For EPCG Authorisation 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:

VI. For EPCG Authorisation applications

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

2. Self certified copy of Drug Manufacturing License in case of export of Pharmaceutical product or self certified copy of IEM/SSI Registration Number in case of other products or a self certified copy of Service Tax Registration in case of Service Providers.

3. Certificate from a Chartered Engineer in the format given in Appendix 32A certifying:

a. the end use/nexus of machinery sought for import under EPCG Scheme in the pre production/production/post production activity of the exported goods/services (explaining the end use of machinery in detail); and/or

b. the essentiality of spare parts sought for import and its required quantity for existing machinery manufacturing the goods to be exported/ machinery sought for import; and/or

c. complete usage of equipments/goods sought for import under the EPCG Scheme for supply of service to overseas customers/ service consumers of any other country in India to earn free foreign exchange/supply of service in India relating to export paid in free foreign exchange.

4. Statement of exports made/services rendered by the applicant firm in respect of the same/similar export product/services rendered during the preceding three licensing years duly certified by a Chartered Accountant/Cost and Works Accountant in the format given in Appendix 26.

5. In case of import of spares for existing plant and machinery, a list of plant/machinery already installed in the factory/premises of the applicant firm/supporting manufacturer for which the spares are required, duly certified by a Chartered Engineer or jurisdictional Central Excise authorities.

6. 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.

Note: In case of Service Providers, who are not registered with Service Tax authorities (and a declaration in this regard has been submitted at Serial no. 13 (f) of Part 4 of the application), a registration certificate from FIEO is to be submitted. In such cases, address of the jurisdictional Central Excise Authority under whom the proposed CG is to be installed may not be insisted upon.

7. Copy of previous EPCG Authorisation (in case application is made under EPCG Technological Upgradation Scheme).

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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

Sr. No.	FY	Annual Domestic Turnover (Rs Lakhs)	Annual Export Turnover (Rs Lakhs)
1.
2.
3.
GRAND TOTAL

[OLD-

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
VA. Gem Replenishment Authorisation
VB. Diamond Imprest Authorisation
VC. DEPB
VD. Duty Free Import Authorisation
VI. EPCG Authorisation	( ü )
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.

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SUB SECTION VI

(For EPCG Authorisation)

1. Sector Classification of Capital Goods sought to be imported under the Scheme (Please tick)

i. Industrial sector

ii. Agricultural sector

iii. Port sector

iv. Service sector

v. Retail sector

vi. Others

2. Products to be exported/Services to be rendered:

3. Whether any export obligation has been imposed in the Letter of Intent/Industrial Licence/Foreign Collaboration approval Yes/No

If yes, please furnish details thereof including EO fulfilled, if any

4. In case of Service Provider, please furnish

i. Serial No of Appendix 36 under which classified

ii. Whether registered with Service tax authorities           Yes/No

5. Whether imports made are also Project Imports as per Para 5.1B of Policy          Yes/No

5A. Whether imports made are under Technological Upgradation Scheme             Yes/No

If yes, give following details:

Sr No	EPCG Authorisation No	EPCG Authorisation Date	CIF Value / duty saved	EO fixed in freely convertible currency	%age of EO fulfilled	Expiry date of EO period

6. Details of exports/deemed supplies made in the preceding 3 licensing years for the same or similar product

Licensing Year	Products exported/Supplied/ Services rendered	FOB Value of exports/services rendered (in Rs Crore)	FOR Value of Deemed supplies (in Rs Crore)	Total Export performance (in Rs Crore)
1	2	3	4	5
1.
2.
3.
Average Export Performance: Rs.

7. Details of EPCG Authorisations already obtained and which have not been redeemed

S No	Authori-sation No	Authori-sation Date	CIF Value (Rs)	EO fixed in freely convertible currency	Whether entitled for BG/LUT (write specifically)	%age of EO fulfilled	Expiry Date of EO period

[OLD-
5A. Whether imports made are under Technological Upgradation Scheme        Yes/No

i. Details of previous EPCG Authorisation i.e EPCG Authorisation Number, Date

ii. Details of CIF/duty saved under the Authorisation, EO fulfilled in FOB and %age terms

6. Details of exports/deemed supplies made in the preceding 3 licensing years for the same or similar product

Licensing Year	Products exported/Supplied/Services rendered	FOB Value of exports/services rendered (in Rs Crore)	FOR Value of Deemed supplies(in Rs Crore)	Total Export performance (in Rs Crore)

7. Details of EPCG Authorisations already obtained and which have not been redeemed

S No	Authorisation No	Authorisation Date	CIF Value (Rs)	EO fixedin freely convertible currency	%age of EO fulfilled	Expiry Date of EO period

]
8. Details of Capital Goods applied for import

S No	Description of the items of import	Nature of Capital Goods sought to be imported +	Primary Use of Capital Goods sought to be imported ++

Technical Specifications/Model No. etc	Quantity	CIF Value in freely convertible currency

+ - whether Capital Goods/ Spares/ Tools/Jigs/Fixtures/Dies/Moulds/ Refractories/Catalyst/ Consumables

++ - whether used for Pre Production activity/ Production activity/ Post Production activity/ For rendering Services

9. Details of Duty Saved

Total effective Customs duty on items to be imported/deemed to be imported (in %) +++	Duty to be levied under the Scheme(in %)	Duty Saved (in %)	CIF Value of imports/deemed imports (in Rs)	Duty saved(in Rs)
1	2	3 = 1 - 2	4	5 = 3 * 4 / 100

Note:
1. +++ In case of indigenous sourcing of CG, duty saved is to be calculated on notional Customs duties saved on FOR value of capital goods as per para 5.7 A of FTP.
2. In case of EPCG Authorisation for Projects as per para 5.1B of Policy, the basic customs duty would be 10%. Wherever, CVD is paid in cash and not subsequently Cenvated, CVD would not be taken for computation of net duty saved.

10. Details of Export Obligation and Average export obligation to be imposed:

Total duty saved applied (Rs.) as per column no.5 at sr.no.9	Export Obligation (as a multiple of duty saved) to be imposed				Average Export Obligation to be imposed (Rs) (as shown in sr.no.6)	Export obligation period to be imposed (in years)
	6 times +		8 times			8 years	12 years ++
	(Rs.)	(USD)	(Rs.)	(USD)		(indicate specifically)

+ In case of imports made by SSI, agro units in the agri export zones and technological upgradation scheme.

++ i. In the case of agro units in the agri export zones

ii. In respect of EPCG licences with a duty saved of Rs.100 crore or more.

[OLD- 10 A. Export Obligation ( as a multiple of duty saved) to be imposed (please tick)	( ü )
i. Eight times duty saved
ii. Six times duty saved (in case of imports made by SSI, agro units and technological upgradation scheme)

10 B. Export Obligation period to be imposed (please tick)	( ü )
i. Eight years from date of issue of Authorisation
ii. Twelve years from date of issue of Authorisation

10 C. Export Obligation to be imposed

i. In Rupees

ii. In freely convertible currency

10D. Average Export Obligation to be imposed

i. In Rupees

ii. In freely convertible currency ]

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

12 A. Address of the factory/premises of the applicant where the capital goods to be imported are proposed to be installed

(Sl.No. 13 - Part I & Sl.No.5A, 6, 7, 10, 12A - Sub Section VI has been amended vide PN. NO. 51/2006, DT. 11/09/2006)

[OLD-
12 A. Address of the factory/premises where the capital goods to be imported are proposed to be installed ]

12 B. In case the proposed CG sought 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

iv. Products endorsed on SSI/IL/IEM

12 C. Address of the jurisdictional Central Excise Authority under whom the proposed CG is to be installed

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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).

13. (applicable in case of EPCG applications only)

a. In the event of failure to fulfill the export obligation as stipulated within the export obligation period prescribed or subsequently extended by the competent authority, I/We shall be liable to penal action in accordance with the Policy/Procedure/Foreign Trade (Development & Regulation) Act, 1992 the Rules and Orders framed there under and the Customs Act, 1962 in addition to forfeiture of Bank Guarantee or any other Bond/Guarantee executed with the Customs/Licensing Authority.

b. I/We declare that no export proceeds are outstanding beyond the prescribed period as laid down by the RBI, or such extended period for which RBI permission has been obtained.

c. I/We hereby declare that the capital goods/spares sought for import in the application are actually required for use at pre production/production/post production stages for the export product(s) or for rendering services for fulfilment of export obligation.

a. I/We hereby declare that in respect of goods for which nexus is not established at a later date, I/We shall pay to the Government Customs duty saved together with 15% interest on such imported goods which are found having no relation with product exported or service rendered.

b. I/We hereby declare that in case of import of refurbished/reconditioned spares, the refurbished/reconditioned spares have a residual life which is not less than 80% of the life of the original spares.

c. I/We hereby declare that I/We do not come under the purview of Service Tax and therefore are not registered with the Service Tax Cell of the jurisdictional Central Excise Authorities. (in case of Service Providers who are not covered under service tax).

d. I/We hereby declare that I/We shall not exceed the SSI investment limit in plant and machinery after making imports under the EPCG Authorisation (applicable in cases of imports made by SSI sector)

e. I/We hereby declare that the import of capital goods shall be used for building and operating shopping malls/super markets having a minimum covered area of 1000 sq metres. (applicable in case of imports made by Retail sector).

f. I/We hereby declare that I/We have not made imports under the Technological Upgradation Scheme previously before any Licensing authority and the present imports of Capital Goods to be made under this Scheme (for which this application is made) are more than 10% of the my/our present investment in the plant and machinery. (applicable in case of imports under EPCG Technological Upgradation Scheme)

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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