Check List for Invalidation/ARO of Advance Authorisation

The following Trade Notice was issued by the Office of the Addl Director General of Foreign Trade Mumbai on 18 September 2012.

[Ref: Trade Notice No.14/AM13 Dated 18 September, 2012]

Subject: Check List for Invalidation/ARO in case of Advance Authorisation

In order to bring transparency and uniformity in the office working, a Check-list for submission of application in regard to Invalidation/ARO in case of Advance Authorisation has been formulated. This check-list is as per Chapter 4 of the Foreign Trade Policy 2009-14(Para 4.1.11), Chapter 4 of the Hand Book of Procedures 2009-14 (Vol.I) (Paras 4.13 & 4.14) and ANF-4A as given in Appendices to the Handbook of Procedures (Volume I).

The Check-list has four sections as follows:

1. Documents Section: Section giving the list of documents which are required to be submitted by the applicant.

2. Additional Documents Section: Documents which are required to be submitted by some of the applicants as is relevant.

3. Information Section: Information regarding invalidation sought

4. Note Section: Exporters have been indicated certain points which they should check on, before submitting the application and the relevant documents in the said regard.

Check List for Invalidation/ARO

(Para 4.13 & 4.14 of HBP and Para 4.1.11 of FTP)

(Prepared by Addl. DGFT, Mumbai)

File No.:

Licence No.: Date:

Sr. No.	Documents enclosed (All copies of documents to be self-certified by firm’s authorised signatory)	Total no. of documents/pages
I	Documents:
1	Covering letter from applicant
	Valid Advance Licence (in original)
2	ANF 4A for invalidation/ ARO (Sr.no.1 & 20 of ANF 4A), duly signed by applicant
3	BG/LUT (format as per Appendix 25A/25B as per Custom Circular No.58/2004 as amended)/Corporate Guarantee for Group Companies (by a status holder company in the Group (Para 2.20 of HBP) for a non-status holder company in the Group (Para 2.20.1 of HBP)
II	Additional Documents:
1	Documents as required for the category of the exporter as in Note 1 (Customs Circular No.58/2004 as amended)
2	In case of invalidation letter, consent letter for supply by indigenous supplier

Information:

Kindly furnish the following information regarding invalidation sought:

Import item Sl. No. in authorisation (1)	Name and description of import item to be invalidated (2)	Quantity and CIF value of said item in authorisation (3)		Quantity and CIF value of said item already imported and/or invalidated (4)		Balance quantity and CIF value available (5)		Quantity and value to be invalidated (6)
		Quantity	CIF Value	Quantity	CIF Value	Quantity	CIF Value	Quantity	CIF value

Note 1:

Sl. No.	Category	Documents	LUT/BG required
a.	All exporters who have an export turnover of Rs.5 crores of goods exported physically or of services in current or preceding financial year and having good track record of three years of exports	Export turnover certificate certified by Central Excise authorities/Chartered Accountants as applicable	LUT
b.	Public Sector Undertaking		LUT
c.	Star Export House	Status Certificate	LUT
d.	Manufacturer exporters/ Service Providers registered with Central Excise or the Service Tax authorities, as the case may be, who have been exporting during the previous two financial years and have minimum export of Rs.1 crore or more during the preceding financial year	i) Export turnover certificate certified by Central Excise authorities/Chartered Accountants as applicable ii) Central Excise Registration Certificate/Service Tax registration certificate	LUT
e.	Manufacturer exporters/ Service Providers registered with Central Excise or the Service Tax authorities, who has paid central excise duty/ Service Tax of Rs.1 crore or more, as the case may be, during the preceding financial year	i) Central Excise Registration Certificate/Service Tax registration certificate ii) Central Excise Duty Payment Certificate	LUT
f.	(1) Manufacturer exporters who are not covered under a, b, c, d & e above (2) Units in Agri Export Zones (AEZs) (3) Established Service Providers who have free foreign exchange earnings of Rs.50 lakhs or more during the preceding financial year and have a clean track record.	Manufacturing Licence (SSI/IEM/Indl. Licence) APEDA Registration certificate (i) Service Tax Regn. Certificate and (ii) Service export turn over certificate certified by CA	15% BG
g.	Service providers in the port handling sector who are appointed as Custodians by the jurisdictional Customs/ Central Excise authorities	(i) Service Tax Regn. Certificate and (ii) Service export turn over certificate certified by CA	25% BG
h.	Others	Nil	100% BG

(End of Check List)

The check-list would facilitate exporters to carryout due diligence before submitting her/his application so that the application which are complete in all respects are available for processing in the Department within the specified timelines. The check-list would also ensure that the processing of the case is not delayed for want of certain documents/additional documents/information on which the office may have to issue deficiency letters.

The applicants are requested to kindly adhere to the check-list in full while submitting their applications for Invalidation/ARO in case of Advance Authorisation in order to enable the office to process their applications expeditiously.

The Addl. DGFT office, Mumbai has strengthened Counter Assistance and provided a facility to the exporters which can be utilised free of cost by the exporters. The exporters can go to the Counter Assistants and get their application(s) checked for their completeness in terms of submission of documents. If an application is okayed by the Counter Assistant, the sections will not issue deficiency for non-submission of any documents regarding the said authorisation/scrip/benefit.

For any queries/clarifications regarding the case, the exporters are requested to come directly to the office and not through their agents/consultants.

The above said check list is also attached in PDF format as a downloadable document which may be submitted along with the covering letter of the application.