For Advance Authorisation /DFRC applications

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. Part 1 & Part 4 has to be filled in by all applicants. In case of applications submitted electronically, no hard copies of Part 1 may be submitted. However in cases where applications are submitted otherwise, hard copy of Part 1 has to be submitted.

b. Only relevant portions of Part 2 need to be filled in.

4. Application must be accompanied by documents as per details given below:

V. For Advance Authorisation/DFRC applications

1. Bank Receipt (in duplicate)/Demand Draft/EFT details evidencing payment of application fee in terms of Appendix 21B.

2. Additional documents required in case of issue of Advance Authorisation for Annual Requirements:

a. Statement of exports made in the preceding licensing year duly certified by a Chartered Accountant/Cost and Works Accountant in the format given in Appendix 26.

b. Self certified copy of the manufacturing licence of the applicant firm or his supporting manufacturer.

3. Additional documents required in case of issue of DFRC:

a. In case of physical exports

i. EP copy of the Shipping Bill or Bill of Export (only in case of exports through notified land Customs under paragraph 4.19)

ii. Bank Certificate of Exports and Realisation as given in Appendix 22A or Foreign Inward Remittance Certificate (FIRC) in the case of direct negotiation of documents or Appendix 22D in the case of offsetting of export proceeds with approval of RBI. In case of FIRC, a declaration from the exporter that the remittance is in respect of Shipping Bill(s) No ____________ dtd _________ shall also be furnished.

iii. Statement of exports/supplies giving separately each Shipping Bill number/Bill of export number and date, FOB/ FOR value in Indian rupees as per Shipping Bill/ Bill of export and description of the resultant product.

b. In case of deemed exports

i. Copy of the invoice 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 incase of supply of items, which are non-excisable product(s), a project authority certificate (PAC) certifying quantity, value and date of such supply would be acceptable in lieu of excise certification. Not withstanding the above, in respect of supplies to EOU, 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 shall be furnished.

ii. Payment certificates from the project authority as per Appendix-22C or payment certificate or bank certificate of payment for domestic supplies as per Appendix 22B which ever is applicable.

iii. Statement of supplies giving separately each supply invoice number and date, FOR value in Indian rupees as per invoice and description of the resultant product.

iv. Invalidation letter(s) incase of supplies to an advance Authorisation or DFRC holder.

4. In cases where import of fuel has been sought for the grant of Advance Authorisation / Advance Authorisation for Annual Requirements/ DFRC (excluding Advance Authorisation applications for ad-hoc norms and those under Para 4.7 of Handbook)

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: The import of only such fuel(s) shall be allowed which have/ has been specified in the said permission.

5. Additional documents required in case of supplies under deemed export/intermediate supplies under Advance Authorisation Scheme:

a. Invalidation letter in case of supplies to

i. an EPCG Authorisation holder;

ii. an Advance Authorisation holder;

b. Project Authority certificate in case of supplies other than (a) (i) & (ii) above and to EOU/ EHTP/ STP/BTP units;

6. Additional documents required in case of issue of Advance Authorisation under Para 4.7 of Handbook

a. Information as per Appendix-11A.

b. 1. Technical Details of the export product as per the details given in Appendix 33

2. Chartered Engineer certificate certifying the import requirements of raw materials in the format given in Appendix 32B

3. Production and Consumption data of the manufacturer/supporting manufacturer of the preceding three licensing years, duly certified by the Chartered accountant/ Cost & Works Accountant/ Jurisdictional Excise Authority.

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PART 1

Note: Please state ‘Not Applicable’ wherever the information/data is not applicable to you.

1. IEC Details

i. IEC Number

ii. Date of Issue

iii. Issuing Authority

2. Applicant Firm Details

i. Name

ii. Address(Registered Office in case of Companies and Head Office in case of Others)

iii. Address of all Branches/Divisions/Units/Factories located in India & abroad (attach extra sheet if required)

iv. Telephone

v. Email address (for correspondence with DGFT)

3. Details of Proprietor/Partners/Directors/Karta/Trustee of the applicant firm (attach extra sheet if required)

i. Name

ii. Father"s Name

iii. Residential Address

iv. Telephone

4. Nature of Concern (please tick)	( ü )
i. Government Undertaking
ii. Public Limited Company
iii. Private Limited Company
iv. Proprietorship
v. Partnership
vi. Others

5. Type of Exporter (please tick)	( ü )
i. Merchant Exporter
ii. Manufacturer Exporter
iii. Service Provider
iv. Others (please specify)
v. Merchant cum Manufacturer

6. Industrial Registration Details

i. SSI/IEM/LOI or IL Registration Number

ii. Date of Issue

iii. Issuing Authority

iv. Products for which registered

7. Service Tax Registration Details (in case of Service providers)

i. Service Tax Registration Number

ii. Issuing Authority

iii. Services for which registered

8. RCMC Details

i. RCMC Number

ii. Date of Issue

iii. Issuing Authority

iv. Valid upto

v. Products for which registered

9. Status House Details

i. One/Two/Three/Four/Five Star

ii. Certificate Number

iii. Date of Issue

iv. Issuing Authority

v. Valid Upto

10. PAN Details

i. PAN Number

iii. Issuing Authority

11. Excise Details

i. Excise Registration Number

ii. Issuing Authority

12. VAT Details

i. VAT Registration Number

ii. Issuing Authority

13. Turnover Details for the preceding three licensing years

FY	Annual Domestic Turnover (Rs Lakhs)	Annual Export Turnover (Rs Lakhs)

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PART 2

1. IEC Number

2. Applicant Details

i. Name

ii. Address

3. Application for (please tick the category for which the application is being made) :	( ü )
I. Importer Exporter Code Number (IEC)
II. Import Licence for Restricted Items
IIA. Import Certificate under Indo - US Memorandum
III. Export Licence for Restricted Items
IIIA. Export Licence for SCOMET Items
IV. Star Export House Certification
V. Advance Authorisation / DFRC	( ü )
VA. Gem Replenishment Authorisation
VB. Diamond Imprest Authorisation
VC. DEPB
VD. Duty Free Import Authorisation
VI. EPCG Authorisation
VII. Served from India
VIII. Vishesh Krishi And Gram Udyog Yojana (VKGUY)
IX. Target Plus Scheme
X. Claiming Duty Drawback on All Industry Rates/Fixation of Drawback Rates/Refund of Terminal Excise Duty
XA. Focus Market Scheme
XB. Focus Product Scheme

4. 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

5. 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

Note;
1. Only one category of application may be made in the Form.
2. In case of application for issue of IEC number, information at Serial No 1 may be left blank.

SUB SECTION V

(For Advance Authorisation / Advance Authorisation for Annual Requirements/DFRC)

1. Total CIF value of Imports applied for

i. In Rupees

ii. In currency of imports

iii. In US $

2. Total FOB/FOR value of Exports to be made, including commission (In case of DFRC applications, FOB/FOR value realised may be given)

i. In Rupees

ii. In currency of exports

iii. In US $

3. Value Addition (in %):

4. Port of Registration (for the purpose of imports):

5.
i. Application made for Export Product Group:

ii. Application made under which Serial No. of SION:

or

ii. Application made under Para 4.7 of FTP:    Yes/No

If Yes, whether Adhoc Norms fixed:       Yes/No

6. Details of items to be exported/supplied under the Authorisation
(In case of DFRC applications, details of export items which have been exported/deemed supplies made may be given)

S No	Item Description	Item Technical Characteristics/Quality etc.	ITC(HS) Code	Quantity	Unit of Measurement	FOB/FOR Value(in Rs)	FOB/FOR value (in freely convertible currency)

7. Details of items sought to be imported duty free under the Authorisation

S No	Item Description	Item Technical Characteristics/Quality etc.	ITC(HS) Code	Quantity in metric units	CIF Value(in Rs)	CIF value (in freely convertible currency)	Total exemption from Customs duty

8. 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 Characteristics/Quality etc	Quantity in metric units	CIF Value	Name, Technical Characteristics/Quality etc	Quantity in metric units	Value

9. Details of Outstanding Export Obligation against Advance Authorisation (s) including Advance Authorisation for Annual Requirements issued already

S No	Authorisation No	Authorisation Date	CIF Value (Rs)	FOB Value (Rs)	%age of EO fulfilled		Expiry Date of EO period
					Qty wise	Value wise

10. Details of exports/deemed supplies made in the preceding 3 licensing years

Licensing Year	FOB Value of exports (in Rs Crore)	FOR Value of deemed supplies(in Rs Crore)	Total Export Performance (in Rs Crore)

11. Applicable in case of applications made for Advance Authorisation for Annual requirements (AAL)

i. Entitlement of AAL (Rs)

ii. CIF Value of AAL already obtained (Rs) during the licensing year

12. In case of exports made under Deemed Exports category (except for supplies to Advance Authorisation /EOU/EHTP/STP/EPCG), 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.)

13. In case of request for issuance of ARO, please furnish

i. Advance Authorisation No

ii. Date of Issue of Advance Authorisation

iii. Name of the Indigenous producer from where items are to be procured

iv. Address 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 producera. Description of individual itemsb. Quantity of individual items to be procuredc. Value of individual items to be procured

14. Address of the factory/premises where the items to be imported are proposed to be used

15. Address of the jurisdictional Central Excise Authority under whose jurisdiction the factory/premises falls

16. 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

iii. SSI/LOI/IL regn no. and date of Supporting Manufacturer

iv. Products endorsed on SSI/IL/IEM

PART 4

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 there from.

2. 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.

3. I/We undertake to 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 of Procedures and the ITC(HS) Classification of Export & Import Items.

4.

a. I/We hereby certify that the firm/company for whom the application has been made has not been penalized under the Customs Act, Excise Act, Foreign Trade (Development & Regulation) Act 1992 and FERA/FEMA.

b. 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.

c. 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 RBI.

d. I/We hereby certify that 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.

5. 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.

5A. 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) Classifications of Export-Import Items, 2004-09 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 Handbook of Procedures (Vol.1), 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).

6. I/We solemnly declare that I/We have applied for / obtained a RCMC to the Export Promotion Council 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 3.12 and Para 3.12.1 of the Handbook of Procedures (Vol 1).

11. (applicable in case of Advance Authorisation applications only)

a. I/We hereby declare that in respect of products for which Standard Input Output norms (SION) are not fixed, 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 15% interest reckoned from the date of imports till the date of deposit on the inputs imported in excess of the norms fixed by the Norms Committee.

b. I/We hereby declare that we shall only import inputs which are required for the manufacture of the export product(s) and no part of it shall be sold/transferred/disposed off or utilised in a manner in contravention to the provisions of the Policy and Handbook.

c. 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 RBI permission has been obtained.

18. I hereby certify that I am authorised to verify and sign this declaration as per Paragraph 9.9 of the Policy.

Signature of the Applicant Name Designation Official Address Telephone Residential Address Email Address

Place Date

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