Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations.

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Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations.

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....ng Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations as under Para 10.19 of HBP enclosed in the Annexure to this Public Notice. 2. This shall come into force with immediate effect. 3. Effect of this Public Notice: Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations is hereby notified. (Santosh Kumar Sarangi) Director General of Foreign Trade Ex-officio Addl. Secretary to the Government of India e-mail: [email protected] (Issued from 01/77/171/062/AM23/EC(S)) Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non-Compliance/ Violations r....

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....-compliance shall not cover the cases for non-compliance or violations for items falling under SCOMET Category 0 and under CWC Schedules (SCOMET Categories 1A, 1B, & 1C). Types of Violations: i. Export of goods/software/technology listed under SCOMET and undertaken without prior authorization ii. Export to UNSC-sanctioned entities and individuals without knowledge iii. Export of items not controlled under SCOMET and used/diverted for or manufacture of weapons of mass destruction or their delivery systems iv. Use of an Export authorization issued in the name of an entity, by a new entity(s) after name change, merger, de-merger etc. without prior approval/amendment from the licensing authority v. Failure to obtain permission from t....

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.... instituted or improved an internal trade compliance mechanism/process/program, including training of employees to reduce the likelihood of future export violation(s); vi. Whether the export violation was in the knowledge of senior management of the organization; vii. The degree to which the firm / authorized person responsible for the violation was familiar with the export control laws and regulations; viii. Whether the firm has violated export control laws and regulations in the past; B. Procedure for Voluntary Disclosure: i. Any individual/firm should initially notify the Directorate General of Foreign Trade (DGFT) immediately after an export violation is discovered and confirmed internally, and then conduct a thorough review of....

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....alent designation) with the following documents: a. Disclosure Proforma (Appendix attached) b. Application in ANF 10A proforma c. Licensing documents (e.g., license applications, export licenses, end-user certificates/statements, Purchase Order, Contract Agreement, etc.) d. Shipping documents (e.g., Shipping Bills, Commercial Invoices, Airway Bills and Bills of Lading and any other related Trade documents) e. Any other relevant documents as may be required D. Action by the DGFT: All voluntary disclosure cases shall be placed by DGFT before the IMWG, in its subsequent meeting for discussion after submission of all complete and supporting documentation by the exporter. The IMWG would consider each case on merit in accordance with ....

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.... of SCOMET Items and SCOMET Regulations] 1. Applicant Details: i. Name ii. Designation in the organization ii. Address iii. Mobile No. Country Code Area Code Tele No. with STD code iv. Date of Submission of application 2. Details of the applicant firm i. Name of the firm/company/individual ii. Complete official address (including Pin code) iii. A brief profile of the company, including its business activities on a separate sheet iv. Whether Internal Trade Compliance Program (ICP) instituted (Y/N) v. Whether the firm has obtained SCOMET authorisation in the past (Y/N) vi. Previous SCOMET authorisation No. and date/ DGFT reference No. (if any issued during past years) 3. Details of Non-complianc....

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....nior officer(not below the rank of export compliance manager) providing brief description of the violation made and stating that all of the representations made in connection with the voluntary disclosure are true and correct to the best of that person's knowledge and belief] ii. Application in ANF 2O proforma through online portal of DGFT, wherever applicable iii. Copy of SCN issued by Customs, wherever applicable or any other communication issued by licensing /enforcement agencies iv. Technical drawings (Information on Product/Technology), where applicable v. Technical Specifications/Data Sheets/Brochures of the product(s), where applicable vi. Relevant Undertakings and Declaration in terms of Public Notices, where....

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Standard Operating Procedure/ Guidelines for Voluntary Disclosure of Non Compliance/ Violations related to Export of SCOMET Items and SCOMET Regulations.