Standard Operating Procedure(SOP) for Filing Applications before DGFT for restricted Export Licences – DGFT

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F.  No. 01/91/110/01/AM19/EC(Vol.11)
Government of India
Ministry of Commerce & Industry
Department of Commerce
Directorate General of Foreign Trade
*****

Udyog Bhawan, New Delhi
Dated 25th October, 2018

TRADE NOTICE No. 35/2018

To

1. All EPCs
2. Federation of Indian Export Organisations
3. All Regional Authorities of DGFT
4. All Exporters

Subject: Procedure / documents for obtaining export authorisation for export of restricted items under Schedule 2 ITC(HS) Classification of Export and Import Items 2018 .

All those items which are defined as ‘Restricted’ under Foreign Trade Policy (FTP) / ITC(HS) Schedule 2 Export Policy 2018 are permitted for export subject to license from DGFT. In order to facilitate the trade by reducing the turn around time in obtaining export authorisations/license, the following SOP / documentation / checklist has been prepared in consultation with the concerned commodity Ministry/ Department and shall be followed by manufacturers / exporters while filing applications with DGFT for grant of Export Authorization for ‘Restricted’ items :

Action on the part of Firm/Company/ Agency /individual: 

A. Online application process

i. Online application process : Home page of DGFT website (www.dgft.gov.in) – Services
Online ECOM application 4 Restricted item (Imp/Exp) License (https://bitly/255zGET)

ii. User Manual for filing online application for Restricted items is available on the DGFT website. [Home page of DGFT website (www.dgft.gov.in) 4 Services 4 Help 4 Restricted item (Imp/Exp) License] (https://bit.ly/2OzT4vR)

iii. After filing online application through DGFT web-portal, a copy of the application in prescribed proforma alongwith the following documents is to be sent through email at export-dgft@nic.in in PDF format  in terms of DGFT Trade Notice No. 18/2015-20 dated 20.06.2018 (https://bit.ly/2R40d10) :

(a) ANF-1 (Profile of Exporter & Importer) and ANF-2N (Application form for export license for restricted items);

(b) A copy of purchase order / import order from foreign buyer or contract agreement duly signed and stamped by both the parties (seller/purchaser); and

(c) Proof of payment of application fee (paid through online mode).

iv.  ANF (Ayat Niryat Forms) forms are available on the DGFT website at : www.dgft.gov.inunder heading captioned ‘Ayat Niryat Forms’.

v. All documents are to be duly authenticated (signed and stamped) by the signatory authority of the Firm

B. Offline application process

(i) In case, the applicant want to submit offline application, physical copy can be submitted at the Facilitation Counter /R&I of DGFT (Hqrs) at Gate No. 2, Udyog Bhavan, New Delhi

(ii) Fee amounting Rs. 1000/- (irrespective of quantity and FOB value of item) in favour of “DGFT” by way of DD/Pay Order to be submitted alongwith application as prescribed under Appendix 2-K of FTP

(iii) Rest of the documents will remain same as mentioned at SI. No. (iii) above.

Action on the part of DGFT (Hqrs) after receipt of application:

(i) On receipt of application through email in prescribed proforma alongwith supporting documents from the applicant Firm, the same is processed in Export Cell;

(ii) Based on the Standard Operating Procedure (SOP) in DGFT, the applications are pre-screened and if the application is complete in all respect the same is forwarded within three working days to the concerned Technical Ministry/ Department seeking their NOC/comments/views;

(iii) In case the application is deficient, the deficiency letter is sent to the applicant firm through E-mail within three working days

(iv) The applicant exporter is expected to respond to the query and provide requisite documents / clarification within 03 days from the receipt of DGFT email,

(v) Thereafter, the application is forwarded to the concerned Technical Ministry/ Department through email for their comments/NOC;

(vi) The Technical Ministry/ Department are expected to provide their comments / NOC at the earliest and not later than 30 days from the receipt of application;

(vii) On receipt of NOC/comments, all pending applications are placed before EXIM Facilitation Committee (EFC) in DGFT for consideration on case by case basis,

(ix) The EFC generally meets once in a month and mostly on third Wednesday

(x) After approval of application by the EFC, authorization letter is prepared by Export Cell, DGFT(HQ) and issued to the Firm with a copy endorsed to the concerned jurisdictional Regional Authority (RA) of DGFT through email as well as post, for issuing export license;

(xii) After issue of permission by DGFT(Hqrs), the firm is required to approach the concerned Regional Authority of DGFT alongwith a copy of permission letter and the application submitted before DGFT(Hqrs) with supporting documents;

(xii) The Regional Authority of DGFT is required to issue export license to the applicant within three working days;

(xii) The entire process takes 30 – 45 days time.

2. Apart from the aforementioned documents as required by DGFT, the following specific documents are required by concerned Administrative Ministries / Deptts. for grant of NOC/ recommendation and have to be submitted alongwith the application :

Department of Fertilizers For NP&K fertilizers

(i) Detailed specification of product (fertilizer) to be exported along with clear NPKS ratio.

(ii) Details of raw materials used for production of the fertilizer.

(iii) Details of source of raw materials used in production of fertilizer (whether indigenous source or imported).

(iv) In case of indigenous source:-

(a) A certificate from the Statutory Auditor of the supplier as per the proforma ‘A’

(b) An undertaking from the supplier as per proforma ‘B’.

(v) In case of source being imported fertilizers:-

(a) Bill of Lading in the name of the applicant.

(b) A certificate from the Statutory Auditor of the applicant as per proforma ‘Al’.

(c) An undertaking from the applicant as per proforma ‘131.1

Ministry of Environment, Forests and Climate Change (MOEF&CC)

A. For Wood and Wood Products

(a) Documents required for the issue of NOC for export of red sanders in log form from DTA:-

(i) Export Order received by the concerned firm.

(ii) The applicant are required to submit application in Proforma ‘C’ before State Principal Chief Conservator of Forests (PCCF) for issue of COO

(iii) Certificate of Origin (COO) issued by the concerned PCCF (as per the proforma ‘D’.

(iv) Physical Verification Report alongwith photographs of VAP form of red sanders.

(b) Documents required for the issue of NOC for export of sandalwood from DTA:-

(i) Export Order received by the concerned firm.

(ii) COO issued by the concerned officer designated by the Forest Department/PCCF.

(iii) Physical Verification Report of the material.

B. For export of Ozone Depleting Substances (ODS)

(a) The firm needs to be registered as an importer and exporter under Ozone Depleting Substances (Regulation and Control) Rules, 2000 and its amendments;

(b) A copy of Registration Certificate under ODS Rules to be attached along with application;

(c) Nature of use of ODSs i.e. feedback, recycled, recovered and reclaimed intended to be import or export;

(d) ITC (HS) code in line with Import/Export Policy of DGFT.

Deptt. of Agriculture Cooperation and Farmers Welfare (DOAC&FW) (Seed Division)

A. For Export of Onion Seed / Rice Seed / Cotton Seed

(a) Detailed specifications of product (seed) to be exported along with source;

(b) Details of raw materials used for production of seed;

(c) Affidavit (stamp paper of Rs 100/-) from the firm that no Indian germ-plasm has been used for developing the seed

(d) Application in prescribed proforma (As per Proforma `E’) (20 sets ) to be submitted to DOAC&FW for consideration by their Exim Committee.  

B. For Export of rice paddy or in Husk (non-Basmati rice) other than seed quality

An affidavit on stamp paper of Rs. 100/- by the authorised signatory of the exporting firm giving the following undertaking:

“The material proposed to be exported is strictly not seed for sowing material / planting material Further it is also not breeder seed / foundation / seed / certified seed and does not belong to any wild species / germ plasm and the material proposed to be exported is non-basmati type for consumption purpose” .

Deptt. of Animal Husbandry, Dairying and Fisheries

A. Live milking animal

1. Source of procurement of animals alongwith a copy of acceptance letter from the firm (supplier) that upon approval by the Government, they would be able to supply the subject item(s);

2. No Objection Certificate from the Animal Husbandry/Welfare Department of the State Government from where the animals are procured for export;

3. No objection Certificate from National Biodiversity Authority, Chennai for export of the subject item;

4. Standards and specifications of the animals proposed to be exported;

5. Letter from the foreign buyer/end user indicating the purpose of import of subject items;

6. Justification for not exploring the possibility of export of germ-plasm from i.e. semen and embryos instead of live animals; and

7. Justification for import of live animals by the importing country.

B. Export of Live Stock (other than milking animals)

1. Official health requirement/format for the importing country. If no prescribed health requirement/format then undertaking from the exporter/owner in this regard.

2. Fulfillment of health requirement of importing country, including, testing, treatment, vaccination report etc. (if applicable).

3. Self certified copies of present health documents including vaccination record of the animal.

4. Copy of airway bill/journey details of animal.

5. Authorization letter if owner is not approaching directly.

Ministry of Mines

For export of ‘sand and soil’

(a) Details on the source of raw material to be exported;

(b) Royalty payable receipt of minerals to be exported, wherever applicable;

(c) Chemical composition report of the export product/ details of value addition etc.;

(d) An undertaking / certificate from the supplier stating the particular of item and name of the country of export as specified in the export order/invoice;

(e) Copy of the buyers’ order / export order

(f) Justification of export

(g) Previous (last three years) details of export made by the company for the same product

Deptt. of Health Research Indian Council of Medical Research

For export of Embryos / gametes

1. Certificate from Indian ART Clinic:

A certificate from the Indian ART Clinic (Enrolment number…. ) recommending transfer of (number ) embryos and/or gametes for the treatment of infertility of the specific infertile couple/subject (including name and address of the infertile couple/subject) at a specific Foreign ART Clinic (name and address of the In-Charge of the foreign ART Clinic).

A certificate from the Indian ART clinic, where these embryos have been generated, certifying that these embryos have been generated in their clinic using at least one gamete (sperm or oocytes) of the infertile couple/subject (name and address of infertile couple) and no sex selection has been done on these embryos.

A certificate from the Indian ART Clinic (Enrolment number ) certifying that…. (Number) embryos were created for IVF/Surrogacy treatment of Mrs…..& Mr… (Name and address of infertile couple/subject) and out of that …..(Number) of embryos were used and (Number) of embryos are cryo-preserved at the ART Clinic (Name and Address of Indian ART clinic). This is also certify that the quality of cryo-preserved embryos.

ii. Certificate from Infertile couple/subjects:

Certificate from the infertile couple/subject indicating transfer of (number

embryos and/or gametes from the Indian ART clinic (name and address of the In-charge of the ART Clinic, with enrollment number of the ART clinic) for his/her treatment at a specific ART clinic in Foreign (name and address of the In-charge of the ART clinic). The infertile couple/subject should also certify that these embryos have been created by using at least one gamete (sperms or oocytes) of their own.

iii. Certificate from foreign ART Clinic:

A certificate from the ART Clinic in foreign indicating that (number ) embryos

and/or gametes which will be received from the specific Indian ART Clinic (name and address of the In-Charge of the ART Clinic, with enrollment number of the ART Clinic) for the treatment of infertility of the specific infertile couple/subject from the specific Country (including name and address of the infertile couple/subject).

iv. Other Documents required:

a) Duly attested copies of the authorized identification proof, residential proof and marriage certificate (only for the married infertile couple)

b) Attested copy of the registration certificate of the Indian ART Clinic who has generated these embryos or having gametes

c) Attested copy of the registration certificate of the foreign ART Clinic who will be receiving these embryos or gametes.

Please Note:

1. Certificates should be submitted only by the Director/In-charge of the ART Clinic on the letter head of the ART clinic whose name has been enrolled with National Registry of ART Clinics and Banks in India of ICMR as Director/In-charge of the ART Clinic.

2. Enrolment/registration number of the ART clinic issued by the National Registry of ART Clinics and Banks in India of ICMR (for Indian ART clinic) or issued by the appropriate authority (for foreign ART clinic) need to be mentioned.

3. Applicants who have already applied to DGFT seeking export authorisation for restricted export authorisation / license need not to apply afresh. Such applications will be considered by DGFT on receipt of the required documents from the applicant firms / exporters. The SOP / documents / check list for other frequently traded ‘Restricted’ commodities under license shall be prescribed shortly on receipt of inputs from the concerned Administrative Ministries / Deptts.

4. This issues with the approval of competent authority.

(Arunoday Goswami)
Joint Director General of Foreign Trade
Tele No. 011-23063419
e-mail : arunoday.goswami@nic.in

Copy to:

  1. PS to Hon’ble CIM
  2. PS to Hon’ble MoS
  3. PSO to Commerce Secretary
  4. PPS to DGFT
  5. PPS to ADG(NKS), DGFT

(Arunoday Goswami)
Joint Director General of Foreign Trade

DGFT Trade Notice PDF & Proforma Download Here

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