AAYAAT- NIRYAAT FORM

HANDBOOK OF PROCEDURES VOLUME 1, 2004-09
as amended upto 8th April 2005

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 & Part 3 need to be filled in.

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

(Above iv. has been added vide PN. NO. 60/2005, DT. 10/10/2005)

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

I. For Importer Exporter Code Number (IEC)

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

2. Certificate from the Banker of the applicant firm in the format given in Appendix 18A.

3. Self certified copy of Permanent Account Number (PAN) issued by Income Tax Authorities.

[DELETED -
4. Self certified copy of RBI approval in cases where non resident interest/holding in the firm/company exists with repatriation benefits. ]

(Above Sl.No. 4. has been deleted vide PN. NO. 83/2005, DT. 20/01/2006)

II. For Import Licence for Restricted Items

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

2. Self certified copy of Proforma Invoice from foreign supplier showing CIF value of the goods.

3. Self certified copy of Registration Certificate issued by concerned authority.

4. Self certified copy of the recommendation letter by the concerned authority.

5. In case of import of gift, Donor"s letter in Original.

6. In case of import of Ammunition, a certificate from the Chartered Accountant/Cost and Works Accountant/Company Secretary showing sales turnover of ammunition (indigenous and imported) during the preceding three licensing years.

II A. For Import Certificate under Indo-US Memorandum

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

2. Self certified copy of letter from US supplier in support of request for Import Certificate.

III. For Export Licence for Restricted Items

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

2. Self certified copy of Export Order.

III A. For Export Licence for SCOMET Items

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

2. For Export of Special Chemicals in Categories 1B and 1C of Schedule 2 Appendix 3 of ITC (HS) Classification of Export & Import items:

a. Self certified copy of Export Order.

b. End User certificate indicating the end product for which the item of export will be used by end user in the format given in Appendix 36.

3. For Export of all other category items of Schedule 2 Appendix 3 of ITC (HS) Classification of Export & Import items except those given in serial no 2 above :

a. Self certified copy of Export Order.

b. End User certificate indicating the end product and/or end purpose for which the item of export will be used by end user in the format given in Appendix 36.

c. Technical Specifications of the items to be exported (not exceeding one page for each item).

d. Self certified copy of Bill of Lading for items exported earlier under a Licence as per serial no. 3 of Part B of sub section III A.

IV. For Star Export House Certification

1. Self certified copy of valid RCMC.

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

[Deleted -
3. Self certified copy of the Balance Sheet filed with Income Tax Authorities for the relevant year(s).]

(Above Sl. No. 3. has been deleted vide PN NO. 28/2005, DT. 15/07/2005)

V. For Advance Licence 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 Licence 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 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.

4. In cases where import of fuel has been sought for the grant of Advance Licence/ Advance Licence for Annual Requirements/ DFRC (excluding Advance licence 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 Licence Scheme:

a. Invalidation letter in case of supplies to

i. an EPCG licence holder;

ii. an Advance Licence 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 Licence 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.

V A. For GEM REP applications

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

2. Bank certificate of export and realisation in the format given in Appendix 22A evidencing realisation of exports proceeds/sales proceeds.

3. 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).

4. Customs attested invoice.

5. In case of application for Replenishment licence under paragraph 4A.28 of this Handbook, an applicant will be required to submit documents as given at S.No.1 above and Statement of Exports made during the preceding licensing year duly certified by Chartered Accountant/Cost & Works Accountant in the format given in Appendix 26.

V B. For Diamond Imprest 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 valid RCMC.

3. Self certified copy of Export Order.

4. Statement of exports of cut and polished diamonds made during the preceding three licensing years duly certified by Chartered Accountant/Cost & Works Accountant in the format given in Appendix 26. The value of exports made towards fulfillment of export obligation under Diamond Imprest Licence shall be shown separately.

V C. For DEPB applications

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

2. Export Promotion (EP) copy of Shipping Bill(s). In case of exports through notified land Customs under paragraph 4.40, Bill of Export may be accepted in lieu of Shipping Bill.

3. 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 22 D in the case of offsetting of export proceeds with the 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

VI. For EPCG Licence 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 Licence (in case application is made under EPCG Technological Upgradation Scheme).

VII. For Served from India Scheme applications

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

2.Chartered Accountant/Cost and Works Accountant in the format given in Appendix 26.

(Above 2. has been replaced vide PN. No. 24/2005, Dt. 24/06/2005)

[Deleted
2. Self certified copy of the Balance Sheet filed with Income Tax Authorities for the relevant year(s).]

3. Self certified copy of Service Tax Registration (in cases where Service provider is registered with Service tax authorities).

VIII. For Vishesh Krishi Upaj Yojana applications

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

2. Export promotion (EP) copy of Shipping Bill(s). In case of exports through land Customs, Bill of Export may be accepted in lieu of Shipping Bill.

(Above Sl.No. 2 has been amended vide PN. NO. 66/2005, DT. 10/11/2005)

[OLD-
2. Export promotion (EP) copy of Shipping Bill(s). In case of exports through notified land Customs under paragraph 4.40, Bill of Export may be accepted in lieu of Shipping Bill.]

3. 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 the 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.

Note: In cases where original EP copy of Shipping Bill(s) and/or Bank Realisation Certificate has been submitted for claiming benefits under any other scheme (where ever applicable), the application shall be accompanied by a self attested photocopy(s) of EP copy of Shipping Bill(s) and/or Bank Realisation Certificate. In such cases, the applicant shall also quote Reference no./File no. of the concerned Regional Licensing Authority where the original EP copy of Shipping Bill(s) and/or BRC have been submitted.

(Above Note has been added vide PN. No. 24/2005, Dt. 24/06/2005)

IX. Target Plus Scheme

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

2. Self certified copy of valid RCMC.

(Above Sr. No IX relating to Target Plus Scheme has been replaced vide PN NO. 30/2005, DT. 15/07/2005)

[OLD-
IX. For Target Plus Scheme 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 valid RCMC.

3. Self certified copy of the Balance Sheet filed with Income Tax Authorities for the relevant year(s)

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

X. For Duty Drawback on All Industry Rates/Fixation of Drawback Rates/Refund of Terminal Excise Duty

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

2. In case of Refund of Terminal Excise Duty/Duty Drawback

a. Supply invoices certified by Project Authority or self certified or excise attested invoices. In case of 100% EOUs/STP/EHTP units, a complete AR-3A/ supply invoice certified by the bond officer is to be furnished.

b. Payment certificate issued by the Project Authority as per Appendix 22C. For supply to EOU units the certificate to be given regarding receipt of payment through normal banking channel in the form given in Appendix- 22B. However, in respect of supplies under paragraph 8.2 (d), (e), (f), (g) and (j), wherever eligible for refund of TED, if the applicant is not able to furnish payment certificate, he may alternatively furnish the copies of the excise invoices showing the receipt of the material by the Project Authority duly countersigned by the authorised person for this purpose as given in note (3) of Appendix–27, in lieu of payment certificate. In such cases, the applicant shall furnish the copies of the excise invoices showing the receipt of the material by the Project authority duly countersigned by the authorised person for this purpose as given in note (3) of Appendix-27 in lieu of payment certificate.

c. Photocopy of complete A.R.O./Back to Back LC

d. Photocopy of the purchase order/L.O.I/contract (self certified).

e. Original input stage Invoices with corresponding ER-1/ER-3 duly certified by Excise authorities or self certified invoice showing the Terminal Excise Duty paid.

f. In respect of supplies under paragraph 8.2(d), (e) (f) (g) and (j), the applicant shall furnish a copy of the project authority certificate as given in Appendix-27.

3. Additional documents to be submitted wherever brand rate of duty drawback is being claimed:

a. DBK I duly certified by a Chartered Engineer in the format given in Appendix

b. DBK II, IIA, III & III-A, duly certified by a Chartered Accountant along with self certified non-availment of CENVAT credit

c. Photocopies of Bill of Entries along with relevant Import Invoices.

d. Original input invoices with corresponding ER-1/ER-3 duly certified Central excise authorities or self-certified invoices showing payments of excise duty in support of the details shown in DBK-III and DBK-IIIA in the format given in Appendix

Note: In case of public sector undertaking, the DBK statements may be signed/ certified by the Head of Production and Head of Finance department.

XI. For Enhancement in CIF/FOB Value or Revalidation or EO extension of Licence

1. Bank Receipt (in duplicate)/Demand Draft/EFT details evidencing payment of application fee in terms of Appendix 21B or otherwise as per Policy/Procedures.

2. Licence in Original

XII. For Fixation/Modification of Standard Input Output Norms (SION)

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 as given in serial no 3 of sub section XII, duly certified by the Chartered accountant/ Cost & Works Accountant/ Jurisdictional Excise Authority.

XIII. For Fixation of DEPB Rates/Fuel rates

1. In support of data furnished at serial no. 3, 4 and 5 of sub section XIII, minimum 5 Shipping Bills /Bills of Entry (self certified copies) should be submitted for each item of export/ import during the past one year. This may however be restricted to two Shipping Bills/Bills of Entry/per month for exports/ imports made during the past one year. Alternatively in lieu of the Bills of Entry, the firm may submit copies of Customs data for imports containing the name of the raw materials, quantity, CIF value, name of the importers, port of import etc.

2. International price of items of import as obtained from international journals/ magazines are to be submitted only in support of actual imports as given in serial no 3 and 5 of sub section XIII.

3. If the applicant has insufficient data on the items of import/export, he may also submit data and documents of other exporters of the same export product.

4. 5 copies of the application should be submitted. However, only two copies of the supporting documents viz. relevant Shipping Bills/ Bills of Entry is to be submitted in support of all the data as furnished by the applicant.

5. A copy of the application and supporting documents should simultaneously be submitted to the concerned Export Promotion Council/Commodity Board.

6. Data sheet as per Appendix-11B

7. In case of application for fixation of fuel rate, self certified copy of permission letter issued by the competent authority under Section 44 of the Electricity Supply (Act), 1948 for installation of Captive Power Plant stipulating among other things, the specific fuel to be used by such plant.

Note: The DEPB rate shall be fixed only for those products for which Standard Input Output Norms have been notified. In case of an export product for which Standard Input Output Norms is not fixed, the applicant has to first apply for fixation of SION.

XIV. For Redemption of Advance Licence

a. For physical exports:

1. Bank Certificate of Exports and Realisation in the form given at Appendix 22A or Foreign Inward Remittance Certificate (FIRC) in the case of direct negotiation of documents or Appendix 22D 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 22A.

2. EP copy of the shipping bill(s) containing details of shipment effected or bill of export in case of export to SEZ

3. 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

4. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF value.

b. For deemed exports

1. 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 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.

2. Payment certificate from the project authority in the form given in Appendix-22C In the case of Advance Licence for Intermediate Supplies/ deemed exports, supplies to the EOUs/ EHTPs/STPs/ BTPs, documentary evidence from the bank substantiating the realisation of proceeds from the Licence holder or EOUs/EHTPs/ STPs/ BTPs, as the case may be, through the normal banking channel, shall be furnished in the form given at Appendix 22B. However realisation 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 in column 5/6/7 of Appendix 22B

3. A statement of supplies giving details of supply invoices and indicating the invoice number, date, FOR value as per invoices and description of product

4. A statement of imports indicating bill of entry wise item of imports, quantity of imports and its CIF value

XV. Statement of Export/Redemption of EPCG Licence

1. a. For Physical Exports:

1. Consolidated statement of exports made or individual statements (bank/authorized dealer wise) in sub section XV duly certified by a Chartered Accountant as per format given in Appendix 26 and bank evidencing exports and realisation in freely convertible. However, in case of exports made under an irrevocable letter of credit or a bill of exchange is unconditionally Avalised/ Co- Accepted/Guaranteed by a bank and the same is confirmed by the exporters bank, realization of export proceeds would not be insisted upon provided the final receipts are in free foreign exchange and a confirmation is given by the Bank in this regard.

b. For Deemed Exports:

1. Copy of ARO/Back to Back Inland letter of Credit or Advance Licence for Intermediate Supplies or Supply invoices or ARE 3 duly certified by the Bond Office of EOU concerned showing that supplies have been received.

2. Evidence of having received the payment through normal banking channel in the form given in Appendix 22B or a self certified copy of payment certificate issued by the Project Authority concerned in the form given in Appendix-22C.

c. For Services rendered:

1. Consolidated statement or individual statements (bank/authorised dealer wise) of services rendered as given in sub section XV duly certified by a Chartered Accountant as per format given in Appendix 26 and bank/authorised dealer evidencing foreign exchange earning received through normal banking channel.

2. Copy of licence showing the date of clearance of the first consignment

3. Customs purpose copy of EPCG Licence

4. At the time of redemption, the licence holder shall also submit certificate from the Independent Chartered Engineer confirming the use of spares so imported under the Scheme in the installed capital goods on the basis of stock & consumption register maintained by licence holder.

XVI. For EO Refixation under EPCG Licence

1. EPCG Licence in original.

XVII. For Clubbing of Licences

1. Advance Licence (s) / EPCG Licence (s) in original

XVIII. Statement of Imports made under Served from India Scheme/ Target Plus Scheme

1. Self certified copy of Licence.

XIX. For Refund of Application Fee

1. Copy of Bank Receipt/Demand Draft against which the refund is being claimed

5. Two copies of passport size photographs of the applicant duly attested by the Banker of the applicant.

(Above Sl.No. 5. has been added vide PN No. 03/2005, Dt. 20/04/2005)

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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/Factorieslocated
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)               ( √ )

i. Government Undertaking

ii. Public Limited Company

iii. Private Limited Company

iv. Proprietorship

v. Partnership

vi. Others

5. Type of Exporter (please tick)               ( √ )

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

[Deleted- ii. Date of Issue]

(At Sl.No. 10.,(ii) has been deleted vide PN. No. 24/2005, Dt. 24/06/2005)

iii. Issuing Authority

11. Excise Details

i. Excise Registration Number

ii. Issuing Authority

12. VAT Details

i. VAT Registration Number

ii. Issuing Authority

[Deleted - 12. Excise Payment Details

i. Excise Duty Paid in the last FY (Rs)

ii. Excise Commissionerate]

(Above Sl.No. 12. has been deleted vide PN. No. 24/2005, Dt. 24/06/2005)

13. Turnover details for the preceding three licensing years

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

(Above Sl.No. 13. has been replaced vide PN. No. 24/2005, Dt. 24/06/2005)

[Deleted -
13. Turnover/ Profit Details for the preceding
three licensing years

FY	Annual Domestic Turnover (Rs Lakhs)	Annual Export Turnover (Rs Lakhs)		Annual Profit (Rs Lakhs)
		Physical Exports (FOB)	Deemed exports (FOR)

]

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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) :	( √ )
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 Licence
VA. Gem Replenishment Licence
VB. Diamond Imprest Licence
VC. DEPB Licence
VI. EPCG Licence
VII. Served from India
VIII. Vishesh Krishi Upaj Yojana(VKUY)
IX. Target Plus
X. Claiming Duty Drawback on All Industry Rates/Fixation of Drawback Rates/Refund of Terminal Excise Duty

4. Application Submission Details (in case of electronically submitted applications)

i. ECOM Reference Number

ii. Date of Submission on Server

iii. Submitted to which Licensing 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 I

(For Issue/Modification of Import Export Code Number)

1. Application for (please tick whichever is applicable) :	( √ )
i. Issue of Importer Exporter Code Number (IEC)
ii. Modification of Importer Exporter Code Number (IEC)

2. Bank Account Details

i. Name of the Bank

ii. Address of the Bank

iii. Type of Bank Account

iv. Bank Account Number

v. Year of opening Bank Account

3. In case of NRI interest/holding with repatriation benefits in the firm/company, please furnish

i. RBI Approval Number

ii. RBI Approval Date

4.
a. In case of Proprietorship firms, please furnish

i. Date of Birth of individual

ii. Number of IECs held along with their details

b. In case of Companies, please furnish

i. Date of incorporation

c. In case of others

i. Date of formation

5. In case the application is made for modification in existing IEC, please furnish

i. Existing IEC Number

ii. Nature of Modification required

iii. Details of Modification required

SUB SECTION II

(For Import Licence for Restricted Items)

1. Total CIF value applied for

i. In Rupees

ii. In Foreign Currency

2. Details of item(s) applied for import

S No	Description	ITC(HS) Code	Quantity	CIF Value (Rs)	Country of Origin

3. Details of imports made of the item(s) applied for in the preceding 3 licensing years

S No	Year	Import Licence Details				Quantity Imported	CIF Value of Imports (US $)	Export Destination
		No.	Date	Qty	Value (US $)

4. Case Sponsoring Authority details, wherever applicable

i. Ministry/Department recommending the case

ii. Recommendation Letter No

iii. Recommendation Letter Date

5. In case of import of Ammunition, please furnish

i. Fire Arm Dealers Licence No

ii. Fire Arm Dealers Licence Date

iii. Issuing Authority of Fire Arm Dealers Licence

iv. Sales turnover of indigenous & imported ammunition in the preceding 3 licensing years (Rs)

6. In case of import of Aircraft/Helicopters, please furnish

i. Year of manufacture

ii. Whether New/Second hand

iii. Seating Capacity

iv. Residual Life

v. No. of Flying Hours already completed

vi. No. of Aircraft already in possession of the applicant

vii. Whether applicant falls under Private or Passenger Category

7. In case of import of Gifts, please furnish

i. Name of the Donor

ii. Relationship with the Donor

iii. Status of the Donor

8. Address of factory/unit/stud farm where items so imported shall be used

9. End Products to be manufactured with licensed capacity, wherever applicable

10. Justification for Import

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SUB SECTION II A

(For Import Certificate under Indo US Memorandum)

1 US Exporter Details

i. Name

ii. Address

2. Name of the Sponsoring Directorate in ICIA:

3. Items of Import for which Import Certificate is required

S No	Item details	ITC(HS) Code	Quantity	CIF Value (Rs)	Whether capital good or raw material

4. 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

5. i. Whether the items of import are under Restricted List of ITC(HS)          Yes/No

ii. File number of application submitted to Licensing authority for Import Licence

6. Reference Number of the Controlled commodity/munitions list of US Export Administration Regulations:

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

SUB SECTION III

(For Export Licence for Restricted Items)

1. Total FOB value applied for

i. In Rupees

ii. In Foreign Currency

2. Details of items applied for export

S No	Description	ITC(HS) Code	Quantity	FOB Value (Rs)

3. Details of exports made of the item applied for in the preceding 3 licensing years

S No	Year	Export Licence Details				Quantity Exported	FOB Value of Exports (US $)	Export Destination
		No.	Date	Qty	Value (US $)

4. Purpose of Export (please tick)	( √ )
i. Trade
ii. Personal
iii. Sample

5. Foreign Buyer Details

i. Name

ii. Address

iii. Export Order no

iv. Export Order date

6. Shipment Details

i. Port of Loading

ii. Port of Discharge

iii. Country of Export

7. 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

8. In case of export by Post, please furnish details of Postal authorities where the parcel will be placed

9. 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

10. Any other relevant information

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SUB SECTION III A

(For Export Licence for SCOMET Items)

Part A

For Export of Special Chemicals in Categories 1B and 1C of Schedule 2 Appendix 3 of ITC (HS) Classification of Export & Import items

1. Total FOB value applied for

i. In Rupees

ii. In Foreign Currency

2. Details of items applied for export

S No	Description	ITC(HS) Code	Quantity	Total FOB Value (US $)	FOB Value per unit (US $)

3. Details of exports of Category 1B and 1C items in the preceding 3 licensing years

S No	Year	Export Licence Details				Quantity Exported	FOB Value of Exports (US $)	Country to whom exported	Name of the End User
		No.	Date	Qty	Value (US $)

4. Shipment Details
i. Port of Loading/Shipment
ii. Port of Discharge
iii. Country of Export
iv. Ultimate destination

5. In case of export of samples, please furnish
i. Ceiling Limit
ii. How much in excess of Ceiling Limit
iii. Justification for Excess

6. Foreign Buyer Details
i. Name
ii. Address
iii. Export Order no
iv. Export Order date

7. End user Details
i. Name
ii. Address
iii. End product for which the item of export will be used by the end user
iv. Purpose for which the end product will be utilised

8. Purpose of Export (please tick)	( √ )
i. Trade
ii. Personal
iii. Sample

9. If applied for export on repeat basis in the same licensing year for same product and 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

iv. Quantity exported on the date of this application

Part B

For Export of all other category items of Schedule 2 Appendix 3 of ITC (HS) Classification of Export & Import items except those covered by Part A above

1. Total FOB value applied for
i. In Rupees
ii. In Foreign Currency

2. Details of items applied for export

S No	Description	Schedule 2 Appendix 3 of ITC(HS) Classification of Export & Import Items		Quantity	Total FOB Value (US $)	FOB Value per unit (US $)
		Category	Item Number

3. Details of exports licences under Schedule 2 Appendix 3 of ITC (HS) Classification of Export & Import items

S No	Date of application	Export Licence Details(see note below)				Items exported	Qty exported	Date of Shipment	FOB Value of Exports (US $)	Country to whom exported	Name of the End User
		No.	Date	Qty	Value (US $)

Note: State ‘Denied’ if the licence was denied. A false statement will invite prosecution.

4. Shipment Details
i. Port of Loading/Shipment (identify only one Port)
a. Delhi
b. Mumbai
c. Kolkatta
d. Chennai
ii. Port of Discharge
iii. Country of Export
iv. Ultimate destination

5. Foreign Buyer Details
i. Name
ii. Address
iii. Export Order no
iv. Export Order date

6. Consignee Details
i. Name
ii. Corporate Address
iii. Telephone
iv. Fax
v. Headquarters Address
vi. Citizenship of Consignee (if individual)

7. End user Details
i. Name
ii. Address
iii. Telephone
iv. Fax
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 utilised
viii. Is end user an entity of Government of destination country?
ix. Manufacturing/Business/other activity of the end user

8. 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 of the Bank
b. In India
i. Name of the Bank
ii. Address of the Bank

9. Foreign Collaborator Details *(as registered with GOI/RBI)
i. Name
ii. Address

* If No foreign collaboration exists, please state ‘None’

10. Details of Producer/Manufacturer of the item to be exported
i. Name
ii. Address

11. Period during which the item is proposed to be exported from India:

12. If Revalidation sought, please furnish
i. Period of Extension sought
ii. Reasons thereof

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SUB SECTION IV

(For Star Export House Certificate)

1. Category of Star Export House applied for (please tick)	( √ )
i. One Star Export House
ii. Two Star Export House
iii. Three Star Export House
iv. Four Star Export House
v. Five Star Export House

2A. Details of exports/deemed supplies made in the preceding 3 licensing years and the current year

Licensing Year	FOB Value of exports (Rs)	FOR Value of deemed supplies (Rs) +	Total Export Performance (Rs)
2005-06
2004-05
2003-04
2002-03

+ - deemed supplies as per Para          of Policy
OR

2B. (Applicable in case of Service Providers only)

I.
i. Category of Service Provider ( Sl No. of Appendix 36)

ii. Description of Services rendered

II. Details of gross foreign exchange earnings from direct and indirect sources, made in the preceding 3 licensing years and the current year

Licensing Year	Gross foreign exchange earnings (direct and indirect sources) in Rs
2005-06
2004-05
2003-04
2002-03

3. Whether benefit of double weightage for arriving at the export performance as given in Sr No. 2 above has been taken:

Yes/No

4. Export House Certificate Details held earlier, if any

i. EH/TH/STH/SSTH Certificate No

ii. EH/TH/STH/SSTH Certificate Date

iii. Valid till

iv. Issued from File No

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SUB SECTION V

(For Advance Licence/ Advance Licence 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 Licence

(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 Licence

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 licence 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 Licence(s) including Advance Licence for Annual Requirements issued already

S No	Licence No	Licence 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 Licence 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 Licence/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 Licence No
ii. Date of Issue of Advance Licence
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. Licensing 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

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

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SUB SECTION V A

(For Gem Replenishment Licence)
1. Export Proceeds Realisation Month:

2. FOB Value of Exports
i. In free foreign exchange
ii. In Rupees

3. Value of Licence Claimed
i. In free foreign exchange
ii. In Rupees
4. Details of exports made

Name of the Bank	Shipping Bill/ Postal Receipt		FOB Value (in FFE/Rs)	FOB Value realised (in FFE/Rs)	REP Licence Claimed (Rs)	Country of Exports
	Number	Date

Note: In case application for REP Licence is made under Para 4A.28 of this handbook, serial no 4 may be left blank

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SUB SECTION V B
(For Diamond Imprest Licence)

1. Total FOB value applied for
i. In Rupees
ii. In Foreign Currency

2. Total CIF value applied for
i. In Rupees
ii. In Foreign Currency

3. Foreign Buyer Details (in case of application against specific Order)
i. Name
ii. Address
iii. Export Order no
iv. Export Order date

4. Amount of Commission or Discount, if any:

5. Export Performance Details in respect of cut and polished diamonds during the preceding three licensing years:

Licensing Year	Against DTC Licence ( in Rs)	Against Others (in Rs)
2004-05
2003-04
2002-03

6. Details of Outstanding Export Obligation under Diamond/DTC Imprest Licence, if any

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

(Please refer POLICY CIR NO. 21/2005-09, DT. 17/08/2005 for Submission of Aayaat Niryaat Forms)

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