and conditions of the licence.
(3) It shall be deemed to be a condition of every licence for import that
(a) no person shall transfer or acquire by transfer any licence
issued by the licensing authority except in accordance with
the provisions of the Policy;
(b) the goods for the import of which a licence is granted shall be
the property of the licensee at the time of import and upto the
time of clearance through customs;
(c) the goods for the import of which a licence is granted shall be
new goods, unless otherwise stated in the licence;
(d) the goods covered by the licence for import shall not be
exported without the written permission of the Director
General.
(4) Any person importing goods from the United States of America in
accordance with the terms of the Indo-US Memorandum of
Understanding on Technology Transfer shall also comply with all
19
the conditions and assurances specified in the Import Certificate

issued in terms of such Memorandum, and such other assurances
given by the person importing those goods to the Government of
the United States of America through the Government of India.
7. Refusal of licence-
(1) The Director General or the licensing authority may for
reasons to be recorded in writing, refuse to grant or renew a
licence
(a) the applicant has contravened any law relating to customs
or foreign exchange;
(b) the application for the licence does not substantially
conform to any provision of these rules;
(c) the application or any document used in support thereof
contains any false or fraudulent or misleading statement;
(d) it has been decided by the Central Government to
canalise the export or import of goods and distribution
thereof, as the case may be, through special or
specialised agencies;
(e) any action against the applicant is for the time being
pending under the Act or rules and Orders made
thereunder;
(f) the applicant is or was a managing partner in a partnership
firm, or is or was a Director of a private limited company,
having controlling interest against which any action is for
the time being pending under the Act or rules and Orders
made thereunder;
(g) the applicant fails to pay any penalty imposed on him
under the Act;
(h) the applicant has tampered with a licence;
(i) the applicant or any agent or employee of the applicant
with his consent has been a party to any corrupt or
fraudulent practice for the purposes of obtaining any
other licence;
(j) the applicant is not eligible for a licence in accordance with
any provision of the Policy;
(k) the applicant fails to produce any document called for by
the Director General or the licensing authority;
(l) in the case of a licence for import, no foreign exchange is
available for the purpose;
(m) the application has been signed by a person other than a
person duly authorised by the applicant under the
provisions of the Policy;
(n) the applicant has attempted to obtain or has obtained
cash compensatory support, duty drawback, cash
assistance benefits allowed to Registered Exporters or
any other similar benefits from the Central Government
or any agency authorised by the Central Government in
relation to exports made by him on the basis of any false,
fraudulent or misleading statement or any document
which is false or fabricated or tampered with.
(2) The refusal of a licence under sub-rule(1) shall be without prejudice
to any other action that may be taken against an applicant by the
licensing authority under the Act.
8. Amendment of licence
The licensing authority may of its own motion or on an application by the
licensee, amend any licence in such manner as may be necessary or to
20
rectify any error or omission in the licence.

9. Suspension of a licence
(1) The Director General or the licensing authority may by order in
writing, suspend the operation of a licence granted to -
(a) any person, if an order of detention has been made against
such person under the provisions of the Conservation of
Foreign Exchange and Prevention of Smuggling Activities
Act, 1974 (52 or 1974); or
(b) a partnership firm or a private limited company, if the person
referred to in clause (a) is a partner or a whole time director
or managing director, as the case may be, of such firm or
company:
Provided that the order of suspension shall cease to have
effect in respect of the aforesaid person or, as the case may
be, the partnership firm or company, when the order of
detention made against such person-
(i) being an order of detention to which the provisions of
section 9 of the Conservation of Foreign Exchange and
Prevention of Smuggling Activities Act, 1974 (52 of 1974)
do not apply, has been revoked on the report of Advisory
Board under section 8 of that Act or before receipt of the
report of the Advisory Board or before making a
reference to the Advisory Board; or
(ii) being an order of detention to which the provisions of
section 9 of the Conservation of Foreign Exchange and
Prevention of Smuggling Activities Act, 1974 (52 of 1974)
apply, has been revoked on the report of the Advisory
Board under section 8 read with sub-section (2) of
section 9 of that Act or before receipt of such report;
(iii) has been set aside by a court of competent jurisdiction.
(2) The Director General or the licensing authority may by an order in
writing suspend the operation of any licence granted under these
rules, where proceedings for cancellation of such licence has
been initiated under Rule 10.
10. Cancellation of a licence-
The Director General or the licensing authority may by an order in
writing cancel any licence granted under these rules if-
(a) the licence has been obtained by fraud, suppression of facts or
misrepresentation; or
(b) the licensee has committed a breach of any of the conditions
of the licence; or
(c) the licensee has tampered with the licence in any manner; or
(d) the licensee has contravened any law relating to customs or
foreign exchange or the rules and regulations relating
thereto.
11. Declaration as to value and quality of imported goods-
On the importation into, or exportation out of, any customs ports of any
goods, whether liable to duty or not, the owner of such goods shall in the
Bill of Entry or the Shipping Bill or any other documents prescribed under
the Customs Act 1962, state the value, quality and description of such
goods to the best of his knowledge and belief and in case of exportation of
goods, certify that the quality and specification of the goods as stated in
those documents, are in accordance with the terms of the export contract
entered into with the buyer or consignee in pursuance of which the goods
are being exported and shall subscribe a declaration of the truth of such
statement at the foot of such Bill of Entry or Shipping Bill or any other
21
documents.
12. Declaration as to Importer-exporter Code Number
On the importation into or exportation out of any Customs port of
any goods the importer or exporter shall in the Bill of Entry or Shipping Bill
or, as the case may be, in any other documents prescribed by rules made
under the Act or the Customs Act, 1962 (52 of 1962), state the Importer-
exporter Code Number allotted to him by the competent authority.
13. Utilisation of imported goods
(1) No person shall use any imported goods allotted to him by the
State Trading Corporation of India or any other agency recognised
by the Central Government in a manner and for the purpose,
otherwise than as declared by him in his application for such
allotment or in any document submitted by him in support of such
application.
(2) No person shall dispose of any goods imported by him against a
licence except in accordance with the terms and conditions of
such licence.
14. Prohibition regarding making, signing of any declaration,
statement or document-
(1) No person shall make, sign or use or cause to be made signed or
used any declaration, statement or document for the purposes of
obtaining a licence or importing any goods
knowing or having reason to believe that such declaration,
statement or document is false in any material particular.
(2) No person shall employ any corrupt or fraudulent practice for the
purposes of obtaining any licence or importing or exporting any
goods.
15. Power to enter premises and inspect, search and seize goods,
documents, things and conveyances.-
(1) Any person authorised by the Central Government under sub-
section (1) of section 10 (hereinafter called the authorised person)
may, at any reasonable time enter any premises in which-
(i) any imported goods or materials which are liable to confiscation
under the provision of the Act; or
(ii) any books of accounts or documents or things which, in his
opinion, will be useful for, or relevant to any proceedings
under the Act, are suspected to have been kept or concealed
and may inspect such goods, materials, books of accounts,
documents or things and may take such notes or extracts
therefrom as he may think fit.
(2) If the authorised person has reasons to believe that-
(i) any imported goods or materials liable to confiscation under the
Act; or
(ii) any books of accounts or documents or things which, in his
opinion, will be useful for, or relevant to, any proceedings
under the Act, are secreted in any premises he may enter into
and search such premises for such goods, materials, books
of accounts, documents or things.
(3) (a) If the authorised person has reason to believe that any
imported goods or materials are liable to confiscation under
the Act, he may seize such goods or materials together with
the package, covering or receptacle, if any, in which such
goods or materials are found to have been mixed with any
other goods or materials;
Provided that where it is not practicable to seize any
such goods or materials, the authorised person may
22
serve on the owner of the goods or materials an order

that he shall not remove, part with or otherwise deal with
the goods or materials except with the previous
permission of the authorised person.
(b) Where any goods or materials are seized under clause (a)
and no notice in respect thereof is given within six months of
the seizure of the goods or materials, the goods or materials
shall be returned to the person from whose possession they
were seized.
Provided that the aforesaid period of six months may, on
sufficient cause being shown, be extended by the
Director General for a further period not exceeding six
months.
(c) The authorised person may seize any books of accounts or
documents or things which in his opinion, will be useful for, or
relevant to, any proceedings under the Act.
(d) The person from whose custody any documents are seized
under this sub-rule, shall be entitled to make copies thereof or
take extracts therefrom in the presence of the authorised
person.
(e) If any person legally entitled to the books of account or other
documents or things seized under this sub-rule objects, for
any reason, the retention by the authorised person of the
books of account or the documents or things, he may move
an application to the Central Government stating therein the
reasons for such objection, request for the return of the books
of account or documents or things.
(f) On receipt of the application under clause (e), the Central
Government may, after giving the applicant an opportunity of
being heard, pass such order as it may think fit.
(g) Where any document is produced or furnished by any person
or has been seized from the custody or control of any person
under the Act or has been received from any place outside
India in the course of the investigation for any contravention
referred to in section 11 by any person and such document is
tendered in evidence against the person by whom it is
produced or from whom it was seized or against such person
or any other person who is jointly proceeded against, the
Adjudicating Authority, shall, notwithstanding anything to the
contrary contained in any other law for the time being in
force,-
(i) presume, unless the contrary is proved, that the signature
and every other part of such document which purports to
be in the handwriting of any particular person of which
the Adjudicating Authority may reasonably assume to
have been signed by or to be in the handwriting of any
particular person, is under the person's handwriting, and
in the case of a document executed or attested, it was
executed or attested by the person by whom it purports
to have been so executed or attested;
(ii) admit the document in evidence notwithstanding that it is
not duly stamped, if such document is otherwise
admissible in evidence.
(4) The authorised person, may, if he has reason to suspect that any
conveyance or animal is being or is about to be used for the
transportation of any imported goods or material which are liable
23
to confiscation under the Act, and that by such transportation any

provision of the Act has been, is being or is about to be
contravened at any time, stop such conveyance or animal or in
the case of aircraft compel it to land, and -
(a) rummage and search the conveyance or any part thereof;
(b) examine and search any goods or material in the conveyance
or on the animal;
(c) if it becomes necessary to stop any conveyance or animal, he
may use all lawful means for stopping it and where such
means fail, the conveyance or animal may be fired upon.
and where he is satisfied that it is necessary so to do to
prevent the contravention of any provision of the Act or of the
rules and orders made thereunder or the Policy or condition
of any licence, he may seize such conveyance or animal.
Explanation- Any reference in this rule to a conveyance shall, unless the
context otherwise requires, be construed as including a
reference to an aircraft, vehicle or vessel.
16. Settlement-
(1) The Adjudicating Authority may determine the amount of settlement
to be paid by the person to whom a notice has been issued and
who has opted for settlement and has admitted the contravention
specified in the notice, in the following cases, namely:-
(i) where it is of the opinion that the contravention of any provision
of the Act or these rules or the Policy has been made without
mens rea or without wilful mistake or without suppression of
facts, or without any collusion, or without fraud and forgery, or
without an intent to cause loss of foreign exchange; or
(ii) where the person importing the goods has not met the
requirements of the actual user conditions as specified in the
Policy and has not misutilised the said imported goods; or
(iii) where the person importing the goods has not fulfilled the
export obligation and has not mis-utilised the said imported
goods.
(2) Where a person has opted for settlement under sub-rule (1) the
settlement made by the Adjudicating Authority shall be final.
17. Confiscation and redemption-
(1) any imported goods or materials in respect of which
(a) any condition of the licence, or letter of authority under which
they were imported, relating to their utilisation or distribution ;
or
(b) any condition, relating to their utilisation or distribution, subject
to which they were received from or through, an agency
recognised by the Central Government; or
(c) any condition imposed under the Policy with regard to the sale
or disposal of such goods or materials;
has been, is being, or is attempted to be, contravened, shall
together with any package, covering or receptacle in which
such goods are found, be liable to be confiscated by the
Adjudicating Authority, and where such goods or materials
are so mixed with any other goods or materials that they
cannot be readily separated, such other goods or materials
shall also be liable to be so confiscated:
Provided that where it is established to the satisfaction of
the Adjudicating Authority that any goods or materials
which are liable to confiscation under this rule, had been
imported for personal use, and not for any trade or
24
industry, such goods, or materials shall not be ordered to

be confiscated.
(2) The Adjudicating Authority may permit the redemption of the
confiscated goods or materials upon payment of redemption
charges equivalent to the market value of such goods or
materials.
18. Confiscation of conveyance-
(1) Any conveyance or animal which has been, is being, or is
attempted to be used, for the transport of any goods or materials
that are imported and which are liable to confiscation under rule
17, shall be liable to be confiscated by the Adjudicating Authority
unless the owner of the conveyance or animal proves that it was,
is being, or is about to be so used without the knowledge or
connivance of the owner himself, his agent, if any, and the person
in-charge of the conveyance or animal and that each of them had
taken all reasonable precautions against such use.
(2) The Adjudicating Authority shall permit redemption of the
confiscated conveyance or animal used for the transport of goods
or passengers for hire upon payment of redemption charges
equivalent to the market value of such conveyance or animal.
[File No. 21/11/92-LS]

Dr. P.L. SANJEEV REDDY.
Director General
Foreign Trade and Ex-Officio Addl. Secy.
25
SCHEDULE
(See rule 5)
The following fee shall be leviable in respect of the application for
an import licence etc.
SCALE OF FEE
S.No. Particulars Amount of Fee
1 2 3
1. Where the value of goods Rupees two
specified in application does hundred
not exceed Rupees fifty
thousand.
2. Where the value of the goods Rupees two per thousand
specified in the application thereof subject to a minim
exceeds Rupees fifty thousand rupees two hundred.
but does not exceed Rupees
one crore.
3. Where the value of the goods Rupees two per thousand
specified in the application thereof subject to a maximum
exceeds rupees one crore one lakh and fifty thousand.
4. Application for grant of Rupees two hundred
duplicate licence
5. In case where import licence Rupees two hundred
and other correspondence are
required by Speed Post.
6. Application for issue of an Rupees two hundred
Identity Card.
7. Application for issue of Rupees one hundred
duplicate Identity Card in the
event of loss of original Card.
8. Extension of the period of Rupees two hundred
shipment of an Import licence
9. Application for grant split-up Rupees one thousand per S
licences licence
Note- The amount of fee payable shall be rupees two hundred in respect of
an application for import licence by a small scale actual user or a
registered exporter, for the import of raw materials, components
and spares where the value of the goods specified in the
application does not exceed rupees two lakhs.
(Note: - In case of any discrepancy in this version from that published in

Gazette notification, the Gazette copy shall be deemed to be the correct/
official copy.)
26
Foreign Trade (Exemption from application of Rules in certain cases) Order, 1993
MINISTRY OF COMMERCE
(Director General of Foreign Trade)
ORDER
New Delhi the 31st December,1993
S.O. 1056(E)- In exercise of the powers conferred by section 3, read with section 4, of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992) and in supersession of the Imports (Control) Order, 1955 and
the Exports (Control) Order, 1988, except as respects things done or omitted to be done before such supersession,
the Central Government hereby makes the following order, namely:-
1. Short title and commencement.
(1) This Order may be called the Foreign Trade (Exemption from application of Rules in certain cases) Order,
1993,
(2) It shall come into force on the date of its publication in the Official Gazette.
2. Definitions.
In this order, unless the context otherwise requires:-
(a) "Act" means the Foreign Trade (Development and Regulation) Act, 1992 (22 of 1992);
(b) "Import Trade Regulations" means the Act and the rules and order made thereunder and the export and
import policy;
(c) "Rules" means the Foreign Trade (Regulation) Rules, 1993;
(d) Words and expressions used in this Order and not defined but defined in the Act shall have the
meanings respectively assigned to them in the Act.
3. Exemption from the application of rules.-
(1) Nothing contained in the Rules shall apply to the import of any goods,
(a) by the Central Government or agencies, undertakings owned and controlled by the Central Government
for Defence purposes;
(b) by the Central Government or any State Government, Statutory Corporation, public body or Government
Undertaking run as a joint Stock Company through the agency of the Purchase Organisations of the
Ministry of Supply, that is, India Supply Mission, London and India Supply Mission, Washington;
(c) by the Central Government, any State Government or any statutory corporation or public body or
Government Undertaking run as a joint Stock Company, orders in respect of which are placed through
the Directorate General Supplies and Disposals, New Delhi;
(d) by transshipment or imported and bonded on arrival for re-export as ships stores to any country outside
India except Nepal and Bhutan or imported and bonded on arrival for re-export as aforesaid but
subsequently released for use of Diplomatic personnel, Consular Officers in India and the officials of the
United Nations Organisation and its specialised agencies who are exempt from payment of duty under
the notification of the Government of India in the Ministry of Finance (Department of Revenue) No. 3
th
dated 8 January, 1957 and the United Nations (Privileges and Immunities) Act, 1947 (46 of 1947)
respectively;
(e) imported and bonded on arrival for sale at approved duty-free shops, whether to outgoing or incoming
passengers, against payments in free foreign exchange;
(f) which are in transit through India by post or otherwise, or are redirected by post or otherwise to a
destination outside India, except Nepal and Bhutan provided that such goods, while in India, are always
in the custody of the postal or customs authorities;
(g) for transmission across India by air to Afghanistan or by land to any other country outside India, except
Nepal and Bhutan under claim for exemption from duty or for refund of duty either in whole or in part:
Provided that such goods are imported by or on behalf of the Government or a country bordering
on India or that the importer undertakes to produce within a specified period evidence that such goods
have crossed the borders of India or in default to pay such penalty as the proper officer of customs may
deem fit to impose on such goods:
Provided further that nothing contained in this item will exempt any goods from the Import Trade
Regulations;
27
(h) by the person as passenger baggage to the extent admissible under the Baggage Rules for the time
being in force except quinine exceeding five hundred tablets or 1/3 lb powder or one hundred ampoules:
Provided that in the case of imports by a tourist, articles of high value whose reexport is obligatory
under rule 7 of the tourist Baggage Rules, 1978 shall be re-exported on his leaving India, failing
which such goods shall be deemed to be goods of which the import has been prohibited under the
Customs Act, 1962 (52 of 1962):
Provided further that the import of gold in any form including ornaments (but excluding ornaments
studded with stones or pearls) will be allowed as part of baggage by passengers of Indian origin or
a passenger holding a valid passport issued under the passports Act, 1967 (15 of 1967) subject to
the following conditions namely:-
(a) that the passenger importing the gold is coming to India after a period of not less than six
months of stay abroad;
(b) the quantity of gold imported shall not exceed 5 kilograms per passenger;
(c) import duty on gold shall be paid in convertible foreign currency; and
(d) there will be no restriction on sale of such imported gold;
(i) by any person through the post or otherwise for his personal use, or by any institution or hospital for its
use except-
(a) vegetable seeds exceeding one lb. in weight;
(b) bees;
(c) tea;
(d) books, magazines, journals and literature which are not allowed to be imported under the policy for
the time being in force;
(e) goods, the import of which is canalised under the Policy;
(f) alcoholic beverages;
(g) fire arms and ammunition;

(h) consumer electronic items (except hearing aids and life-saving equipments, apparatus and
appliances and parts thereof ) : Provided that the c.i.f. value of goods imported as aforesaid at any
one time shall not exceed rupees two thousand.
(j) by or on behalf of diplomatic personnel, consular officers and Trade Commissioners in India who are
th
exempted from payment of Customs duty under Notification No. 3 dated the 8 January, 1957 of the
Government of India in the Ministry of Finance (Department of Revenue);
(k) from any country, which are exempted from Customs duty on re- importation under section 20 of the
Customs Act, 1962 (52 of 1962) or under Customs Notification Nos. 113 dated 16th May, 1957, 103
dated 25th March, 1958, 260 and 261 dated 11th October, 1958, 269, 271, 273, 274, 275 and 276 dated
th
25 October, 1958 and 204 dated 2nd August, 1976, of the Government of India, Ministry of Finance
th
(Department of Revenue), or Notification No. 174 dated the 24 September, 1966 or Notification No. 103
dated the 16th May, 1978, of the Government of India, Ministry of Finance (Department of Revenue and
Insurance) or Notification No. 80 dated 29th August, 1970;
(l) of Indian manufacture and foreign made parts of such goods, exported and received back by the
manufacture from the consignee for repair and re-export: Provided that
(i) the customs authorities are satisfied that the goods received back by the said manufacturers are
the same which were so exported; and
(ii) in the case of goods other than those exempted from customs duty on re-importation under
th
Customs Notification No. 132 dated 9 December, 1961 a bond is executed by the importer with
the customs authority at the port concerned to the effect that the goods thus imported will be re-
exported after repair within six months;
(m) by officials of the United Nations Organisation and its specialised agencies who are exempted from
payment of Customs duty under the United Nations ( Privileges and Immunities) Act, 1947 (46 of
1947);
(n) by the Ford Foundation who are exempt from payment of Customs duty under an Agreement entered
into between the Government of India and the Ford Foundation;
(o) being vehicles as defined in Article I of the Customs Convention on the Temporary Importation of
Private Road Vehicles or the component parts thereof referred to in Article 4 of the said Convention and
28
which are exempted from payment of customs duty under the notification of the Government of India in
the Ministry of Finance (Department of Revenue) No. 296 dated the 2nd August, 1976:
Provided that
(i) such vehicles or component parts are reexported within the period specified in the said
notification or within such further period as the customs authorities may allow;
(ii) the provisions of the said notification or of the "triptyque or Carnel-De-Passage" permit are
not contravened in relation to such vehicle or component parts:
Provided further that nothing contained in this item shall prejudice the application to the said
vehicles or component parts of any other prohibition or regulation affecting the import of goods that
may be in force at the time of import of such goods;
(p) being goods imported temporarily for display or use in fairs, exhibitions or similar events specified in
Schedule I to the notification of the Government of India in the Ministry of Finance (Department of
Revenue) No.157/90/CUSTOMS, dated the 28th March, 1990 against ATA carnets under the Customs
Convention on the ATA Carnets for temporary admission of goods (ATA Convention) done at Brussels
on the 30th July, 1963:
Provided that
(i) such goods are exported within a period of six months from the date of clearance or such
extended period as the Central Government may allow in each case; and
(ii) the provisions of the said notification or of the ATA convention are not contravened:
Provided further that nothing contained in this item shall prejudice the application to the said goods
of any other prohibition or regulation affecting the import of goods that may be in force at the time of
import of such goods;
(q) covered by an import licence issued by His Majesty's Government of Nepal and the importer furnishes a
bond to the proper officer of customs in the form prescribed by such officer with a Scheduled Bank as
surety to the effect that he shall pay the duty and pay penalty imposed for contravening Import Trade
Regulations in respect of the whole or any portion of the goods which is not proved to have entered the
territory of Nepal;
(r) of Indian manufacture or by the Central Government or any State Government for repair and re-export to
Indian Embassies abroad or to any other office of the Central Government or State Government in a
foreign country;
(s) being food grains, by Food Corporation of India:
Provided that at the time of clearance, a declaration to the effect that the import in question has been
approved by the Central Government is furnished by the importer to the Customs authorities;
(t) being articles of food and edible material, which are supplied as free gift by the agencies approved by
the United Nation Organisation and which are exempted from payment of customs duty under the
Notification of Government of India in the Ministry of Finance (Department of Revenue) No. GSR 766
dated 21st June, 1975.
(2) Nothing contained in the Rules shall apply to -
(a) any goods exported by or under the authority of the Central Government;
(b) any goods other than food-stuffs constituting the stores or equipment of any outgoing vessel or
conveyance;
(c) any goods constituting the bona fide personal baggage of any person, including a passenger or member
of a crew in any vessel or conveyance, going out of India:
Provided that the Wild Life (dead, alive or part thereof or produce therefrom) shall not be treated as
part of such personal baggage;
(d) any goods exported by post or by air under the conditions specified in postal notice issued by the Postal
Authorities;
(e) any goods transhipped at a port in India after having been manifested for such transshipment at the time
of despatch from a port outside India;
(f) any goods imported and bonded on arrival in India for re-export to any country outside India, except
Nepal and Bhutan;
(g) any goods in transit through India by post or any goods redirected by post to a destination outside
India except Nepal and Bhutan;
Provided that such goods, while in India, are always in the custody of the postal authorities;
(h) any goods imported without a valid import licence and exported in accordance with an order for the
export of such goods made by the proper officer of Customs;
29
(i) products approved for manufacture in and export from the respective free Trade Zones/Export
Processing Zones and 100 per cent Export Oriented Units except textile item covered by bilateral
agreements, exports to Rupee Payment countries under the Annual Trade Protocol and Exports
against payment in Indian Rupees to former Rupee payment countries;
Provided that conditions imposed in the latter of approval/letter of indent on Export Oriented Unit or
Export Processing Zone will be binding on such a unit;
(j) export of Blood group Oh (Bombay Phonotype) meant for scientific research or emergency medical
treatment as life saving measure on humanitarian grounds by the Director, National Blood Group
Reference Laboratory, Bombay on the basis of a certificate issued by him to this effect in each case;
(k) export of samples of lubricating oil additives, Lube Oil, crude oil and other related petroleum products
and raw materials used to manufacture Lube Additives by Lubrizols India Limited, Hindustan Petroleum
Corporation Limited and Bharat Petroleum Corporation Limited, from their installation in India to
Lubrizol's Laboratories in the United States of America and the United Kingdom for evaluation and
testing purposes.
[File No. 21/11/92-LS]

DR. P. L. SANJEEV REDDY,
Director General of Foreign Trade and
Ex-Offcio Addl. Secy.
(Note: - In case of any discrepancy in this version from that published in Gazette notification, the Gazette copy shall
be deemed to be the correct/ official copy.)
30
NOTIFICATION
New Delhi, the 31st December, 1993
S.O. 1057(E)- In exercise of the powers conferred by sub- section(1) of section 10 of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992), the Central government hereby authorises the officers
Specified in the Table below to exercise powers with respect to entering such premises and searching, inspecting
and seizing of such goods, documents, things and conveyances as are specified in rule 17 of the Foreign Trade
(Regulation) Rules, 1993, subject to the requirements prescribed therein.
Table
S.No. Designation of officer
1. Director General of Foreign Trade
2. Additional Director General of Foreign Trade
3. Joint Director General of Foreign Trade
4. Deputy Director General of Foreign Trade
5. Assistant Director General of Foreign Trade
6. Controller of Imports and Exports
[File No. 21/11/92-LS]

Director General of Foreign Trade
and Ex-Offcio Addl. Secy.
31
NOTIFICATION
New Delhi, dated the 17th April 2009
S.O. (E) In exercise of the powers conferred by section 13 of the Foreign Trade (Development and Regulation)
Act, 1992 (22 of 1992) and in supersession of Notification S.O.24(E) dated 20th January 1999 as amended vide
Notification S.O. 194(E) dated 6th March 2000 and Notification S.O.1534 (E) dated 14th September 2006, except as
respects things done or omitted to be done before such supersession, the Central Government hereby authorizes
the officers specified in column 2 of the table below for the purposes of exercising powers under Section 13 read with
Section 11, subject to the limits specified against such officers in the corresponding entry in column 3 of the said
Table, namely:-
Table
Sl No Designation of Officer Value of the goods in relation to
which the power may be exercised
1 Additional Director General of Foreign Trade Without limit
2 Zonal Jt. Director General of Foreign Trade/ Export Up to Rs. 50 crores
Commissioner
3 Joint Director General of Foreign Trade Up to Rs. 25 crores
4 Deputy Director General of Foreign Trade Up to Rs. 10 crores
5 Assistant Director General of Foreign Trade Up to Rs. 2 crores
6 Foreign Trade Development Officer Up to Rs. 1 crore
7 Development Commissioner, Special Economic Without limit in respect of Export

Zones
Oriented Units and units in
special Economic Zones
This issues in public interest
(Issued from F 18/27/HQ/06-07/ECA-II)
(R S Gujral)
and Ex-Officio Additional Secretary to Government of India
32
NOTIFICATION
New Delhi, the 31st December,1993
S.O. 1059(E), In exercise of the powers conferred by clause (b) of sub-section(1) of section 15 of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992), the Central Government hereby authorises the officers
specified in column 3 of the Table below to function as Appellate Authority against the orders passed by the
Adjudicating Authorities authorised by the Central Government under section 13 of the said Act and specified in
column 2 of the said Table.
Sl No Designation of Adjudicating Authority Appellate Authority
1 Foreign Trade Development Officer
2 Assistant Director General of Foreign Trade Additional Director General of

Foreign Trade
3 Deputy Director General of Foreign Trade
4 Joint Director General of Foreign Trade
5 Additional Director General of Foreign Trade Additional Secretary in the Ministry

of Commerce aided by two Joint
Secretaries and a Director of that
Ministry.
[File No. 21/11/92-LS]

Director General of Foreign Trade and
Ex-Offcio Addl. Secy.
33
NOTIFICATION
New Delhi, the 6th March, 2000
S.O.193(E).- In exercise of the powers conferred by clause (b) of sub-section(1) of section 15 of the Foreign Trade
(Development and regulation) Act,1992 (22 of 1992), the Central Government hereby authorises the officers
specified in column (3) of the table below to function as Appellate Authority against the orders passed by the
Adjudicating Authorities authorised by the Central Government under section 13 of the said Act and specified in
column (2) of the said Table, and makes the following amendments in the notification of the Government of India in
the Ministry of Commerce No.S.O.1059(E), dated the 31st December, 1993, namely :-
In the said notification in the table, after serial number 5 and the entries relating thereto, the following serial number
and the entries shall be inserted, namely :-
1 2 3
6 Development Commissioner Export Processing Additional Secretary in the Ministry of

Zone Commerce aided By two Joint Secretaries &
a Director of that Ministry
[F.No. 18/9/97-98/ECA-III/I]
N.L.Lakhanpal, Director General of

Foreign Trade & Ex-Officio Addl.Secretary.
34
TO BE PUBLISHED IN THE GAZETTE OF INDIA, EXTRAORDINARY, PART II SECTION 3, SUB-SECTION (ii)
GOVERNMENT OF INDIA
DEPARTMENT OF COMMERCE
NOTIFICATION No. 20 (RE-2013)/2009-2014
New Delhi, dated the 13th June, 2013
S.O. (E), In exercise of the powers conferred by section 13 of the Foreign Trade (Development and Regulation)
Act, 1992 (22 of 1992) and in supersession of the earlier Notifications mentioned below, the Central Government
hereby authorizes the officers specified in column 2 of the table below for the purposes of exercising powers under
Section 13 read with Section 11 of the FT(DR) Act, 1992, subject to the limits specified against such officers in the
corresponding entry in column 3 of the said Table, namely:-
TABLE
S. No Designation of Officer Value of goods or services or technology covered

by an authorization issued, registration certificate/
permits issued for import or export or in respect
of goods or services or technology for which
import or export is permitted without any
authorization
1. Additional Director General of Foreign Trade Without limit
2. Joint Director General of Foreign Trade Up to Rs.25 crores
3. Deputy Director General of Foreign Trade/ Up to Rs.10 crores

Assistant Director General of Foreign Trade
4. Development Commissioner, Special Without limit in respect of Export Oriented Units and
Economic Zones units in Special Economic Zones
5. Designated Officer, Department of Without limit in respect of units in Software

Electronics & Information Technology Technology Parks (STPs) and Electronics Hardware
Technology Parks (EHTPs).
Previous Notifications which stand superseded:
1. Notification S.O.24(E) dated 20th January 1999

2. Notification S.O. 194(E) dated 6th March 2000
3. Notification S.O. 106(E) 30th January, 2006
4. Notification S.O. 1534 dated 14th September, 2006
5. Notification S.O. (E) dated 17th April, 2009
(Anup K. Pujari)
35
(Issued from File No.01/69/594/007/2008/OM1/O&M)
GOVERNMENT OF INDIA
New Delhi, dated the 13th June, 2013
S.O., In exercise of the powers conferred by clause (b) of sub-section (1) of Section 15 of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992) and in supersession of the earlier Notifications referred below,
the Central Government hereby authorizes the officers specified in column 3 of the Table below to function as
Appellate Authority against the orders passed by the Adjudicating Authorities authorized by the Central Government
under section 13 of the said Act and specified in column 2 of the said Table:-
TABLE
S.No Designation of Adjudicating Authority Appellate Authority
1. Assistant Director General of Foreign Trade
2. Deputy Director General of Foreign Trade
3. Joint Director General of Foreign Trade Additional Director General of Foreign Trade
5. Development Commissioner, Special A Bench of two Additional Director General of Foreign

Economic Zones Trade in the Directorate General of Foreign Trade to
be so constituted by the Director General.
6. Designated Officer, Department of
Electronics & Information Technology
Earlier Notifications:
1. Notification S.O. 1059(E) dated 31st December, 1993.

2. Notification S.O. 193(E) dated 6th March, 2000.
(Anup K. Pujari)
(File No.01/69/594/007/2008/OM1/O&M)
36
GOVERNMENT OF INDIA
New Delhi, dated the 5th December, 2014
S.O, In exercise of the powers conferred by clause (b) of sub-section (1) of Section 15 of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992) and in supersession of the earlier Notifications referred below,
the Central Government hereby authorizes the officers specified in column 3 of the Table below to function as
Appellate Authority against the orders passed by the Adjudicating Authorities authorized by the Central Government
under Section 13 of the said Act and specified in column 2 of the said Table:-
TABLE
Sl. Designation of Adjudicating Authority Appellate Authority

No.
1 Assistant Director General of Foreign Trade
2. Deputy Director General of Foreign Trade Additional Director General of Foreign Trade
3. Joint Director General of Foreign Trade
5. Development Commissioner, Special Economic Director General of Foreign Trade aided by one
Zones Addl. DGFT in the Directorate General of Foreign
6. Designated Officer, Department of Electronics & Trade.
Information Technology
Earlier Notifications which stand superseded:
1. Notification S.O. 1059(E) dated 31st December, 1993.

2. Notification S.O. 193(E) dated 6th March, 2000.
3. Notification No. 21 (RE-2013)/2009-2014 dated 13th June, 2013.
(Pravir Kumar)
37
(File No.01/69/594/007/2008/OM1/O&M)
ORDER
S.O. 1060(E), In exercise of the powers conferred by sub-sections (2) and (4) of section 9 of the Foreign Trade
(Development and Regulation) Act, 1992 (22 of 1992), the Director General authorises the officers mentioned in the
Table below to grant or renew or refuse to grant or renew or to suspend or to cancel a licence for the purposes of
import or export of goods.
Table
Sl No The Designation of the Officers The Territorial areas in respect of
which the jurisdiction is to be
exercised
1 Additional Director General of Foreign Trade Throughout India
2 The Export Commissioner Throughout India
3 The Joint Director General of Foreign Trade
(a) In the Headquarters office of the Director General of Throughout India

Foreign Trade
(b) In the Regional Licensing Authority Respective territorial jurisdiction of

such authority.
4 The Deputy Director General of Foreign Trade

Foreign Trade

such authority
5 The Assistant Director General of Foreign Trade

Foreign Trade

such authority
6 The Controller of Imports and Exports:

Foreign Trade
38

such authority
7 The Development Commissioner/ Respective territorial jurisdiction of

such authority.
Joint Development Commissioner/
Deputy Development Commissioner/
of a Free Trade Zone or an Export
Processing Zone.
[File No. 21/11/92-LS]

39
ORDER
S.O. 1061(E), In exercise of the powers conferred by sections 7 of the Foreign Trade (Development and Regulation)
Act, 1992 (22 of 1992), the Director General authorises the officers mentioned in the Table below to grant importer
exporter Code number in accordance with the provisions of the aforesaid section.
Sl The Designation of the Officers The Territorial areas in respect of which

No the jurisdiction is to be exercised
1 Additional Director General of Foreign Trade Throughout India
2 The Export Commissioner Throughout India
3 The Joint Director General of Foreign Trade

Foreign Trade
(b) In the Regional Licensing Authority Respective territorial jurisdiction of such

authority.
4 The Deputy Director General of Foreign Trade

Foreign Trade

authority
5 The Assistant Director General of Foreign Trade

Foreign Trade

authority
6 The Controller of Imports and Exports:

Foreign Trade

authority
7 The Development Commissioner/ Respective territorial jurisdiction of such

authority.
40
Joint Development Commissioner/
Deputy Development Commissioner/
of a Free Trade Zone or an Export
Processing Zone.
[File No. 21/11/92-LS]

Director General of Foreign Trade.
41
[To be Published in the Gazette of India, Extraordinary,Part II, Section 3, Sub-Section (i) of dated the 24th May, 2012]
GOVERNMENT OF INDIA
(DEPARTMENT OF COMMERCE)
NOTIFICATION
NEW DELHI, THE 24th May, 2012
G.S.R. 381(E).--- In exercise of the powers conferred by sub-section (3) of section 9A of the Foreign Trade
(Development and Regulation) Act 1992 (22 of 1992), the Central Government hereby makes the following rules,
namely .--
1. Short title and commencement .-- (1) These rules may be called the Safeguard Measures (Quantitative
Restrictions) Rules, 2012.
(2) They shall come into force on the date of their publication in the Official Gazette.
2. Definitions .-- (1) In these rules, unless the context otherwise requires, --
(a) Act means the Foreign Trade (Development and Regulation) Act, 1992 (22 of 1992);
(b)Authorised Officer means the Authorised Officer designated as such under sub-rule(1) of rule 3;
(c) increased quantity includes increase in import whether in absolute terms or relative to domestic production;
(d) interested party includes -
i. an exporter or foreign producer or the importer of goods (which is subject to investigation for
purposes of imposition of safeguard quantitative restrictions) or a trade or business association,
majority of the members of which are producers, exporters or importers of such goods;
ii. the Government of the exporting country; and

iii. a producer of the like goods or directly competitive goods in India or a trade or business
association, a majority of members of which produce or trade the like goods or directly
competitive goods in India;
(e) "like goods" means goods which is identical or alike in all respects to the goods under investigation, or in the
absence of such goods, other goods which has characteristics closely resembling those of the goods under
investigation;
(f) "quantitative restrictions" means any specific limit on quantity of goods imposed as a safeguard measure
under the Act;
(g) specified country means a country or territory which is a member of the World Trade Organization and
includes the country or territory with which the Government of India has an agreement for giving it the most
favoured nation treatment;
(2) The words and expressions used herein and not defined, but defined in the Act shall have the
meanings respectively assigned to them in the Act.
42
3. Responsibility of Authorised Officer for making enquiry in respect to safeguard quantitative restrictions
. (1) The Central Government shall, by notification in the Official Gazette, designate an officer not below the
rank of Additional Director General of Foreign Trade as an Authorised officer for making investigation for the
purpose of this rules.
(2) The Authorised Officer shall be responsible for conducting investigation, under sub-section (1) of section
9A, for the purpose of imposition of safeguard quantitative restrictions and making necessary recommendation
therein to the Central Government.
(3) The Directorate General of Foreign Trade shall provide secretarial support and the services of such other
persons and such other facilities as it deems fit.
4. Duties of Authorised Officer .-- It shall be the duty of the Authorised Officer --
(a) to investigate the existence of serious injury or threat of serious injury to domestic industry as a
consequence of increased import of a goods into India;
(b) to identify the goods liable for quantitative restrictions as a safeguard measure;
(c) to submit its findings, to the Central Government as to the serious injury or threat of serious injury to
domestic industry consequent upon increased import of goods into India from the specified country;
(d) to recommend--
(i) the nature and extent of quantitative restrictions which, if imposed, shall be adequate to remove
the serious injury or threat of serious injury to the domestic industry; and
(ii) the duration of imposition of safeguard quantitative restrictions and where the period so
recommended is more than one year, to recommend progressive liberalisation adequate to
facilitate positive adjustment; and
(e) to review the need for continuance of the safeguard quantitative restrictions.
5. Initiation of investigation.--- (1) The Authorised Officer shall, on receipt of a written application by or on behalf of
the domestic producer of like goods or directly competitive goods, initiate an investigation to determine the existence
of serious injury or threat of serious injury to the domestic industry, caused by the import of a goods in such
increased quantities, absolute or relative to domestic production.
(2) The application referred to in sub-rule (1) shall be made in Form appended to these rules and be supported
with-
(a) the evidence of -
(i) increased imports as a result of unforeseen development;
(ii) serious injury or threat of serious injury to the domestic industry; and
43
(iii) a causal link between imports and the alleged serious injury or threat of serious injury;
(b) a statement on the efforts being taken, or planned to be taken, or both, to make a positive
adjustment to increase in competition due to imports; and
(c) a statement mentioning whether an application for the initiation of a safeguard action on the goods
under investigation has also been submitted to the Director General of Safeguards, Department
of Revenue.
(3) The Authorised Officer shall not initiate an investigation pursuant to an application made under sub-rule (1),
unless, it examines the accuracy and adequacy of the evidence provided in the application and satisfies
himself that there is sufficient evidence regarding--
(a) increased imports;
(b) serious injury or threat of serious injury; and
(c) a causal link between increased imports and alleged serious injury or threat of serious Injury.
(4) Notwithstanding anything contained in sub-rule (1), the Authorised Officer may initiate an investigation suo
moto, if, it is satisfied with the information received from any source that sufficient evidence exists as
referred to in clause (a), clause (b) or clause (c) of sub-rule (3).
6. Principles governing investigations. (1) The Authorised Officer shall, after it has decided to initiate
investigation to determine serious injury or threat of serious injury to domestic industry, consequent upon the
increased import of a goods into India, issue a public notice notifying its decision which, inter alia, contain information
on the following, namely:-
a. the name of the exporting countries, the goods involved and the volume of import;
b. the date of initiation of the investigation;
c. a summary statement of the facts on which the allegation of serious injury or threat of serious injury
is based;
d. reasons for initiation of the investigation;
e. the address to which representations by interested parties should be directed; and
f. the time-limits allowed to interested parties for making their views known.
(2) The Authorised Officer shall forward a copy of the public notice to the Central Government in the Ministry of
Commerce and Industry and other Ministries concerned, known exporters of the goods, the Governments of
the exporting countries concerned and other interested parties.
(3) The Authorised Officer shall also provide a copy of the application referred to in sub-rule (1) of rule 5, to--
(a) the known exporters, or the concerned trade association;
(b) the Governments of the exporting countries; and

44
(c) the Central Government in the Ministry of Commerce and Industry:
Provided that the Authorised Officer shall also make available a copy of the application, upon request in
writing, to any other interested person.
(4) The Authorised Officer may issue a notice calling for any information in such form as may be specified in the
notice from the exporters, foreign producers and governments of exporting countries and such information
shall be furnished by such persons and governments in writing within thirty days from the date of receipt of the
notice or within such extended period as the Authorised Officer may allow on sufficient cause being shown.
Explanation.--For the purpose of this rule, the public notice and other documents shall be deemed to have
been received one week after the date on which these documents were put in the course of transmission to
the interested parties by the Authorised Officer.
(5) The Authorised Officer shall provide opportunity to the industrial user of the goods under investigation and to
representative consumer organisations in cases where the goods is commonly sold at retail level to furnish
information which is relevant to the investigation including inter alia, their views if imposition of safeguard
quantitative restrictions is in public interest or not.
(6) The Authorised Officer may allow an interested party or its representative to present the information relevant
to investigation orally but such oral information shall be taken into consideration by the Authorised Officer only
when it is subsequently submitted in writing.
(7) The Authorised Officer shall make available the evidence presented to it by one interested party to all other
interested parties, participating in the investigation.
(8) In case where an interested party refuses access to or otherwise does not provide necessary
information within a reasonable period or significantly impedes the investigation, the Authorised Officer may
record its findings on the basis of the facts available and make such recommendations to the Central
Government as it deems fit under such circumstances.
7. Confidential information -- (1) Notwithstanding anything contained in sub-rules (1), (3) and (7) of rule 6,
and sub-rule (5) of rule 9, any information which is by nature confidential or which is provided on a confidential basis
shall, upon cause being shown, be treated as such by the Authorised Officer and not be disclosed without specific
authorisation of the party providing such information.
(2) The Authorised Officer may require the parties providing information on confidential basis to furnish
non confidential summary thereof and if, in the opinion of the party providing such information, such
information cannot be summarised, such party may submit to the Authorised Officer a statement of
reasons why summarisation of such information is not possible.
(3) Notwithstanding anything contained in sub-rule (2), if the Authorised Officer is satisfied that the request
for confidentiality is not warranted or the supplier of the information is unwilling either to make the
information public or to authorise its disclosure in a generalised or summary form, it may disregard
such information unless it is demonstrated to its satisfaction from appropriate sources that such
information is correct.
8. Determination of serious injury or threat of serious injury.-- The Authorised Officer shall determine
45
serious injury or threat of serious injury to the domestic industry taking into account, inter alia, the following
principles, namely:-
(a) in the investigation to determine whether increased imports have caused or are threatening to
cause serious injury to a domestic industry, the Authorised Officer shall evaluate all relevant
factors of an objective and quantifiable nature having a bearing on the situation of that industry, in
particular, the rate and amount of the increase in imports of the goods concerned in absolute and
relative terms, the share of the domestic market taken by increased imports, changes in the level
of sales, production, productivity, capacity utilisation, profits and losses, and employment; and
(b) the determination referred to in clause (a) shall not be made unless the investigation
demonstrates, on the basis of objective evidence, the existence of the causal link between
increased imports of the goods concerned and serious injury or threat thereof:
Provided that when factors other than increased imports are causing injury to the domestic industry
at the same time, such injury shall not be attributed to increase imports and in such cases, the
Authorised Officer may refer the complaint to the authority for anti-dumping or countervailing duty
investigations, as appropriate.
9. Final findings.-- (1) The Authorised Officer shall, within eight months from the date of initiation of the
investigation or within such extended period as the Central Government may allow, determine whether, as a result of
unforeseen developments the increased imports of the goods under investigation has caused or threatened to cause
serious injury to the domestic industry, and a casual link exists between the increased imports and serious injury or
threat of serious injury and recommend --
(i) the extent and nature of quantitative restrictions which, if imposed, would be adequate to prevent or
remedy serious injury and to facilitate positive adjustment, as the case may be;
(ii) the extent of quantitative restrictions so that the quantity of imports is not reduced to the quantity of
imports below the level of a recent period which shall be the average of import in the last three
representative years for which statistics are available and justification if a different level is necessary
to prevent or remedy serious injury;
(iii) the quota to be allocated among the supplying countries, and the allocation of shares in the quota for
such specified countries which have a substantial interest in supplying the goods;
(iv) the duration of imposition of quantitative restrictions and where the duration of imposition of
quantitative restrictions is more than one year, the progressive liberalisation adequate to facilitate
positive adjustment.
(2) The final findings if affirmative shall contain all information on the matter of facts and law and reasons
which have led to the conclusion.
(3) The Authorised Officer shall issue a public notice recording his final findings.
(4) The Authorised Officer shall send a copy of the public notice regarding his final findings to the Central
Government in the Ministry of Commerce and Industry and a copy thereof to the interested parties.
46
10. Imposition of safeguard quantitative restrictions.-- The Central Government may based on the
recommendation of the Authorised Officer, by a notification in the Official Gazette, under sub-section (I) of section 9A
of the Act, impose upon importation into India of the goods covered under the final determination, a safeguard
quantitative restrictions not exceeding the amount or quantity which has been found adequate to prevent or remedy
serious injury and to facilitate adjustment.
11. Imposition of safeguard quantitative restrictions on non-discriminatory basis.-- Any safeguard
quantitative restrictions imposed on goods under these rules shall be applied on a non-discriminatory basis to all
imports of the goods irrespective of its source.
12. Date of commencement of safeguard quantitative restrictions.-- The safeguard quantitative restrictions
levied under these rules shall take effect from the date of publication of the notification in the Official Gazette,
imposing such quantitative restrictions.
13. Duration .(1) The safeguard quantitative restrictions imposed under rule 10 shall be for such period of
time as may be necessary to prevent or remedy serious injury and to facilitate adjustment.
(2) Notwithstanding anything contained in sub-rule (1), safeguard quantitative restrictions imposed
under rule 10 shall, unless revoked earlier, cease to have effect on the expiry of four years from
the date of its imposition:
Provided that if the Central Government is of the opinion that the domestic industry has taken
measures to adjust to such serious injury or threat thereof and it is necessary that the safeguard
quantitative restrictions should continue to be imposed, to prevent such serious injury or threat and
to facilitate adjustments, it may extend the period beyond four years:
Provided further that in no case the safeguard quantitative restrictions shall continue to be
imposed beyond a period of ten years from the date on which such restrictions were first imposed.
14. Liberalization of safeguard quantitative restrictions. -- If the duration of the safeguard quantitative
restrictions imposed under rule 10 exceeds one year, the restriction shall be progressively liberalised at regular
intervals during the period of its imposition.
15. Review.(1) The Authorised Officer shall, from time to time, review the need for continued imposition of
the safeguard quantitative restrictions and shall, if, it is satisfied on the basis of information received that --
(a) safeguard quantitative restrictions is necessary to prevent or remedy serious injury and there is
evidence that the industry is adjusting positively, it may recommend to the Central Government for
the continued imposition of quantitative restrictions;
(b) there is no justification for the continued imposition of such restriction; recommend to the central
Government for its withdrawal:
Provided that where the period of imposition of safeguard quantitative restrictions exceeds three
years, the Authorised Officer shall review the situation not later than the midterm of such
imposition, and, if appropriate, recommend for withdrawal of such safeguard quantitative
restrictions or for the increase of the liberalisation of quantitative restrictions.
(2) Any review initiated under sub-rule (1), shall be concluded within a period not exceeding eight months from
the date of initiation of such review or within such extended period as the Central Government may allow.
47
(3) The provisions of rules 5, 6, 7 and 9 shall, mutatis mutandis, apply in the case of review under this rule.
[File No. 01/92/180/106/AM 11/PC VI/PRA ]
ANUP K. PUJARI, DIRECTOR GENERAL OF FOREIGN TRADE
FORM [See Rule 5(2)]
Information to be provided by Applicant for Safeguard Investigation
Table of Contents
Section 1 General Information
Section 2 Product in respect of which Increase in Imports Noticed
Section 3 Increased Imports
Section 4 Domestic Production
Section 5 Injury
Section 6 Cause of Injury
Section 7 Submissions
Section 8 Annexes
Section 1: General Information
1) Date of Application
2) Applicant(s) Provide name(s) and address(es) of the applicant(s)
3) Domestic Producers of the like or directly competitive products on whose behalf the application is filed
(Give details of all domestic producers who support the application) along with their IEC, where
applicable)
4) Information on production accounted for by the domestic producers of the like or directly competitive
products (in respect of those domestic producers who support the application).
5) Information on the total domestic production of the product concerned of the like or directly competitive
products (in respect of all producers whether they support the application or not).
Section 2: Product in respect of which increase in imports alleged
1. Name of the product.

48
2. Description: Provide full description of the product including chemical formula, grade constituent
materials / Components, process of manufacture in brief, uses and inter-changeability of various
grades, etc.
3. Tariff classification: Provide the classification of the product under the HS classification as well as
Indian customs Tariff Classification at 6/8/10 digit level
4. Import Duty: Provide information relating to rates of import duty levied during the past three years.
If the product enjoys any concessional or preferential treatment, provide details.
5. Country(ies) of Origin: Provide name(s) of country(ies) where the product has originated (where
the country of origin is different then the country of export, the name of the country of origin should
also be provided).
6. Provide a list of all known foreign producers, exporters & importers of the imported product,
country-wise, together with names and addresses of concerned trade associations and user
associations etc.
7. Information on major industrial users, organization of industrial users and representative consumer
organisations. (In case the product is commonly sold at retail level).
8. Export Price: Details of export price of the imported Product exporter / country-wise and the basis
thereof (provide the f.o.b. / c.i.f. price at which the goods enter into India).
Section 3: Increased Imports
1. Provide full and detailed information regarding the imports of the said product in terms of quantity and value
year wise for the last three years (or longer).
2. Provide break up of (1) above country wise in absolute terms as well as a percentage of the total imports of
the said product.
3. Provide full and detailed information on the share of the imported products and the share of the domestic
production of the like product and the directly competitive products in the total domestic consumption for the
last three years (or longer) both in terms of quantity and value.
4. Provide information on factors that may be attributing to increased imports.
Section 4: Domestic Production
1. Details of the like product end directly competitive products produced by the domestic producers.
Information similar to II above i.e.
i. Name
ii. Description
iii. Tariff classification both under the Central Excise Tariff as well as under the Customs Tariff.
iv. Details of domestic producers
2. Names and addresses of all known domestic producers and concerned trade associations and users
associations etc.
3. Details of production accounted for by each of the producers at 2 above.
49
4. Details of total domestic production.
5. Installed capacity, capacity utilization and fall in capacity utilization etc.
Section 5: Injury or Threat of Injury
1. Impact of increased imports on Domestic Industry: Detailed information on how the increased imports are
causing serious injury or threat of serious injury to the domestic industry. This should, inter alia, include
information on
a. Sale volumes, total domestic consumption and how the market share of domestic production has
been affected.
b. Price undercutting / price depression / prevention of rise in prices. Information on costs of
production and how the increased imports have affected the prices of domestic production needs
to be provided.
c. Any significant idling of production facilities in the industry including data indicating plant closure or
fall in normal production capacity utilization.
d. Loss of employment
e. Financial situation
Full information on the financial situation of the domestic industry including information on decline
in sales, growing inventory, downward trend in production, profits, productivity or increasing
unemployment needs to be provided.
2. Other Factors of Injury: Provide details of any other factors that may be attributing to the injury to the
domestic industry and an explanation that injury caused by these other factors is not attributed to injury
caused by increased imports. (Information on injury caused due to dumping or subsidization, if any, needs
to be specifically provided here. Also mention if any application for anti-dumping or countervailing duty
investigation has been filed).
Section 6: Cause of Injury:
Please provide an analysis of data presented above bringing out a nexus between the increased imports, either
actual or relative to domestic production, and the injury or threat of injury caused to the domestic industry and the
basis for a request for initiation of safeguards investigation under Safeguard Measures (Quantitative Restrictions)
Rules, 2012.
Section 7: Submission
a. A statement describing the measure requested including:
Nature and quantum of safeguard quantitative restriction requested.
Purpose of seeking the relief and how such objective will be achieved.
Duration for which imposition of safeguard quantitative restriction is requested and the reasons
therefore.
b. If the safeguard measures are requested to be imposed for more than one year, details on efforts being
50
taken and planned to be taken or both to make a positive adjustment to import competition with details of
progressive liberalization adequate to facilitate positive adjustment of
the industry.
Section 8: Annexes
All supporting information can be provided as annexes to the application. (The main information must be provided at
the appropriate places. The details of the information can be provided in annexes).
(Note: - In case of any discrepancy in this version from that published in Gazette notification, the Gazette copy shall
be deemed to be the correct/ official copy.)
51

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(APPENDICES AND AAYAT NIRYAT FORMS)

Sl Appendix Subject Page

33. 4B List of Nominated Agencies 128

terms of Excise Notification No 12/2012 dated 17.03.2012 and other Deemed

Sl ANFs Subject Page no

32. ANF-5A Application for issue of EPCG Authorisation 134

Compilation of ACT, Rules and Orders for Reference:

1. Foreign Trade (Development and Regulation) Act, 1992 1

(1) (2) (3) (4)

1 Director General of Foreign Trade Tel :011-23062777 Throughout India

New Delhi- 110011

2 The Additional Director General of Foreign Tel. 011-23379115 Delhi

Districts of Uttar Pradesh

(iv)Gautam Buddha Nagar

(iv) Panchasheel Nagar

Moradabad-244103 (UP) (iii)Rampur

(iv)Jyotiba Phuley Nagar

(ix) Bheem Nagar

5 The Joint Director General of Foreign Tel.0542-2361907 Districts of Uttar Pradesh

(viii) Kushi Nagar

(xii)Sant Kabir Nagar

6 The Joint Director General of Foreign Tel. 0180-2650984/2651427 Haryana excluding

Panipat (Haryana) E-mail: [email protected] (ii)Gurgaon and

Districts of Uttar Pradesh

7 The Joint Director General of Foreign Tel: 0141-2227539 Rajasthan

Punjab (iv)Taran Taran

(v)Roop nagar (Ropar)

9 The Joint Director General of Foreign Tel. 0183-2506403/2507403 District of Punjab

Chandigarh-160023 (i) Roop Nagar (Ropar)

(ii) Sahibzada Ajit Singh

(iii) Dadra and Nagar Haveli.

(xiv) Sindhudurg and

Districts of Madhya Pradesh-

(vi) Bharuch and

22 Extension Counter of The Joint Director Tel: 0731-2498382 - As above -

Indore- 452001 (MP)

24 The Deputy Director General of Foreign Tel. No. 0832-2226355 Goa

26 The Joint Director General of Foreign Tel: 0671-2342596 Odisha

Biscomaun Bhawan, Ground Floor Fax:0612-2212052

Patna-800001 (Bihar) E-mail: [email protected]

29 The Deputy Director General of Foreign Tel:0364-2223360 Meghalaya and Mizoram

34 The joint Director General of Foreign Trade Tel.No- 080-25537213/ Karnataka

C& E Wing, 6th Floor, Kendriya Sadan 25537215

Koramangala, Bangalore 560 034 e-mail: [email protected]

Cochin- 682 037 (Kerala)

36 The Joint Director General of Foreign Tel. No.0471-2441867 Districts of Kerala

Dist- Hyderabad, Telangana

(v) West Godavari

39 Development Commissioner/Joint Tele No. 022-28290143, Units situated in Santacruz

40 Development Commissioner/Joint Tele No. 02836-252273, (i) Kutch district of

41 Development Commissioner/Joint Tele No. 044-22628220, Units situated in Madras SEZ

42 Development Commissioner/Joint Tele No. 0484-2413111, Units situated in Cochin SEZ

43 Development Commissioner/Joint Tele No. 0891-2587382 Units situated in

45 Development Commissioner/Joint Tele No. 033-22872263, Units situated in Falta SEZ

1 Tirupur Tamil Nadu Hosiery

2 Ludhiana Punjab Woollen Knitwear

3 Panipat Haryana Woollen Blanket

4 Kanoor Kerala Handlooms

5 Karur Tamil Nadu Handlooms